Active Citizen Participation in E-Government: A Global Perspective 9781466601161, 9781466601178, 9781466601185, 2011046465

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Active Citizen Participation in E-Government: A Global Perspective Aroon Manoharan Kent State University, USA Marc Holzer Rutgers University-Campus at Newark, USA

Managing Director: Senior Editorial Director: Book Production Manager: Development Manager: Development Editor: Acquisitions Editor: Typesetter: Cover Design:

Lindsay Johnston Heather Probst Sean Woznicki Joel Gamon Michael Killian Erika Gallagher Lisandro Gonzalez Nick Newcomer, Lisandro Gonzalez

Published in the United States of America by Information Science Reference (an imprint of IGI Global) 701 E. Chocolate Avenue Hershey PA 17033 Tel: 717-533-8845 Fax: 717-533-8661 E-mail: [email protected] Web site: http://www.igi-global.com Copyright © 2012 by IGI Global. All rights reserved. No part of this publication may be reproduced, stored or distributed in any form or by any means, electronic or mechanical, including photocopying, without written permission from the publisher. Product or company names used in this set are for identification purposes only. Inclusion of the names of the products or companies does not indicate a claim of ownership by IGI Global of the trademark or registered trademark.

Library of Congress Cataloging-in-Publication Data

Active citizen participation in e-government: a global perspective / Aroon Manoharan and Marc Holzer, editors. p. cm. Includes bibliographical references and index. Summary: “This book focuses on the issues and challenges involving adoption and implementation of online civic engagement initiatives globally and will serve as a valuable guide to governments in their efforts to enable active citizen participation”--Provided by publisher. ISBN 978-1-4666-0116-1 (hardcover) -- ISBN 978-1-4666-0117-8 (ebook) -- ISBN 978-1-4666-0118-5 (print & perpetual access) 1. Public administration--Citizen participation--Technological innovations. 2. Political participation--Technological innovations. 3. Internet in public administration. I. Manoharan, Aroon, 1979- II. Holzer, Marc. JF1525.A8A34 2012 323’.04202854678--dc23 2011046465

British Cataloguing in Publication Data A Cataloguing in Publication record for this book is available from the British Library. All work contributed to this book is new, previously-unpublished material. The views expressed in this book are those of the authors, but not necessarily of the publisher.

Editorial Advisory Board Ari-Veikko Anttiroiko, University of Tampere, Finland Daniel Bromberg, Western Carolina University, USA Donald J. Calista, Marist College, USA Tony J. Carrizales, Marist College, USA Yu-Che Chen, Northern Illinois University, USA Amit Das, Qatar University, Qatar Kelvin Joseph Bwalya, University of Botswana, Botswana Chan-Gon Kim, Seoul Metropolitan Government, South Korea Patrick Kim Cheng Low, University of South Australia, Australia & Universiti Brunei Darussalam, Brunei Younhee Kim, East Carolina University, USA Seung-Yong Rho, Seoul Women’s University, South Korea Alan R. Shark, Public Technology Institute, USA & Rutgers University, USA Genie Stowers, San Francisco State University, USA Hua Xu, Auburn University - Montgomery, USA Kaifeng Yang, Florida State University, USA Wenxuan Yu, Nanyang Technological University, Singapore

Table of Contents

Preface.................................................................................................................................................. xiv Chapter 1 Reconfiguring Performance Information Linking with Accountability: Reporting and Internal Management....................................................................................................... 1 Étienne Charbonneau, École Nationale D’administration Publique, Canada Younhee Kim, East Carolina University, USA Chapter 2 E-Gov and Transparency in NJ Counties: Providing Information to Citizens....................................... 20 Deborah Mohammed-Spigner, NJ Common Cause, USA Daniel Bromberg, Western Carolina University, USA Marc Fudge, California State University, San Bernardino, USA Neil Coleman, New Jersey Taxpayers’ Association, USA Chapter 3 Transparency Issues in E-Governance and Civic Engagement............................................................. 44 Sherri Greenberg, The University of Texas at Austin, USA Angela Newell, The University of Texas at Austin, USA Chapter 4 Measuring and Improving Information-Based Government Websites: A Suggested Framework........................................................................................................................ 65 Laura Wesley, Industry Canada, Canada Chapter 5 Online Political Participation in the 2008 U.S. Presidential Election: Examining the Democratic Divide......................................................................................................... 85 Taewoo Nam, University at Albany, State University of New York, USA Djoko Sigit Sayogo, University at Albany, State University of New York, USA

Chapter 6 Power and Identity among Citizens in Networked Societies: Towards a Critical Study of Cultural E-Governance.......................................................................................................... 109 Jakob Svensson, Karlstad University, Sweden Chapter 7 A Systems Theory Approach to Electronic Voting Complexity........................................................... 128 Dimitrios Zissis, University of the Aegean, Syros, Greece Dimitrios Lekkas, University of the Aegean, Syros, Greece Argyris Arnellos, University of the Aegean, Syros, Greece Chapter 8 Educational and Democratic Potential of Digital Games in e-Government........................................ 152 Erkki Patokorpi, IAMSR, Åbo Akademi University, Finland Sami Leppimäki, IAMSR, Åbo Akademi University, Finland Franck Tétard, IAMSR, Åbo Akademi University, Finland Chapter 9 Managing Interactional Performance in E-Government...................................................................... 167 Françoise Simon, Research Center on Mediations, University of Haute-Alsace, France Chapter 10 Social Networks, Civic Participation, and Young People: A Literature Review and Summary of the Educational Challenges...................................................................................... 187 Sonia Lara, University of Navarra, Spain Concepción Naval, University of Navarra, Spain Chapter 11 Innovative Processes and Managerial Effectiveness of e-Procurement in Healthcare........................ 206 Ubaldo Comite, University of Calabria, Italy Chapter 12 European Public E-Procurement: The Italian Experience................................................................... 230 Pietro Previtali, University of Pavia, Italy Chapter 13 Civic Engagement and E-Governance in Gauteng: Grounds for Universal Household Broadband Internet Service.................................................................................................................. 250 Lucienne Abrahams, LINK Centre, University of the Witwatersrand, South Africa Mark Burke, LINK Centre, University of the Witwatersrand, South Africa Lauri Elliott, Conceptualee, Inc., USA Warren Hero, Gauteng Provincial Government, South Africa

Chapter 14 Implications of e-Government in Botswana in the Realm of e-Participation: Case of Francistown............................................................................................................................. 276 Vako Mbako, University of Botswana, Botswana Kelvin Joseph Bwalya, University of Johannesburg, Center of Knowledge & Information Management, South Africa Tanya Du Plessis, University of Johannesburg, Center of Knowledge & Information Management, South Africa Chris Rensleigh, University of Johannesburg, Center of Knowledge & Information Management, South Africa Chapter 15 Impact of Internet Use on Civic Engagement in Chinese Rural Areas: A Preliminary Research....................................................................................................................... 296 Jian-Chuan Zhang, Northern Illinois University, USA Ying Qin, China Internet Network Information Center, China Chapter 16 Rural E-Governance through the “Panchayati Raj” Institutions in India: Prospects and Challenges..................................................................................................................... 314 Malathi Subramanian, Amity University, India Chapter 17 E-Engaging India: E-Democracy Strategies for Empowerment and Civic Participation.................... 334 Kavita Karan, Southern Illinois University, USA Chapter 18 E-Government Policy Implementation in Brunei: Lessons Learnt from Singapore............................ 359 Mohammad Habibur Rahman, Universiti Brunei Darussalam, Brunei Patrick Kim Cheng Low, Universiti Brunei Darussalam, Brunei Mohammad Nabil Almunawar, Universiti Brunei Darussalam, Brunei Fadzliwati Mohiddin, Universiti Brunei Darussalam, Brunei Sik-Liong Ang, Universiti Brunei Darussalam, Brunei Chapter 19 Elucidating Online Structure for Democratic Legitimacy: Case of Local Government Online Structure in Java-Indonesia...................................................................................................... 378 Djoko Sigit Sayogo, University at Albany, State University of New York, USA Taewoo Nam, University at Albany, State University of New York, USA Chapter 20 Citizen Participation through Municipal Websites: A Global Scorecard............................................. 403 Alicia Schatteman, Northern Illinois University, USA Deborah Mohammed-Spigner, NJ Common Cause, USA George Poluse, Kent State University, USA

Chapter 21 Stepwise E-Participation: Good Practice from the Regional Level in Europe.................................... 415 Francesco Molinari, University of Siena, Italy Mateja Kunstelj, University of Ljubljana, Slovenia Ljupčo Todorovski, University of Ljubljana, Slovenia Chapter 22 Open Governance, Civic Engagement, and New Digital Media......................................................... 437 Eleni-Revekka Staiou, University of Athens, Greece Dimitris Gouscos, University of Athens, Greece Chapter 23 Social Media Corporate Policies for Government Organizations: Lessons Learnt from the United Arab Emirates............................................................................................................ 458 Salem Al Shair Al Suwaidi, Emirates eGovernment, United Arab Emirates Ibrahim Ahmed Elbadawi, Emirates eGovernment, United Arab Emirates Chapter 24 TT Connect: The Gateway to Enhanced Service Delivery.................................................................. 475 Charlene M. L. Roach, The University of the West Indies, Trinidad & Tobago Chapter 25 A Glimmer of Hope for Mass Media in Liberal Democracy: istanbulrumazinligi.com...................... 497 Vildan Mahmutoğlu, Galatasaray University, Turkey Chapter 26 Debate on E-Debate: Between Acceptance and Refusal...................................................................... 510 Ewa Krzątała-Jaworska CRPS-CESSP, University of Paris 1 Panthéon-Sorbonne, France Chapter 27 Conceptualization of Trust in the e-Government Context: A Qualitative Analysis............................. 528 Hisham Alsaghier, Griffith University, Australia Rahim Hussain, University of Dubai, United Arab Emirates Compilation of References................................................................................................................ 558 About the Contributors..................................................................................................................... 615 Index.................................................................................................................................................... 626

Detailed Table of Contents

Preface.................................................................................................................................................. xiv Chapter 1 Reconfiguring Performance Information Linking with Accountability: Reporting and Internal Management....................................................................................................... 1 Étienne Charbonneau, École Nationale D’administration Publique, Canada Younhee Kim, East Carolina University, USA The chapter discusses different approaches to present complicated performance information to citizens and reviews various cases to understand connections between performance measurement and information. Chapter 2 E-Gov and Transparency in NJ Counties: Providing Information to Citizens....................................... 20 Deborah Mohammed-Spigner, NJ Common Cause, USA Daniel Bromberg, Western Carolina University, USA Marc Fudge, California State University, San Bernardino, USA Neil Coleman, New Jersey Taxpayers’ Association, USA The chapter examines the levels of transparency on New Jersey county government websites, and addresses specific issues related to access to information and service delivery. Chapter 3 Transparency Issues in E-Governance and Civic Engagement............................................................. 44 Sherri Greenberg, The University of Texas at Austin, USA Angela Newell, The University of Texas at Austin, USA The chapter discusses the definition of transparency related to e-governance and the implementation of transparency initiatives. Chapter 4 Measuring and Improving Information-Based Government Websites: A Suggested Framework........................................................................................................................ 65 Laura Wesley, Industry Canada, Canada The chapter introduces a framework for measuring efficiency, effectiveness, and citizen satisfaction with public sector websites.

Chapter 5 Online Political Participation in the 2008 U.S. Presidential Election: Examining the Democratic Divide......................................................................................................... 85 Taewoo Nam, University at Albany, State University of New York, USA Djoko Sigit Sayogo, University at Albany, State University of New York, USA The chapter examines the link between the democratic divide and socioeconomic/demographic characteristics, based on data from the 2008 U.S. presidential election. Chapter 6 Power and Identity among Citizens in Networked Societies: Towards a Critical Study of Cultural E-Governance.......................................................................................................... 109 Jakob Svensson, Karlstad University, Sweden The chapter examines how people enter into citizenship through online political participation and the factors governing these processes Chapter 7 A Systems Theory Approach to Electronic Voting Complexity........................................................... 128 Dimitrios Zissis, University of the Aegean, Syros, Greece Dimitrios Lekkas, University of the Aegean, Syros, Greece Argyris Arnellos, University of the Aegean, Syros, Greece The chapter contributes to the existing body of knowledge on electronic voting, based on Soft System Methodology (SSM). Chapter 8 Educational and Democratic Potential of Digital Games in e-Government........................................ 152 Erkki Patokorpi, IAMSR, Åbo Akademi University, Finland Sami Leppimäki, IAMSR, Åbo Akademi University, Finland Franck Tétard, IAMSR, Åbo Akademi University, Finland The chapter explores the potential of digital games for education, communication, and the promotion of civic skills in e-government. Chapter 9 Managing Interactional Performance in E-Government...................................................................... 167 Françoise Simon, University of Haute-Alsace, France The chapter discusses the issue of interactional performance in public e-service delivery, based on a conceptual framework of media choice and the theory of perceived justice. Chapter 10 Social Networks, Civic Participation, and Young People: A Literature Review and Summary of the Educational Challenges...................................................................................... 187 Sonia Lara, University of Navarra, Spain Concepción Naval, University of Navarra, Spain

The chapter examines the contribution of social networks to citizen participation and examines the differences between offline and online civic participation. Chapter 11 Innovative Processes and Managerial Effectiveness of e-Procurement in Healthcare........................ 206 Ubaldo Comite, University of Calabria, Italy The chapter discusses the functioning of new models of e-procurement and explores its potential in reducing expenses and achieving efficiency. Chapter 12 European Public E-Procurement: The Italian Experience................................................................... 230 Pietro Previtali, University of Pavia, Italy The chapter discusses the role of e-procurement platforms, both from an organizational and economic perspective and presents various European central procurement models from the public sector. Chapter 13 Civic Engagement and E-Governance in Gauteng: Grounds for Universal Household Broadband Internet Service.................................................................................................................. 250 Lucienne Abrahams, LINK Centre, University of the Witwatersrand, South Africa Mark Burke, LINK Centre, University of the Witwatersrand, South Africa Lauri Elliott, Conceptualee, Inc., USA Warren Hero, Gauteng Provincial Government, South Africa The chapter presents insights into the state of e-development in Gauteng, South Africa, with particular focus on policies that push universal household broadband service. Chapter 14 Implications of e-Government in Botswana in the Realm of e-Participation: Case of Francistown............................................................................................................................. 276 Vako Mbako, University of Botswana, Botswana Kelvin Joseph Bwalya, University of Johannesburg, Center of Knowledge & Information Management, South Africa Tanya Du Plessis, University of Johannesburg, Center of Knowledge & Information Management, South Africa Chris Rensleigh, University of Johannesburg, Center of Knowledge & Information Management, South Africa The chapter analyses the state of e-government preparedness and adoption in Botswana, and analyzes the intervention strategies towards robust e-government development. Chapter 15 Impact of Internet Use on Civic Engagement in Chinese Rural Areas: A Preliminary Research....................................................................................................................... 296 Jian-Chuan Zhang, Northern Illinois University, USA Ying Qin, China Internet Network Information Center, China

The chapter explores the relationship between Internet usage and civic engagement among rural users in China, and its potential to enable active citizen engagement in public affairs. Chapter 16 Rural E-Governance through the “Panchayati Raj” Institutions in India: Prospects and Challenges..................................................................................................................... 314 Malathi Subramanian, Amity University, India The chapter attempts to examine the challenges to and dimensions of the task of electronic delivery of government services through the local self-government institutions called “Panchayati Raj” in India. Chapter 17 E-Engaging India: E-Democracy Strategies for Empowerment and Civic Participation.................... 334 Kavita Karan, Southern Illinois University, USA The chapter examines the e-democracy strategies and new media technologies used by political parties, industrial corporations, and other organizations in the recent elections in India. Chapter 18 E-Government Policy Implementation in Brunei: Lessons Learnt from Singapore............................ 359 Mohammad Habibur Rahman, Universiti Brunei Darussalam, Brunei Patrick Kim Cheng Low, Universiti Brunei Darussalam, Brunei Mohammad Nabil Almunawar, Universiti Brunei Darussalam, Brunei Fadzliwati Mohiddin, Universiti Brunei Darussalam, Brunei Sik-Liong Ang, Universiti Brunei Darussalam, Brunei The chapter highlights the factors that have enabled e-government policies to be successfully implemented in Singapore and propose similar strategies in Brunei. Chapter 19 Elucidating Online Structure for Democratic Legitimacy: Case of Local Government Online Structure in Java-Indonesia...................................................................................................... 378 Djoko Sigit Sayogo, University at Albany, State University of New York, USA Taewoo Nam, University at Albany, State University of New York, USA The chapter explores the potential of e-government implementation in transforming the communication structure between local governments and citizens in Java, Indonesia. Chapter 20 Citizen Participation through Municipal Websites: A Global Scorecard............................................. 403 Alicia Schatteman, Northern Illinois University, USA Deborah Mohammed-Spigner, NJ Common Cause, USA George Poluse, Kent State University, USA The chapter introduces a model to explain why some countries provide better online citizen participation opportunities than others, based on a global study of municipal websites.

Chapter 21 Stepwise E-Participation: Good Practice from the Regional Level in Europe.................................... 415 Francesco Molinari, University of Siena, Italy Mateja Kunstelj, University of Ljubljana, Slovenia Ljupčo Todorovski, University of Ljubljana, Slovenia The chapter discusses the results of the IDEAL-EU project, which involves citizen participation and deliberation on the priorities of the new climate change agenda of the European Parliament. Chapter 22 Open Governance, Civic Engagement, and New Digital Media......................................................... 437 Eleni-Revekka Staiou, University of Athens, Greece Dimitris Gouscos, University of Athens, Greece The chapter highlights and discusses the concepts of e-governance, open governance, and civic engagement enabled by technologies such as Web 2.0, social media, and user-generated content. Chapter 23 Social Media Corporate Policies for Government Organizations: Lessons Learnt from the United Arab Emirates............................................................................................................ 458 Salem Al Shair Al Suwaidi, Emirates eGovernment, United Arab Emirates Ibrahim Ahmed Elbadawi, Emirates eGovernment, United Arab Emirates The chapter presents the key lessons learnt from the process of formulating a government-wide social media policy in the United Arab Emirates, along with providing recommendations for future research. Chapter 24 TT Connect: The Gateway to Enhanced Service Delivery.................................................................. 475 Charlene M. L. Roach, The University of the West Indies, Trinidad & Tobago The chapter examines The Trinidad and Tobago (TT) Pilot Portal site, also known as ttconnect, which provides a gateway to access the services of the twenty-two TT government ministries. Chapter 25 A Glimmer of Hope for Mass Media in Liberal Democracy: istanbulrumazinligi.com...................... 497 Vildan Mahmutoğlu, Galatasaray University, Turkey The chapter examines how the new media provides solutions for the problems of national integrated public sphere through opening new spaces in Turkey. Chapter 26 Debate on E-Debate: Between Acceptance and Refusal...................................................................... 510 Ewa Krzątała-Jaworska CRPS-CESSP, University of Paris 1 Panthéon-Sorbonne, France The chapter examines the factors that influence the acceptance or refusal of e-participation tools by local government stakeholders, based on a case study of French municipalities.

Chapter 27 Conceptualization of Trust in the e-Government Context: A Qualitative Analysis............................. 528 Hisham Alsaghier, Griffith University, Australia Rahim Hussain, University of Dubai, United Arab Emirates The chapter provides an in-depth understanding of the citizen’s perception of e-government adoption based on a qualitative approach using focus groups. Compilation of References................................................................................................................ 558 About the Contributors..................................................................................................................... 615 Index.................................................................................................................................................... 626

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Preface

As governments across the world increasingly adopt information and communication technology to improve their efficiency and effectiveness, they are gradually providing opportunities for citizen participation and engagement online. The use of Internet technologies raises the possibility for large-scale e-democracy and enhances the degree and quality of public participation in government. Initially, eparticipation was largely passive, with mostly one-way communication and information dissemination. Nowadays, online participation is highlighted by two-way communication and the active participation of citizens, along with the increasing accessibility of computers and the ever-increasing prevalence of social media. In light of these various possibilities for citizens to actively participate in governance and decision-making, this book details the efforts of governments and public agencies in providing proper channels for engaging their citizens. This book presents a wide range of research on approaches undertaken by governments across the world in facilitating active citizen participation online. The chapters also highlight the unique determinants and challenges surrounding its implementation in different global regions. Focusing on the issues and challenges involving adoption and implementation of online civic engagement initiatives globally, the book should serve as a valuable guide to governments in their efforts to enable active citizen participation. In Chapter 1, Reconfiguring Performance Information Linking with Accountability: Reporting and Internal Management, Étienne Charbonneau and Younhee Kim suggest innovative approaches to present complicated performance information to citizens. The chapter reviews various cases to understand the link between performance measurement and performance information in order to promote communication between citizens and government. According to the authors, performance reporting should be constructed in modernized, innovative, and user-focused ways to stimulate the use of performance information by external stakeholders, which can promote government accountability. In Chapter 2, E-Gov and Transparency in NJ Counties: Providing Information to Citizens, Deborah Mohammed-Spigner, Daniel Bromberg, Marc Fudge, and Neil Coleman examine the levels of transparency on New Jersey county government websites, and addresses specific issues related to access to information and service delivery. The research demonstrates that counties are utilizing information and communication technologies to increase transparency in a range of modes. However, the use of such technologies continues to remain in its infancy at the county-government level. In Chapter 3, Transparency Issues in E-Governance and Civic Engagement, Sherri Greenberg and Angela Newell discuss the definition of transparency related to e-governance and the implementation of transparency initiatives. Transparency is important in the transition from e-government to e-governance, and President Obama has made transparency a prominent issue in the federal government with his directive to use online resources to promote transparency. This chapter outlines the necessary political, policy, and technology and transparency issues in e-governance,

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along with recommendations for best practices in policy development and implementation. In Chapter 4, Measuring and Improving Information-based Government Websites: A Suggested Framework, Laura Wesley introduces a framework for measuring efficiency, effectiveness, and citizen satisfaction with public sector websites. The framework uses research methods that measure the extent to which online information advances organizational objectives, reaches its target audience, and meets users’ expectations for service and quality. In Chapter 5, Online Political Participation in the 2008 U.S. Presidential Election: Examining the Democratic Divide, Taewoo Nam and Djoko Sigit Sayogo examine how the democratic divide (the gap in political activities via the Internet) is linked to socioeconomic and demographic characteristics, based on the data from the Pew Research Center’s survey conducted during the campaign season of the 2008 U.S. presidential election. The study compares five different types of online political activity - communication, mobilization, information consumption, information production, and involvement in social networking websites. In Chapter 6, Power and Identity among Citizens in Networked Societies: Towards a Critical Study of Cultural E-Governance, Jakob Svensson discusses the issues of political participation, citizenship practices and power. Based on social theory and transdisciplinarity, the chapter examines how people enter into citizenship through political participation online and the factors governing these processes. In Chapter 7, A Systems Theory Approach to Electronic Voting Complexity, Dimitrios Zissis, Dimitrios Lekkas, and Argyris Arnellos contribute to the existing body of knowledge on electronic voting, based on Soft System Methodology (SSM). Electronic voting is often identified as a soft, ill-structured human activity system, and soft systems thinking is applied to resolve complex issues and provide a clearer perspective of related interdependencies. In Chapter 8, Educational and Democratic Potential of Digital Games in E-Government, Erkki Patokorpi, Sami Leppimäki and Franck Tétard discuss the potential of digital games for education, communication and the promotion of civic skills in e-government. According to the authors, learning by games promotes the understanding of complex social issues and their mutual relationships, and consequently, learning by playing serious games is best understood as reasoned practical action in a virtual world. Presenting a social and cultural rationale for the use of games by citizens in terms of social capital, the chapter discusses worldwide examples of existing game applications for e-government. In Chapter 9, Managing Interactional Performance in E-Government, Françoise Simon discusses the issue of interactional performance in public e-service delivery, based on a conceptual framework of media choice and the theory of perceived justice. The chapter examines the interplay of service complexity, media richness, and social cues on individual media preferences. Additionally, it discusses key factors that lead citizen-users to the perception of a sense of equity through electronic communication. In Chapter 10, Social Networks, Civic Participation and Young People: A Literature Review and Summary of the Educational Challenges, Sonia Lara and Concepción Naval examine the contribution of social networks to citizen participation. The key questions discussed in the chapter are - How does the use of social networks affect civic behaviour and attitudes among citizens? Does such use foster real civic participation or, in contrast, does it lead to isolation from the real world as a result of engagement in online activities? Also, are there generic, quantitative and/or qualitative differences between offline and online social and civic participation? In Chapter 11, Innovative Processes and Managerial Effectiveness of E-Procurement in Healthcare, Ubaldo Comite discusses the functioning of new models of e-procurement and explores its potential in achieving efficiency, based on the reorganization of the acquiring procedures of goods and services. In Chapter 12, European Public E-Procurement: The Italian Experience, Pietro Previtali discusses the role of e-procurement and presents various European central procurement models

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from the public sector. Based on an e-transaction survey in the Italian Central Procurement Department, the chapter discusses the category of goods and services compliant with e-procurement tools, along with the implications of the legislative framework for e-procurement transactions. In Chapter 13, Civic Engagement and E-Governance in Gauteng: Grounds for Universal Household Broadband Internet Service, Lucienne Abrahams, Mark Burke, Lauri Elliott, and Warren Hero present insights into the state of e-development in Gauteng, South Africa. The achievement of universal suffrage in 1994 created the foundations for greater civic engagement. However, as social interaction and societal governance become increasingly electronically mediated, a large proportion of the population is excluded from these new forms of on-Net interaction. This chapter argues that policies that push universal household broadband service can contribute to reducing social exclusion through creating the foundation for households to operate as units of production and overcome economic deprivation, thus laying a stronger basis for civic engagement. In Chapter 14, Implications of E-Government in Botswana in the Realm of E-Particpation: Case of Francistown, Mbako Vako, Bwalya Kelvin Joseph, Tanya Du Plessis, and Chris Rensleigh present the intervention strategies towards robust e-government development in Botswana where e-government is still at the very initial stages. Many of the e-government strategies being planned in Botswana have often inadequately considered the e-participation component and this is negatively impacting the overall anticipated value prepositions for e-government implementation. Based on an exploratory and empirical study of Francistown and surrounding rural areas, the chapter presents a critical analysis of the state of e-government preparedness and the current status of e-government adoption in Botswana. In Chapter 15, Impact of Internet Use on Civic Engagement in Chinese Rural Areas: A Preliminary Research, Jian-Chuan Zhang and Ying Qin explore the relationship between Internet usage and civic engagement in rural China. Based on the surveys implemented by the China Internet Network Information Center (CNNIC), the authors find that Internet does enhance the level of civic engagement among rural users and has the potential to enable active engagement in public affairs in the future. In Chapter 16, Rural E-Governance through the ‘Panchayat Raj’ Institutions in India: Prospects and Challenges, Malathi Subramanian examines the role of local self-government Institutions (Panchayats) in rural egovernance in India. The Panchayats are particularly helpful in simplifying civic governance, by making government more democratic, inclusive, and more accessible to the citizens at the local village level. In Chapter 17, E-Engaging India: E-Democracy Strategies for Empowerment and Civic Participation, Kavita Karan examines the e-governance and e-democracy strategies, and new media technologies used by political parties, industrial corporations, and other organizations in India. The chapter particularly examines the recent elections that witnessed a surge in the use of new Internet technologies, social networking and mobile technologies, along with the traditional forms of electioneering. In Chapter 18, E-Government Policy Implementation in Brunei: Lessons Learnt from Singapore, Mohammad Habibur Rahman, Patrick Kim Cheng Low, Mohammad Nabil Almunawar, Fadzliwati Mohiddin, and Sik-Liong Ang examine e-government strategies in Brunei in the light of policy success in Singapore. Based on their empirical research in these two South-East Asian nations, this chapter highlights the factors that have enabled e-government policies to be successfully implemented in Singapore and proposes potential success ingredients for the implementation of similar strategies in Brunei. In Chapter 19, Elucidating Online Structure for Democratic Legitimacy: Case of Local Government Online Structure in Java-Indonesia, Djoko Sigit Sayogo and Taewoo Nam explore the online communicative structures among local governments in Java, Indonesia. Based on an analysis of local government websites, the study reveals that the levels of democratized Internet mediated human interactions through

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local government online structures are restricted. The questions specifically addressed in this study are: to what extent would e-government implementation change the communication structure between local government and the citizens of Indonesia? Are citizens able to generate opinions and attitudes that will affirm or challenge the affairs of state? Is the local government able to promote democratic legitimacy in Indonesia through the design, control, and filter of their online structure? In Chapter 20, Citizen Participation Through Municipal Websites: A Global Scorecard, Alicia Schatteman, Deborah Mohammed-Spigner and George Poluse introduce a model to explain why some countries provide better online citizen participation opportunities than others. Based on the global study of municipal websites, the chapter specifically addresses two primary questions: 1. What are the opportunities for online participation in the most populous cities globally? 2. What factors are associated with opportunities for online citizen participation through municipal websites? In Chapter 21, Stepwise E-Participation: Good Practice from the Regional Level in Europe, Francesco Molinari, Mateja Kunstelj and Ljupčo Todorovski discuss the results of the IDEAL-EU project, in which three European Regions - iTuscany, Catalonia, and Poitou-Charentes - have involved citizens (and particularly young people) in discussing and deliberating on the priorities of the new climate change agenda of the European Parliament. These deliberations are supported by two distinct ICT instruments - a social networking platform and a pan-European virtual town meeting. In Chapter 22, Open Governance, Civic Engagement and New Digital Media, Eleni-Revekka Staiou and Dimitris Gouscos highlight and discuss the concepts of e-governance, open governance, and civic engagement enabled by technologies such as Web 2.0, social media, and user-generated content. The focus of discussion is placed on common founding premises and adoption factors that are reproduced at multiple levels, from that of the underlying technology up to end services and interaction patterns. A number of governance initiatives and services are used as working examples, with a view to providing readers with an improved understanding of technological principles and functional capabilities that can attract citizen participation and encourage civic engagement. In Chapter 23, Social Media Corporate Policies for Government Organizations: Lessons Learnt from the United Arab Emirates, Al Shair, Salem and Ibrahim Elbadawi, present the key lessons learnt from the process of formulating a government-wide social media policy in the United Arab Emirates. The chapter discusses the main barriers to the successful adoption of social media along with providing recommendations for future research. In Chapter 24, TT Connect – The Gateway to Enhanced Service Delivery, Charlene M. L. Roach examines the Trinidad and Tobago (TT) Pilot Portal site, also known as ttconnect, which provides a gateway to access the services of the twenty-two TT government ministries. The chapter explains that in using the portal design, TT’s government is attempting to shift to a new paradigm in its service delivery, improving public outreach and citizens’ responsiveness. The chapter also reviews TT government’s macro policies, called Vision 2020 and Fastforward, the Information and Communication Technology (ICT) strategy, which are being used as policy instruments to enable TT to reach developed nation status by the year 2020. In Chapter 25, A Glimmer of Hope in Mass Media in Liberal Democracy: istanbulrumazinligi.com, Vildan Mahmutoğlu examines a website launched by the Greek minority in İstanbul istanbulrumazinligi.com. The chapter examines how a minority group can find a place in national public sphere? Particulary, how does the new media provide solutions for the problems of national integrated public sphere through opening new spaces? The findings are analyzed by the terms of engagement to democracy, public sphere, minority culture and e-democracy, and e-deliberation. In Chapter 26, Debate on E-Debate: Between Acceptance and Refusal, Ewa Krzątała-Jaworska examines the factors that influence the acceptance or refusal of e-participation tools by local government stakeholders. Based on a

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case study of a French Municipality of 50,000 inhabitants, the findings show that the attitude towards e-participation by local councilors depends largely on the degree of control they have over the vision of local democracy. The hypothesis of this study is that the decision of local officials to involve citizens in the policy process via the Internet depends not only on the rational balance between gains and costs, but also on the beliefs of the local councilors. In Chapter 27, Conceptualization of Trust in the e-Government Context: A Qualitative Analysis, Hisham Alsaghier and Rahim Hussain provide an in-depth understanding of the citizens’ perception of e-government adoption based on a qualitative approach using focus groups. The study identifies the critical factors that affect citizens’ trust in e-government and provide a comprehensive guide to governments on how to improve citizens’ trust and enhance their engagement in the e-government initiatives. Aroon Manoharan Kent State University, USA Marc Holzer Rutgers University-Campus at Newark, USA

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Chapter 1

Reconfiguring Performance Information Linking with Accountability: Reporting and Internal Management Étienne Charbonneau École Nationale D’administration Publique, Canada Younhee Kim East Carolina University, USA

ABSTRACT Over the past decade, performance information has been widely available to citizens along with the expansion of e-government, which has magnified communications between citizens and government as well as citizen direct participation in government business. If citizens are informed more about government performance, citizen trust in government should improve. However, there is, in effect, little use of performance information by citizens, since availability to citizens is not very visible. To disseminate the results of performance measurement effectively, government should pay attention to the improvement of performance measurement systems and performance reporting systems with citizen-centered approaches. User-friendly reporting should not just simplify the multi-layers of performance measurement for improving performance itself. Rather, this chapter suggests applying different approaches to present complicated performance information to citizens. Performance reporting should be constructed in modernized, innovative, and user-focused ways to stimulate the use of performance information by external stakeholders, which can promote government accountability.

INTRODUCTION In the past two decades, information dissemination through an e-government platform has offered tremendous opportunities for agencies to improve trust in government and for citizens to engage in

government business. E-government has become the most effective channel for government to communicate with citizens. The magnitude of public reporting has been further expanded by e-government in not only performance improvement but also performance accountability after the Government Accounting Standards Board (1987)

DOI: 10.4018/978-1-4666-0116-1.ch001

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Reconfiguring Performance Information Linking with Accountability

established a connection between performance and accountability. The more citizens are informed about government performance information, the more they can actively participate in democratic processes using such information. Public reporting, thus, should be a proactive government action to present performance information to citizens in an approachable manner. As Coy and Dixon (2004) asserted, the reporting of comprehensive government information to citizens mirrors public accountability. Substantial reporting systems should help public agencies to improve their accountability. The emphasis of performance management linking with accountability has been changed from controlling internal functions to improving the quality of government services. The concept of performance measurement has been expanded to improve not only effectiveness and efficiency but also accountability (Ammons, 1996; Kelly, 2002; Wholey & Newcomer, 1997). Performance measurement is a pragmatic information-based management tool used to simplify complex administrative reality into a tangible dimension. The importance of such measured performance information is able to disseminate rapidly to outside government by the expansion of e-government. E-government initiatives stimulate innovative delivery of public reporting responsibilities to build trust in government. This chapter reviews various cases to understand connections between performance measurement and performance information in order to promote communication between citizens and government.

PERFORMANCE MEASUREMENT LINKING WITH ACCOUNTABILITY Do citizens care about what their government does? Performance information can fill the gap between government and citizens since it brings citizens’ attention and interest to government. It is often taken for granted that once performance

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measures are available in a report, accountability is largely achieved. When citizens are aware of performance information at large, accountability can be optimized (Simon & Ridley, 1938). Behn (2008) asserted the importance of performance reporting to citizens through analysis of the Baltimore CitiStat performance measurement initiative. He found that citizens pay less attention to government managerial strategies. Instead, they care about the results of those strategies. Berman (2006) reconfirmed the interests of citizens is in knowing more about their government. “Managing for results” information, however, is hard to obtain in a way that can be understood by citizens. The general public has neither the time nor the background to interpret statistical tables in an intelligent manner. Reporting performance measurement to citizens should be tailored using an explanatory method.

Understanding Performance Measurement Performance measurement is widely credited with improving performance and increasing accountability. The timely flux of information is key to understanding performance measurement, since performance measurement is the “regular and careful monitoring of program implementation and outcomes,” which regularity is a different requirement comparing to program evaluation (de Lancer-Julnes, 2006, p.223). Since government agencies often find themselves in monopolistic positions, performance indicators would carry information, in similar ways as prices do in the private sector (Johnsen, 2005). Performance measurement would be an outcome-based management tool that could at times complement, and at times compete, with more process based management tools like budgets. Based on the findings of previous studies, the central argument of this chapter is that performance measurement, especially if it is to rise up to budgets, could gain to be more complex. Added complexity would

Reconfiguring Performance Information Linking with Accountability

provide public managers with sophisticated information needed to enable an improvement of performance. At present, a number of performance initiatives are kept purposefully simplistic because they are aimed at accountability to citizens and not performance improvement. In the United States, managers would like to see performance-based management tools disappear (Behn, 2008), as management by objectives, zero-based budgeting, performance-based budgeting, total quality management, the balanced scorecard and the organizational dashboards have either dissolved, or are spottily applied and used (Moynihan, 2008; Poister & Streib, 1999; Steinhardt, 2008). At the municipal level, budgets were no longer resisted as complex management tools in the beginning of the twentieth century (Bruère, 1915). Almost a hundred years later, the same could not be said for municipal performance measurement (e.g., Schatteman, 2009; Charbonneau, 2010). Contrary to budgets, the complexity of performance measurement has not increased substantively in the last century. What changed most is the way in which reports are disseminated. Early calls for more complexity, like the inadequacy of per capita indicators (Kilpatrick, 1936; Ridley, 1927), adjusting measures for local characteristics (Ridley, 1927), or establishing minimal standards (Kilpatrick, 1936) have generally not yet been implemented.

Benefits of Performance Measurement The benefits of performance measurement include helping public agencies to monitor, penalize, and reward contractors (Page & Malinowski, 2004). According to these authors, “good measurement systems help break the cycle of low-bid/low-quality procurement by rewarding high-performing contractors with contractor extensions and other preferences” (Page & Malinowski, 2004, p. 32). Benefits like ‘overtly prioritizing tasks’ have also been uncovered by deductive reasoning on the

part of practitioners, for example Chief Police Inspectors (Rogerson, 1995). From the public sector performance literature, de Bruijin (2002, pp. 580-581) finds three recurrent benefits of performance measurement that are identified: performance measurement brings transparency; performance measurement is an incentive for output; performance measurement is an elegant way of shaping accountability. Without discrediting the bases used to identify the benefits of performance measurement altogether, one has to acknowledge that benefits found with deductive reasoning are more convincing to performance measurement proponents than opponents. McGowan and Poister (1985) examined the impacts of performance measurement using International City/County Management Association survey data, which collected the nationwide surveys from 460 of 1,062 public managers in municipal and county governments. They found that managers felt that performance measurement had some influence in “modifying program objectives (51%), altering work standards (53%), and setting individual performance targets (49%)” (McGowan & Poister, 1985, p. 537). The study also explained that 61% of respondents found that the benefits of performance measurement outweighed the cost of collecting data, while only less than 1% of county managers felt inexpensive data collection (McGowan & Poister, 1985). Recently, Poister and Steib (1999) found that most managers indicated that their performance measures improved decisions at least moderately and reported at least moderate changes in budget allocations. Berman and Wang (2000), using 209 surveys from county managers in the US, identified the extent to which managers found the following benefits to be present in their county as a result of the use of performance measurement. In general, performance measurement received limited credits for variations of program outcomes. The results of public managers’ opinions on the potential benefits of performance measurement are summarized in Table 1.

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Table 1. Summary for the benefits of performance measurement Category

Benefit

Response rate

Accountability & commitment

- Increased awareness about the need for accountability - Improved accountability of program performance - Increased commitment to excellence

48.0% 35.6% 31.5%

Goal & objective

- Established performance target levels for programs/services - Clarified agency or program goals and objectives

40.0% 37.2%

Capacity & decision making

- Achieving improvements despite resource constraints - Improving group decision-making capabilities - Determined long-term budget needs - Elimination of no longer needed services - Improved timeliness of management decisions

32.5% 26.6% 23.6% 16.1% 15.5%

Service delivery

- Increased ability to determine service efficiency - Increased ability to determine service effectiveness -Increased ability to determine service effectiveness

45.0% 43.0% 40.0%

Source: Berman & Wang (2000), p.417

Accountability and Performance Improvement

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Reporting is not only an essential pillar of performance management, it is also one of the functions of the chief executive, as identified in 1937 by Gulick’s POSDCORB. Reporting is the vehicle through which public accountability is made possible. This heightened accountability, would be one of the main benefits of performance measurement (Berman & Wang, 2000; Carvalho et al., 2006; de Bruijin, 2002), alongside performance improvement. The shortcomings of transparency in reporting received less coverage. Transparency and performance improvement are two expected benefits of performance measurement that are often mentioned and included in official policies (e.g., Wilson, 2004, pp. 37-38). Some question if transparency and performance improvement can be achieved simultaneously (Trosa & Williams, 1996). An argument is made in many cases, that a single set of performance measures could not be often used for both objectives. One reason is that transparency/accountability is conceptually opposed to performance/productivity. Halachmi (2005) proposed incompatibility of accountability and performance improvement for measurement:

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•

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Accountability is living up to performance standards that existed when the use of resources/authority was authorized. Accountability is primarily about relationships: Who is superior to whom? Who is answerable to whom? What must be reported and who decides it? Productivity is more than keeping with past trends or marginally improving on them. Productivity relates to progress, innovation, and change, preferably moving to a higher curve rather than moving to a higher point on the same productivity curve. Productivity is about management, adaptation, creativity, and breaking away from the past or from the group, while accountability is about staying within the four corners of the contract. Productivity results from thinking outside the box, while from an accountability point of view, all such activities suggest deviation and a disregard for the rules. Productivity involves feeling good about alleged results and having a sense of achievement, whereas accountability is about feeling right, safe, and capable of defending an official (formal) record.

Reconfiguring Performance Information Linking with Accountability

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Productivity has to do with a continuous free-form process of self-examination and an internal search for new insight, whereas accountability involves external scrutiny and a relatively rigid use of pre-established legal or professional standards. (Halachmi, 2005, pp. 261-262)

PERFORMANCE REPORTING LINKING WITH PERFORMANCE INFORMATION A recent study on Dutch public schools and hospitals found that citizens had little interests in the use of electronic performance data to facilitate choice of schools and hospitals (Meijer, 2007). Citizens simply accessed the information on the Internet without utilizing such information for actual decisions. Meijer (2007) suggested educating citizens to improve the use of performance information in making decisions. Table 2 presents key features of each performance information and performance reporting. In general, performance information is prepared largely to control operations and measure activities for internal stakeholders, while performance reporting focuses on enhancing accountability for citizens.

The use of Performance Information Managers, elected officials, and citizens have different needs when it comes to performance information (Smith, 2005; Wisniewski & Stewart, 2004). Jansen (2008) examined the difference between the needs and the use of performance

information for politicians and managers. Using the case study method for three local social services departments in Utrecht, Eindhoven, and Groningen, all located in the Netherlands, the author tried to explain the low level of usage of performance measurement. Jansen (2008) found that in the three cases, the needs of managers and politicians are so different that they received separate performance reports. Even within management, Managing Directors of the municipality’s Social Services Department hardly use the performance report prepared by their department: the reports contain too many details and are tailored to the information needs of the production managers. The result of having performance reports with a single set of precise measures geared internally for performance improvement meant that managing directors and politicians had limited use of the performance reports (Jansen, 2008). Managing directors would palliate this situation by collecting their own performance information on an ad hoc basis, as a replacement of the information provided by the performance report. All in all, politicians and directors, because of their need to be accountable, wanted to know the extent to which the organization has succeeded in meeting its plans. Melkers and Willoughby (2005) were able to conclude that “measures that are included in documentation simply to support reporting protocols may not prove useful or effective for decision making” (p.188). To that regard, Ammons and Rivenbark (2008) went further to state that, according to their observations in North Carolina, performance management initiatives geared toward reporting are unlikely to foster performance improvement. The same conclusion

Table 2. Key features of performance information and reporting Performance Information

Performance Reporting

Priority

Internal management, external oversight

Accountability

Target stakeholder

Elected officials, legislators

Citizens

Operational focus

Data collection

Information presentation

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was reached in the context of police and health services in England (Micheli & Neely, 2010). A possible response to the gap between measures that are internally and externally relevant to an organization, compounded by the cost of collecting data, incorporates the development of a generic set of performance measures intended to satisfy different groups (managers, elected officials, and citizens) and their differing requirements. The danger of such an approach, according to Wisniewski and Stewart’s (2004) study of local authorities in Scotland, is that such generic measures will satisfy no one, as the measures will not accommodate anyone’s proper needs. A second alternative is to overtly choose a set of performance measures for either a goal of performance improvement or a goal of accountability. However, what can come of it is the unofficial implementation of a parallel measurement system to cover the other function, which would bring confusion and resource strain on organizations (Moxham, 2009). A third alternative considered by Snohomish County, Washington is to operate a dashboard of performance measures for collecting two sets of data: the first dataset is about the public’s interests for information, and the second dataset is about performance and managing to outcomes (Stein, 2007). A fourth alternative is to collect only one set of data, but to present data in different formats for different users (Smith, 2005). However, it is not clear if pursuing this strategy will not end up facing the same dangers of offering a generic set of measures. Studies on the actual use of performance information by citizens in North America exist in the health care sector. Schneider and Epstein (1998) studied the influence of performance measurement in the choice of a cardiac surgeon in the state of Pennsylvania. The main difference between the Meijer study (2007) and the Schneider and Epstein study (1998) is the nature of the sample in both countries: public healthcare in the Netherlands, and private health care in the United States. Schneider and Epstein (1998) analyzed the use

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of information by patients who underwent coronary artery bypass graft (CABG) surgery. Given the dramatic nature of CABG, one would expect that a patient planning such a surgery would be particularly motivated to use available information in the Consumer Guide to Coronary Artery Bypass Graft Surgery: a risk-adjusted guide that received extensive media coverage. Schneider and Epstein (1998) described this guide as being a widely distributed, disseminated among hospitals, surgeons, public libraries, business groups, and the media. Individuals could, at the time of their study, freely order one of the 15,000 available copies. Schneider and Epstein (1998) interviewed 474 Pennsylvanians who underwent a CABG surgery. The results of this study are similar to Meijer’s study in which service users did not use available performance information to make their choices. The major findings are that about 80% of the patients did not know about the existence of available performance information and only 2% of the patients were influenced by performance information in the choice of hospitals (Schneider & Epstein, 1998). Contrary to many public services that are paid for indirectly through taxes and dispensed to a limited portion of the population, cardiac surgeries concern one individual, and in the US, are paid for through individual insurance. Only one percent of post-surgery patients could accurately recall performance information for such a service.

Accessibility of Performance Information Proponents of transparency are often quick to offer syllogisms about the virtues of transparency on performance or ethics. While the argument that performance would be improved as a result of increased scrutiny might appear convincing at face value, it is difficult to assess it empirically. A methodologically convincing way to test this hypothesis requires comparative data of agreedupon measures of performance among units of gov-

Reconfiguring Performance Information Linking with Accountability

ernment. At the macro-level, Hauner and Kyobe (2008) compiled the first large cross-country panel dataset of public sector performance and efficiency. Their sample includes 114 countries on all income levels from 1980 to 2006. The authors used a sample of about 1,800 countryyear observations for education, and about 900 observations for health. Openness was not among the factors that explained achieved performance levels. Hauner and Kyobe (2008) found that there is no tested significance between openness and performance in trade liberalization, while openness can be expected to promote performance and efficiency through stimulating competition. Numerous studies questioning if transparency and openness promote better performance at the micro level exist in the healthcare sector. A systematic review of forty-five healthcare studies on transparency and performance published from 1986 to 2006 found scant evidence supporting the transparency-performance link at the hospital and health system-level (Fung et al., 2008).

Barriers for Measuring Performance Information Performance measures would need to be fine adjusted for managers to be able to act upon them. However, when it comes to measuring the performance of complex operations in the public sector, there is considerable pressure on public organizations to use a few simple measures that can be easily reported to politicians and citizens. A common way to make performance information accessible for reporting to lay people is to assess performance in a holistic manner, and/or report data with easily categorical interpretations of what the results mean. The latter often takes the form of arrows, traffic lights and smiling faces; the former results in aggregating multiple measures into indices. Again, this form of performance measures designed for external accountability makes it difficult, if not impossible for managers to act on this information to improve performance. Bird

et al. (2005) offered that “complexity or difficulty of public understanding should never be an excuse for insufficiency of analysis” (p. 19). This includes having performance measures that take into account the socio-economic characteristics that are outside of public managers’ control. This lack of acknowledgement of complexity can ultimately doom a performance measurement initiative, as managers will not use simplistic performance measures. A recent study of local managers in the province of Quebec, Canada, found that one frequent comment from managers is that they do not use and use only seldom, performance information (Charbonneau, 2010). Perceived simplistic performance measures were one of the reasons for the demise of the (defunct) Law Enforcement Assistance Administration’s Standards and Goals Program that occurred in the 1970’s American criminal justice system (Zedlewski, 1979). The lack of recognition in complexity of performance measures by incorporating performance measures is also problematic. The most extreme case is the report card-type assessment of an entire municipal government with a single measure, often a letter grade. For all its intricacy of the evaluation scheme, the early versions of the (now defunct) Comprehensive Performance Assessment (CPA) system in Britain ultimately boiled down the measures of a municipality on a single measure. Reporting “single snapshot judgments of the performance of the whole authority, on the apparent assumption that that performance will be uniform across its dozens of service areas and thousands of employees” (Game, 2006, p. 472), went against the spirit of the measurement before the index: the painstaking performance measurement of the many services, the inspections of the Best Value system, and the auditing. Coming up with a single amalgamated score for the performance of a municipality rests on the assumption that the services are correlated among themselves. Boyne (1997) described that performance is a tendency of specific service departments rather than general characteristics

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of local organizations. Besides, this assumption of correlated performance in services, an overall performance assessment, especially if it is naïvely weighted, means that a very poor performance in one service can be balanced by one or more highly performing services.

Weights To fulfill goals of reporting to non-specialists, performance measures are sometimes summed up in indices. The straightforwardness of the amalgamating process takes away, at times, from the complexity of what is being measured. Nowhere is this more patent than in the weighting process. The tendency to weighted measures was first recognized by Ridley (1927) who proposed modest weight application on policing performance measures. His suggestion is that different levels of crime should be weighted on the basis of its seriousness rather than comparing frequency of crime. Naively weighted measures are the explicit or implicit practice of using the arithmetic average of all components of an index which all values have on an equal footing in determining the total measurement. Straight (2000) indicated that equal weights do not reflect managers’ desires and generate wrong signals to the workforce when some measures are prioritized. The choice of a weighting system, or more possibly the lack of reflection on it, can have a significant impact on the values taken by the index (Stone & Davis, 2007). This may create a distorted image of organizational performance. A wrong practice that an organization’s managers can do is to recognize the simple nature of a composite performance measure and ignore it, or take actions on an index that does not truly reflect the performance of an organization. To palliate to this problem, Jacobs and Goddard (2007) suggested that in the face of an ad hoc, arbitrary choice of weight, “greater attention should be paid to the origin and nature of weights and the sensitivity of composites to changes in the weighting structure” (p. 109). The methodologically proper directions 8

to weight an index is outside the scope of this chapter. The argument is that complexity might be the first victim of crudely fabricated measures for reporting purposes to non-experts like politicians and citizens.

Simple Measurement Indicators Specific services are often measured by simple performance measures. One example of this phenomenon is the measurement of overall performance of police services in Swedish municipalities with a color code. Color coded performance measures might ease reporting to lay people, but it provides little help for managers to foster performance improvement. Carmona and Grönlund (2003) discussed how measuring policies just by color indicators may obstruct understanding richness and variety of police works based on interviews of municipal police services in Sweden. Interviewed police chiefs evaluated that the use of simple color codes for performance measures was very impractical since they could not get any additional information for improving a condition. The use of crude measures like traffic lights and smiling faces is not limited to Sweden. ‘Happy smiling faces’ and ‘sad faces’ have been used to measure improving and deteriorating performance in municipal public housing in Wales (Davies, 2004, p.37). Academics are sometimes the ones calling for or supporting such measures (Voyer, 1999, pp. 263-264). It would be unfair to bestow the sole responsibility of neglecting complexity on citizens and politicians, for whom managers would have to greatly simplify the measures by which performance will be judged. There is at least one reported case where managers were unwilling to reach further than the most easily accessible data. Based on assessment of the interviews from state government budget officers in Georgia, Lu (2008) reported that budget officers were strictly unwilling to measure performance if “a measure needs a substantial amount of administrative work in collecting data” (p. 17).

Reconfiguring Performance Information Linking with Accountability

Non-Linearity Despite many warnings from the literature, the very nature and shape of performance is often overlooked in performance measurement initiatives geared for the public. The result is that complexity is disregarded. The former Minnesota Statewide Transportation Plan, which ended in 2003, is a patent example of the implicit performance linearity assumption that goes on in many public sector performance measurement initiatives. In its ten-point policy, the Minnesota Department of Transportation (2003) ranked 8 out of the 10 point system that indicates seeking continuous improvement for the Department’s Internal Management and Program Delivery. The 2003 plan demonstrates that continuous performance improvement is achievable. Consistent with this proposition, performance improvement is thought to be linear. Linearity, in a performance setting, means that no matter the performance at a given time, tx, it is possible to increase performance, tx+1, at an equal rate than between tx+1 and tx+2. Moreover, this means that the same effort, no matter the performance baseline at tx, will yield the same gains in performance. This assumption has important consequences for the setting of targets and for citizen satisfaction derived from expected and observed performance. The assumption of linearity is difficult to correct in a single agency performance measurement and improvement initiative: there is little information to determine the relative performance of the agency when it lacks external data. However, even in complex municipal benchmarking systems such as the ‘Best Value’ component of the former English CPA system, diminishing returns in performance improvement can be ignored and constant improvement can be expected (seeBowerman, Ball, & Francis, 2001, p. 324). This assumption that performance improvements can be attained in constant strides becomes even less realistic when multiple agencies are evaluated with a given set of criteria. In terms of performance, where agen-

cies stand, matters. It is very different to improve performance in a poorly performing agency than to make an excellent agency even better: “Organizations at the bottom end of the distribution have a lot of room for improvement, whereas those at the top end may need disproportionate managerial skill or effort to perform even better” (Boyne & Chen, 2007, p. 461). The non-linear shape of performance is not often acknowledged in research settings. For example, the impracticality to infinitely increase performance has been expressed or identified for municipal government (Behn, 2008; Boyne & Chen, 2007; Higgins, 2005), policing (Loveday, 2006), fire services (Wallace, 1977), passports and visas processing (Jones, 2001), public hospitals finances (Alexander, Weiner, & Griffith, 2006), and public health (Castelli et al., 2007). Jones (2001) argued about the effect of the linearity assumption of improvement targets, which is where significant advances have already been made; it becomes more difficult to continue to accomplish ever higher targets within existing resource availability. This phenomenon is known in economics as “decreasing marginal rate.” Similarly to other simplistic assumptions about performance reviewed earlier in this research, the linearity assumption can have important consequences on administrative operations (Boyne, Meier, O’Toole, & Walker, 2006). Conscious about overpromising systems and unrealistic performance goals, two researchers from Idaho National Laboratories tried to explain how performance actually improves over time. Harbour and Marple (2005) attempted to answer this basic question by plotting around 1,200 data sets of individual performance records from diverse settings, such as records from sports event, global public health care and offshore oil discovery. Harbour and Marple (2005) asserted that a steep increase in performance gain is often followed by a pronounced slowdown. Such resultant slowdowns create a step-like or a flat-top appearance in a curve form. These findings about

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the non-linearity of performance corroborate the observations of public administration researchers in fields of municipal government, policing, fire services, passports and visas processing, public hospitals finances, and public health presented above, an others (Bititci, Turner, & Begemann, 2000; Kelman & Friedman, 2009; Yang, Hsieh, & Li, 2009). Given the widespread presence, in performance measurement initiatives, of more obvious simplistic devices like naïve weights, arrows, traffic lights and smiling faces, it should not be surprising that few practitioners take into account diminishing return. Even when some accommodations are made for the curvilinear shape of performance, like New York City’s City Performance Reporting (CPR) performance measurement system, the formula is not fitted to specific services. New York City CPR is an example that is particularly interesting for this research. The CPR system tracks variations in performance, allowing some room for nonlinearity, as it considers that performance improving or stable is green. Furthermore, performance decreases can be either yellow or red. Complexity is denied, as all 44 departments and agencies in New York City are publically evaluated with the same cookie cutter slide rule. Quite arbitrarily, a negative performance variation of less than 10% is deemed yellow and more than 10% is deemed red. This example is an illustration that some aspects of complexity can be taken into account while others go unnoticed.

E-reporting The Government Performance and Results Act (GPRA) has pushed the practice of performance reporting to guide and educate citizens since 1993. Connecting the principles of GPRA and egovernment initiatives, a government website has been a convenient instrument for collecting data and disseminating information. The expansion of e-government has mandated federal agencies to use electronic techniques and formats more heavily

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than traditional channels for delivering government information to citizens (e.g., Government Paperwork Elimination Act of 1998). Horrigan (2004) asserted that Americans have heavily relied on government websites for searching and requesting information. Since the Internet has been broadly utilized in the US, information savvy citizens are likely to access more performance information on how government businesses have operated. The e-government platform has taken a serious responsibility to disseminate information in effective and timely manners (Moon, 2002; West, 2008). Old-fashioned hard-copy performance reports appear to be not as attractive to the citizenry since these reports are not easily customized for responding the different layers of citizens’ needs. E-government is able to construct modernized and user-focused reporting systems in order to inform government performance more effectively. As a result, e-government is a “new face of government” (Morgeson & Mithas, 2009, p. 741) to communicate with the citizenry regarding government performance and services, which can eventually establish “new forms of public accountability” (Margetts, 2003, p. 374). E-reporting is “a tool of e-democracy” (Lee, 2004, p. 11), and thus the priority of e-reporting is to provide more relevant, understandable, and timely information for presenting the fulfillment of government responsibilities to internal and external stakeholders. The major benefits of e-reporting are the ability to increase the use of performance information by citizens and to promote an interaction with citizens in inexpensive, up-to-date, and accurate manner. Uploading reports on government websites is not an option anymore at all levels of governments. Rather, ereporting appears to be a requirement to stimulate accomplishment of governmental goals and to enhance democratic accountability (Lee, 2004). Critical matters of current e-reporting are to what extent performance data and information should be presented and what kinds of reporting formats should be applied to be understood effectively by

Reconfiguring Performance Information Linking with Accountability

citizens. E-reporting of performance information should pay attention to decisions on presenting operations (e.g., visual formats, easy-to-understand statistics, not-much-text-oriented explanation), while general performance measurement largely focuses on decisions on appropriate measures (e.g., inputs, outputs, outcomes). Lee (2004) suggested the major features of e-reporting to present performance information to all stakeholders after reviewing hundreds of government websites: be relevant to the casual and general interests; be easy to understand using basic quantitative functions; focus on key areas of performance activity; apply standardized categories of performance information; be able to compare this year’s performance information with data from several previous years; and avoid to make unnecessary work for the agency (p. 27). To respond these requirements of performance reports, the e-reporting system should prepare a systematic process utilizing e-government. Schatteman (2010) developed the four stages of e-reporting lining with the e-government stage models: Stage 1 for posting reports, Stage 2 for publishing data, Stage 3 for real-time data, and Stage 4 for data evaluation in real-time. This linear model of e-reporting presents a step by step guide from uploading a summary report and data to updating real-time information and performance evaluation. The stage 4 requires not only posting performance evaluation from the government side but also commenting feedback from the citizen side. She, however, found that no e-reporting system adopted to allow citizens’ feedback regarding government performance. Passively provided performance information in an analogy reporting system can be actively utilized in a digital reporting system through engaging more citizens in government. As egovernment has rapidly progressed in delivering government business for 24 hours a day and seven days a week under a uniformed frame, e-reporting should parallel the nature of e-government in sharing performance information with citizens.

Therefore, e-government initiatives should facilitate the creation of an innovative e-reporting system for active information dissemination, which have to shift from the stationary information lists-based to the customized intentions-based interface (Holzer, Manoharan, & Kim, 2009). The guiding principles of e-government developed by UN and ASPA (2001) are still applicable to frame an e-reporting system, such as building performance reports around citizen’s choices, making government performance report more accessible, providing information responsibility, and using performance information efficiently.

CONCLUSION Performance measurement somewhat tends to simplify a complex reality into a manageable number of tangible measures. Previous research asserts that different approaches should be applied to measure government activities for internal performance improvement and to report such performance information for accountability. Although some studies argue possible tradeoffs between simple performance measurement practice for reporting and complex situations for performance improvement, it should not be a conflict situation between measuring performance and reporting performance information to external stakeholders. Presenting performance information in easy to understand formats by citizens does not mean public agencies have to simplify or minimize performance measures. Government should adopt dynamic and multi-layers of performance measurement systems to evaluate government activities more comprehensibly. When such performance information disseminates to citizens, it should be tailored in the ways of presenting easy to understand, customized information, and attractive formats. Having a dual system for measuring performance and reporting information is not a recommended option. Rather, this chapter suggests

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that government has to understand and specify different needs and usability of performance information by both internal stakeholders and external stakeholders. As this chapter discussed previously, there are major challenges to collect performance data and measure performance itself due to multifaceted government operations in terms of assigning weights (Jacobs & Goddard, 2007), selecting indicators (Carmona & Grönlund, 2003), and incorporating non-linearity paths (Jones, 2001). Without rigorous processes and requirements to measure performance internally, meaningful performance reports for citizens could not be prepared. In this case, both performance measurement and performance reporting are misconducted to achieve goals, and then become less useful. Therefore, government should strategically systematize an entire performance measurement process from collecting data to reporting information to external stakeholders before releasing performance information, and find out effective ways to connect every step in innovative and preferred channels, such as the e-government platform. Although incompatibility between performance improvement and accountability still exists (Halachmi, 2005), there is no doubt when citizens are able to experience noticeable advantages from the use of performance information, public agencies will obtain tremendous credits through positive citizen opinions.

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Ammons, D. N., & Rivenbark, W. C. (2008). Factors influencing the use of performance data to improve municipal services: Evidence from the North Carolina Benchmarking Project. Public Administration Review, 68(2), 304–318. doi:10.1111/j.1540-6210.2007.00864.x Ball, A., Bowerman, M., & Hawksworth, S. (2000). Benchmarking in local government under a central government agenda. Benchmarking: An International Journal, 7(1), 20–34. doi:10.1108/14635770010314927 Behn, R. D. (2008). What all mayors would like to know about Baltimore’s CitiStat performance strategy. Washington, DC: IBM Center for The Business of Government. Berman, B. J. C. (2006). The voices of the people: Missing links in performance measurement and management. Government Finance Review, 22(3), 16–20. Berman, E., & Wang, X. (2000). Performance measurement is U.S. counties: Capacity for reform. Public Administration Review, 60(5), 409–420. doi:10.1111/0033-3352.00104 Bird, S. M., Cox, D., Farewell, V. T., Goldstein, H., Holt, T., & Smith, P. C. (2005). Performance indicators: Good, bad, and ugly. Journal of the Royal Statistical Society. Series A (General), 168(1), 1–27. Bititci, U. S., Turner, T., & Begemann, C. (2000). Dynamics of performance measurement systems. International Journal of Operations & Production Management, 20(6), 692–704. doi:10.1108/01443570010321676 Bowerman, M., Ball, A., & Francis, G. (2001). Benchmarking as a tool for the modernisation of local government. Financial Accountability & Management, 17(4), 321–329. doi:10.1111/14680408.00136

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Boyne, G. A. (1997). Comparing the performance of local authorities: An evaluation of the Audit Commission indicators. Local Government Studies, 23(4), 7–43. doi:10.1080/03003939708433884 Boyne, G. A., & Chen, A. A. (2007). Performance targets and public service improvement. Journal of Public Administration: Research and Theory, 17(3), 455–477. doi:10.1093/jopart/mul007 Boyne, G. A., Meier, K. J., O’Toole, L. J. J., & Walker, R. M. (2006). Public management and organizational performance: An agenda for research. In Boyne, G. A., Meier, K. J., O’Toole, L. J. J., & Walker, R. M. (Eds.), Public service performance: Perspectives on measurement and management (pp. 295–311). New York, NY: Cambridge University Press. doi:10.1017/CBO9780511488511.016 Bruère, H. (1915). The budget as an administrative program. The Annals of the American Academy of Political and Social Science, 62, 176–191. doi:10.1177/000271621506200118 Carmona, S., & Gronlund, A. (2003). Measures vs actions: The balanced scorecard in Swedish law enforcement. International Journal of Operations & Production Management, 23(12), 1475–1496. doi:10.1108/01443570310506722 Carvalho, J., Fernandes, M., Lambert, V., & Lapsley, I. (2006). Measuring fire service performance: A comparative study. International Journal of Public Sector Management, 19(2), 165–179. doi:10.1108/09513550610650428 Castelli, A., Dawson, D., Gravelle, H., Jacobs, R., Kind, P., & Loveridge, P. (2007). A new approach to measuring health system output and productivity. National Institute Economic Review, 200(1), 105–117. doi:10.1177/0027950107080395 Charbonneau, É. (2010). Use and sensemaking of performance measurement information by local government managers: The case of Quebec’s Municipal Benchmarking System. Newark, NJ: School of Public Affairs and Administration, Rutgers University.

Coy, D., & Dixon, K. (2004). The public accountability index: Crafting a parametric disclosure index for annual reports. The British Accounting Review, 36(1), 79–106. doi:10.1016/j. bar.2003.10.003 Davies, M. (2004). Performance measurement in the UK public sector: Understanding performance indicators. Journal of Finance and Management in Public Services, 3(2), 31–47. de Bruijin, H. (2002). Performance measurement in the public sector: Strategies to cope with the risks of performance measurement. International Journal of Public Sector Management, 15(6/7), 578–594. doi:10.1108/09513550210448607 de Lancer-Julnes, P. (2006). Performance measurement: An effective tool for government accountability? The debate goes on. Evaluation, 12(2), 219–235. doi:10.1177/1356389006066973 Fung, C. H., Lim, Y.-W., Mattke, S., Damberg, C., & Shekelle, P. G. (2008). Systematic review: The evidence that publishing patient care performance data improves quality of care. Annals of Internal Medicine, 148(2), 111–123. Game, C. (2006). Comprehensive performance assessment in English local government. International Journal of Productivity and Performance Management, 55(6), 466–479. doi:10.1108/17410400610682497 Government Accounting Standards Board. (1987). Concepts statement no. 1: Objectives of financial reporting. Norwalk, CT: Government Accounting Standard Board. Halachmi, A. (2005). Performance measurement: Test the water before you dive in. International Review of Administrative Sciences, 71(2), 255–266. doi:10.1177/0020852305053884 Harbour, J. L., & Marble, J. L. (2005). How performance improves. Performance Improvement, 44(8), 14–19. doi:10.1002/pfi.4140440805

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Hauner, D., & Kyobe, A. (2008). Determinants of government efficiency. Unpublished manuscript, Washington, DC. Higgins, P. (2005). Performance and user satisfaction indicators in British local government. Public Management Review, 7(3), 445–464. doi:10.1080/14719030500181102 Holzer, M., Manoharan, A., & Kim, Y. (2009). What do CIOs need to know about performance measurement of E-governance? In Shark, A. R. (Ed.), CIO leadership for cities and counties: Emerging trends and practices (pp. 155–168). Washington, DC: Public Technology Institute. Horrigan, J. B. (2004). How Americans get in touch with government. Washington, DC: Pew Internet & American Life Project. Jacobs, R., & Goddard, M. (2007). How do performance indicators add up? An examination of composite indicators in public services. Public Money & Management, 27(2), 103–110. doi:10.1111/j.1467-9302.2007.00565.x Jansen, E. P. (2008). New public management: Perspectives on performance and the use of performance information. Financial Accountability & Management, 24(2), 169–191. doi:10.1111/ j.1468-0408.2008.00447.x Johnsen, Å. (2005). What does 25 years of experience tell us about the state of performance measurement in public policy and management? Public Money & Management, 25(1), 9–17. Jones, D. S. (2001). Performance measurement and budgetary reform in the Singapore civil service. Journal of Public Budgeting, Accounting & Financial Management, 13(4), 485–511. Kelly, J. M. (2002). Why we should take performance measurement on faith (Facts being hard to come by and not terribly important). Public Performance and Management Review, 25(4), 375–380. doi:10.1177/15357602025004009

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Kelman, S., & Friedman, J. N. (2009). Performance improvement and performance dysfunction: An empirical examination of distortionary impacts of the emergency room wait-time target in the English National Health Service. Journal of Public Administration: Research and Theory, 19(4), 917–946. doi:10.1093/jopart/mun028 Kilpatrick, W. (1936). Classification and measurement of public expenditures. The Annals of the American Academy of Political and Social Science, 183(1), 19–26. doi:10.1177/000271623618300104 Lee, M. (2004). E-reporting: Strengthening democratic accountability. Washington, DC: IBM Center for The Business of Government. Loveday, B. (2006). Policing performance: The impact of performance measures and targets on police forces in England and Wales. International Journal of Police Science & Management, 8(4), 282–293. doi:10.1350/ijps.2006.8.4.282 Lu, Y. (2008). Managing the design of performance measures: The role of agencies. Public Performance & Management Review, 32(1), 7–24. doi:10.2753/PMR1530-9576320101 Margetts, H. (2003). Electronic government: A revolution in public administration? In Peter, B. G., & Pierre, J. (Eds.), Handbook of public administration (pp. 366–376). Thousand Oaks, CA: Sage. McGowan, R. P., & Poister, T. H. (1985). Impact of productivity measurement systems on municipal performance. Policy Studies Review, 4(3), 532–540. doi:10.1111/j.1541-1338.1985. tb00253.x Meijer, A. J. (2007). Publishing public performance results on the internet: Do stakeholders use the internet to hold Dutch public service organizations to account? Government Information Quarterly, 24(1), 165–185. doi:10.1016/j. giq.2006.01.014

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Melkers, J., & Willoughby, K. (2005). Models of performance-measurement use in local governments: Understanding budgeting, communication, and lasting effects. Public Administration Review, 65(2), 180–190. doi:10.1111/j.15406210.2005.00443.x Micheli, P., & Neely, A. (2010). Performance measurement in the public sector in England: Searching for the golden thread. Public Administration Review, 70(4), 591–600. doi:10.1111/j.15406210.2010.02180.x Minnesota Department of Transportation. (2003). 2003 statewide transportation plan. Retrieved October 1, 2009, from www.dot.state.mn.us/ planning/ stateplan/03plan.html Minnesota Department of Transportation. (2009). Minnesota statewide transportation policy plan: 2009-2028. Retrieved October 1, 2009, from http://www.dot.state.mn.us/planning/stateplan/ Final%20Plan%20Documents/Policy%20Plan/ Entire/Minnesota%20Statewide% 20Transportation%20Policy% 20Plan_2009-2028.pdf Moon, M. J. (2002). The evolution of e-government among municipalities: Rhetoric or reality? Public Administration Review, 62(4), 424–433. doi:10.1111/0033-3352.00196 Morgeson, F. V., & Mithas, S. (2009). Does egovernment measure up to e-business? Comparing end user perceptions of U.S. federal government and e-business websites. Public Administration Review, 69(4), 740–752. doi:10.1111/j.15406210.2009.02021.x Moxham, C. (2009). Performance measurement: Examining the applicability of the existing body of knowledge to nonprofit organisations. International Journal of Operations & Production Management, 29(7), 740–763. doi:10.1108/01443570910971405

Moynihan, D. P. (2008). The dynamics of performance management: Constructing information and reform. Washington, DC: Georgetown University Press. New York City City Performance Reporting. (2009). Agency performance report of the Department of Homeless Services. Retrieved October 6, 2009, from http://www.nyc.gov/html/ops/ cpr/ html/home/home.shtml Page, S., & Malinowski, C. (2004). Top 10 performance measurement dos and don’ts. Government Finance Review, 20(5), 28–32. Poister, T. H., & Streib, G. (1999). Performance measurement in municipal government: Assessing the state of the practice. Public Administration Review, 59(4), 325–335. doi:10.2307/3110115 Public Administration Select Committee. (2003). On target? Government by measurement. London, UK: House of Commons. Ridley, C. E. (1927). Measuring municipal government: Suggested standards for measuring the results of fire, health, police and public works departments. Syracuse, NY: School of Citizenship and Public Affairs, Syracuse University. Rogerson, P. (1995). Performance measurement and policing: Police service or law enforcement agency? Public Money & Management, 15(4), 25–30. Schatteman, A. M. (2009). Public performance reporting: Determinants of excellence. Newark, NJ: Rutgers University. Schatteman, A. M. (2010). Information technology and public performance management: Examining municipal e-reporting. In Shea, C. M., & Garson, G. D. (Eds.), Handbook of public Information Systems (3rd ed., pp. 431–442). Boca Raton, FL: CRC Press. doi:10.1201/EBK1439807569-c26

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Schneider, E. C., & Epstein, A. M. (1998). Use of public performance reports: A survey of patients undergoing cardiac surgery. Journal of the American Medical Association, 279(20), 1638–1642. doi:10.1001/jama.279.20.1638 Simon, H. A., & Ridley, C. E. (1938). Trends in municipal reporting. Public Opinion Quarterly, 2(3), 465–468. doi:10.1086/265213 Smith, P. C. (2005). Performance measurement in health care: History, challenges and prospects. Public Money & Management, 25(4), 213–220. doi:10.1111/j.1467-9302.2005.00476.x Stein, B. (2007). Budgeting for outcomes: The right results for the right price. Government Finance Review, 23(5), 58–60. Steinhardt, B. (2008). Lessons learned for the next administration on using performance information to improve results. Washington, DC: United States Government Accountability Office. Stone, M., & Davis, J. (2007). Weighting and scoring’ in theory and in practice. Public Money & Management, 27(3), 215–222. doi:10.1111/ j.1467-9302.2007.00582.x Straight, R. L. (2000). Performance metrics: Avoiding the pitfalls. Public Administration Quarterly, 23(4), 495–516. Trosa, S., & Williams, S. (1996). Benchmarking in public sector performance management, performance measurement in government. Occasional Paper No. 9. Paris, France: OECD. United Nations and the American Society for Public Administration. (2001). Global survey of e-government. Retrieved from http://www.unpan. org/ egovernment2.asp Voyer, P. (1999). Tableaux de bord de gestion et indicateurs de performance. 2nd édition. Québec, Canada: Presses de l’Université du Québec.

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Wallace, R. J. (1977). Productivity measurement in the fire service. Public Productivity Review, 2(3), 12–36. doi:10.2307/3380221 West, D. M. (2008). State and federal electronic government in the United States, 2008. Governance Studies at Brookings. Washington, DC: The Brookings Institution. Wholey, J. S., & Newcomer, K. E. (1997). Clarifying goals, reporting results. In Newcomer, K. E. (Ed.), Using performance measurement to improve public and nonprofit programs. New directions for evaluation (pp. 91–98). San Francisco, CA: Jossey-Bass. Wilson, D. (2004). Which ranking? The impact of a value-added measure of secondary school performance. Public Money & Management, 24(1), 37–45. doi:10.1111/j.1467-9302.2004.00391.x Wisniewski, M., & Stewart, D. (2004). Performance measurement for stakeholders: The case of Scottish local authorities. International Journal of Public Sector Management, 17(2), 222–233. doi:10.1108/09513550410530153 Yang, K., Hsieh, J. Y., & Li, T. S. (2009). Contracting capacity and perceived contracting performance: Nonlinear effects and the role of time. Public Administration Review, 69(4), 681–696. doi:10.1111/j.1540-6210.2009.02017.x Zedlewski, E. W. (1979). Performance measurement in public agencies: The law enforcement evolution. Public Administration Review, 39(5), 488–493. doi:10.2307/3109924

ADDITIONAL READING Ammons, D. A. (2002). Performance measurement and managerial thinking. Performance & Management Review, 25(4), 344–347. doi:10.1177/15357602025004003

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Askim, J. (2004). Performance management and organizational intelligence: Adapting the balanced scorecard in Larvik municipality. International Public Management Journal, 7(3), 415–438. Becker, T. (1993). Teledemocracy: Gathering momentum in state and local governance. Spectrum: The Journal of State and Government, 66(2), 14–19. Behn, R. D. (2002). The psychological barriers to performance management: Or why isn’t everyone jumping on the performance-management bandwagon? Public Performance & Management Review, 26(1), 5–25. doi:10.2307/3381295 Behn, R. D. (2003). Why measure performance? Different purposes require different measures. Public Administration Review, 63(5), 586–606. doi:10.1111/1540-6210.00322 Benton, J. E., & Daly, J. L. (1993). Measuring citizen evaluations: The question of question order effects. Public Administration Quarterly, 16(4), 492–508. Berman, B. J. C. (2008). Involving the public in measuring and reporting local government performance. National Civic Review, 97(1), 3–10. doi:10.1002/ncr.198 Berman, E. (2002). How useful is performance measurement? Performance & Management Review, 25(4), 348–351. doi:10.1177/15357602025004004 Bolton, M., & Mills, J. (2003). Public sector performance measurement: Delivering greater accountability. Work Study, 52(1), 20–24. doi:10.1108/00438020310458697 Bouckaert, G., & van de Walle, S. (2003). Comparing measures of citizen trust and user satisfaction as indicators of ‘good governance’: Difficulties in linking trust and satisfaction indicators. International Review of Administrative Sciences, 69(3), 329–343.

Bourne, M., Neely, A., Platts, K., & Mills, J. (2002). The success and failure of performance measurement initiatives: Perceptions of participating managers. International Journal of Operations & Production Management, 22(11), 1288–1310. doi:10.1108/01443570210450329 Breul, J. D. (2003). The government performance and Results Act-10 years later. The Journal of Government Financial Management, 52(1), 58–62. Brusca, I., & Montesinos, V. (2005). Are citizens significant users of government financial information? Public Money & Management, 26(4), 205–209. doi:10.1111/j.1467-9302.2006.00526.x Collier, P. M. (2001). Police performance measurement and human rights. Public Money & Management, 21(3), 35–39. doi:10.1111/1467-9302.00272 Cozzens, S. E., & Melkers, J. E. (1997). Use and usefulness of performance measurement in state science and technology programs. Policy Studies Journal: the Journal of the Policy Studies Organization, 25(3), 425–435. doi:10.1111/j.1541-0072.1997.tb00032.x de Lancer, J. P. (2001). Does participation increase perceptions of usefulness? An evaluation of a participatory approach to the development of performance measures. Public Performance & Management Review, 24(4), 403–418. doi:10.2307/3381227 de Lancer, J. P., & Holzer, M. (2001). Promoting the utilization of performance measures in public organizations: An empirical study of factors affecting adoption and implementation. Public Administration Review, 61(6), 693–709. doi:10.1111/0033-3352.00140 Feit, D. (2003). Measuring performance in the public sector. Cost Management, 17(2), 39–45.

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Glaser, M. A., & Denhardt, R. B. (2000). Local government performance through the eyes of citizens. Journal of Public Budgeting, Accounting & Financial Management, 12(1), 49–73.

O’Looney, J. (2004). Using technology to increase citizen participation in government: The use of models and stimulation. Arlington, VA: IBM Endowment for The Business of Government.

Hatry, H. (2006). Performance measurement: Getting results (2nd ed.). Washington, DC: The Urban Institute Press.

Plant, T., & Douglas, J. (2006). The performance management continuum in municipal government organizations. Performance Improvement, 45(1), 43–48. doi:10.1002/pfi.2006.4930450109

Ho, A. T.-K., & Coates, P. (2002). Citizen participation: Legitimizing performance measurement as a decision tool. Government Finance Review, 18(2), 8–10. Holzer, M., & Yang, K. (2004). Performance measurement and improvement: An assessment of the state of the art. International Review of Administrative Sciences, 70(1), 15–31. doi:10.1177/0020852304041228 Hyndman, N. S., & Anderson, R. (1995). The use of performance information in external reporting: An empirical study of UK executive agencies. Financial Accountability & Management, 11(1), 1–17. doi:10.1111/j.1468-0408.1995.tb00158.x Kelly, J. M. (2002). If you only knew how well we are performing, you’d be highly satisfied with the quality of our service. National Civic Review, 91(3), 283–292. doi:10.1002/ncr.91307 Kudo, H. (2008). Does e-government guarantee accountability in public sector? Experiences in Italy and Japan. Public Administration Quarterly, 32(1), 93–120. Lee, M. (1996). Empirical experiments in public reporting: Reconstructing the results of survey research, 1941-42. Public Administration Review, 66(2), 252–262. doi:10.1111/j.15406210.2006.00577.x Lee, M. (2004). Public reporting: A neglected aspect of nonprofit accountability. Nonprofit Management & Leadership, 15(2), 169–185. doi:10.1002/nml.60

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Schachter, H. L. (1995). Reinventing government or reinventing ourselves: Two models for improving government performance. Public Administration Review, 55(6), 530–537. doi:10.2307/3110344 Stout, R. V. (2000). What city officials need to know about GASB’s new reporting model. IQ Service Report, 32(12), 1–15. Streib, G. D., & Poister, T. H. (1999). Assessing the validity, legitimacy, and functionality of performance measurement systems in municipal government. American Review of Public Administration, 29(2), 107–123. doi:10.1177/02750749922064300 Swindell, D., & Kelly, J. M. (2000). Linking citizen satisfaction data to performance measures: A preliminary evaluation. Public Performance and Management Review, 24(1), 30–52. doi:10.2307/3381075 Van Ryzin, G. G. (2007). Pieces of a puzzle: Linking government performance, citizen satisfaction, and trust. Public Performance & Management Review, 30(4), 521–535. doi:10.2753/PMR15309576300403 Van Ryzin, G. G., & Immerwahr, S. (2004). Derived importance-performance analysis of citizen survey data. Public Performance and Management Review, 27(4), 144–173.

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Walters, J. (1998). Measuring up: Governing’s guide to performance measurement for geniuses (and other public managers). Washington, DC: Governing Books. West, D. M. (2004). E-government and the transformation of service delivery and citizen attitudes. Public Administration Review, 64(1), 15–27. doi:10.1111/j.1540-6210.2004.00343.x Wholey, J. S., & Newcomer, K. E. (1997). Clarifying goals, peporting results. In K. E. Newcomer (Ed.), Using performance measurement to improve public and nonprofit programs. New directions for evaluation, 91-98. San Francisco, CA: Jossey-Bass. Williams, D. W. (2003). Measuring government in the early twentieth century. Public Administration Review, 63(6), 643–659. doi:10.1111/15406210.00329 Wray, L., & Hauer, J. (1997). Performance measurement to achieve quality of life: Adding value through citizens. Public Management, 79(8), 4–8.

KEY TERMS AND DEFINITIONS Accountability: A responsibility to be answerable or to render a full accounting of activities for resources entrusted to government and the application of those resources by government. Effectiveness: The extent to which an activity is able to achieve goals or desired outcomes. Efficiency: A measureable concept determined by the ratio of the service provided to possible output. E-reporting: Proving fulfillment information about government activities to internal and external stakeholders in electronic formats using information technologies. Input: Resources used to produce outputs and outcomes. Outcome: Expected or promised impacts or results of activities. Output: Activities and services delivered. Performance Measurement: A process of measuring government performance by tracking progress toward specific quantitative and qualitative outcomes. Performance Reporting: A process for collecting and distributing performance information.

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Chapter 2

E-Gov and Transparency in NJ Counties:

Providing Information to Citizens Deborah Mohammed-Spigner NJ Common Cause, USA Daniel Bromberg Western Carolina University, USA Marc Fudge California State University, San Bernardino, USA Neil Coleman New Jersey Taxpayers’ Association, USA

ABSTRACT This chapter presents research on transparency in county government. It is argued that through the use of information and communication technologies, citizens can gain more access to government, hence keeping government more accountable. The research demonstrates that counties are utilizing information and communication technologies to increase transparency in a range of modes. That being said, the use of such technologies continues to remain in its infancy at the county-government level.

INTRODUCTION This chapter aims to show the direct benefits that information and communication technologies (ICTs) give to citizens. We argue that greater access to information through ICT allows greater transparency, hence increasing accountability and effectiveness of government. A number of studDOI: 10.4018/978-1-4666-0116-1.ch002

ies on e-government, the use of ICT’s to deliver services to citizens, have been done by examining how technologies such as the use of websites, have improved and enhance government’s service delivery (cite). In this study, the authors evaluate the extent that NJ counties provide access to information through the use of their web portals. The impact of technology on government to citizens (G2C) relationships as well as citizens to government (C2G) interactions was addressed

Copyright © 2012, IGI Global. Copying or distributing in print or electronic forms without written permission of IGI Global is prohibited.

E-Gov and Transparency in NJ Counties

in the following remarks from Robert O’Neill, Jr., President of the National Academy of Public Administration. He said, The (new) technologies will allow the citizen new access to the levers of power in government. As more information reaches the citizen, the greater the potential for them to influence and make informed choices regarding how government touches their lives. That potential gives new meaning to a “government of the people, by the people, and for the people.” (O’Neill, 2001, p. 6) The need for citizens to be active participants in government is inherent to democratic ideals. Even within a representative democracy, citizen participation in government can be seen as an integral check on the integrity of that representation. One major trend over the last century —starting in the New Deal era—was the growth of governmental bureaucracies. This placed a great deal of power outside of the representatives’ control and into the hands of public administrators. In accessing government services, this creates remarkable challenges for citizens to make substantial changes in their own government. Often unaware of how to access the bureaucratic structures, citizens are left disenchanted and disengaged with government. There are many avenues in which public administrators and citizens may reengage in collaborative governance. This paper presents research on one basic step that public administrators may take to enhance their relationship with citizens—primarily thorough transparency that is aided by advances information technology. More specifically, this paper addresses the levels of transparency that county governments display in providing information online for citizen and stakeholder access. Initial attention is paid to the access to information law and specifically the law in New Jersey that governs such access. Next, the paper addresses specific issues relating to access to information and service delivery. The authors then turn to

the methodology, the results of the study, and concluding thoughts. This research remains in an exploratory stage; nevertheless, important research questions are addressed. Primarily, this research asks whether county governments use ICTs to present their information online. Limited research has explored this question from a county perspective. Therefore, this study supplements the research previously done by incorporating a state-specific county perspective. Exploratory in nature, this study may help point future research in ICT.

BACKGROUND Many feel that it is in the hands of the public administrator to increase communication between citizens and government, leading to a clear mandate that public administrators can fulfill. Bingham, Nabatchi, and O’Leary (2005) wrote, “…public administrators have a unique opportunity to become the direct conduit for the public’s voice in policy making, implementation, and enforcement…” (p. 550). Smith and Ingram (2002) wrote, “American democracy is an unfinished and open-ended project.” They continued, “Especially during times in which patterns of governance are undergoing fundamental change, it is important to examine carefully whether expansion or contraction of democracy is taking place” (p. 567). Opening government information up to citizens could be seen as a key to expanding democracy, since citizens need knowledge—derived from having information—in order to participate effectively in the democratic process. Having access to better information not only provides citizens with the tools they need to participate in their government’s decision making but helps open up governmental processes to public scrutiny. From James Madison, Thomas Jefferson, and Patrick Henry to Supreme Court Justice Louis Brandeis and into the present, despite divergent views on many aspects of government, there has been an

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E-Gov and Transparency in NJ Counties

unshakable belief that democracy depends on an informed electorate (Feinberg, 1997, p. 376). Public administrators may play an integral role in ensuring that this information reaches its primary audience—citizens. Among their many duties, one may be providing citizens with access to information so they might meaningfully participate in processes of government. This access is not only incumbent upon public administrators but is increasingly being required by law—generally identified as Freedom of Information (FOI) laws. Writing on the global explosion of FOI, Banisar (2004) noted that access to government information is an essential requirement for modern government to facilitate public knowledge and discussion. It provides an important guard against abuses, mismanagement, and corruption. It can also be beneficial to government itself—openness and transparency in the decision-making process can assist in developing citizen trust in government actions and in maintaining a civil and democratic society (Banisar, 2004). The following section looks more closely at these laws that provide a basis for access to information by citizens.

MAIN FOCUS OF THE CHAPTER Issues, Controversies, Problems What are FOI Laws? The global attention to FOI laws in recent years has been based on philosophical arguments to support the rights of citizens not only to participate in a democracy but to do so in a meaningful way through the ability to access government information. Countries that have an access-to-information law are seen generally as more transparent (Islam, 2003). However, simply having an FOI law does not automatically make a government transparent. Various provisions of the law can affect the law’s overall effectiveness, and its actual implementation can also present obstacles.

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Some FOI laws distinguish between passive and active information (OECD, 2001). Although most FOI laws focus on the state’s passive obligation to provide information upon demand, laws in some countries (e.g., Finland, New Zealand, Spain) also require public administrators to disclose certain information without prompting. Information falling under the latter category of active disclosure includes organizational structures, services provided, and rules and procedures (OECD, 2001). Having access to information is also seen as improving the functioning of government. A common assumption underlying FOI is that open government leads to better government (Aman, 2000). The U.S. FOI Act (FOIA) enforces the rights of citizens to two types of information that are pertinent to the functioning of a government agency: 1. Agency operation: what actions it has been taking, how it has been spending its money, and what statistics and other information it has collected on any subject. 2. Records relating to public health, environmental hazards, consumer safety, government spending, labor relations, business decisions, taxes, history, foreign policy, national defense, and the economy (Kennedy, 1996). Further, the FOIA defines records as final decisions in particular administrative cases, policy statements that the agency uses but has not published in the Federal Register, internal manuals written for the agency’s staff that affect the public, and an index of the kinds of information that must be made public. The law also allows the public to see other types of records not enumerated above, and the courts have interpreted this broadly. The law allows anyone to find out how an agency is spending its money as well as the reasoning behind its policies and their intended effect. This broad spectrum of agency records significantly affects

E-Gov and Transparency in NJ Counties

citizens’ access to government information, which furthers the goals of democratic governments as a precondition to achieving governmental transparency and accountability. Today, FOI laws are seen as necessary not only to democratic values but for the facilitation of globalized markets. This view is widely held and is expressed in the many studies conducted on the global spread of FOI. Florini (2002) stated that information is seen as the lifeblood of democracies and explained that “without information, citizens have no basis upon which to evaluate their representatives or voice their opinions, and both elections and the very process of representation become a meaningless sham.” Florini also recognized the importance of information (access) as vital to markets, noting, “Without information, the financial markets upon which modern economics depend become irrational exercises of guesswork, and governmental regulators cannot hope to carry out their responsibilities” (p. 3).

ICT Facilitates Access to Information The adoption of ICTs in public administration has certainly enhanced efficiency and transparency in many countries, yielding significant benefits…that are powerful tools in achieving “public administration in citizens” (Suk Kim, 2005). ICTs have the potential to greatly increase citizens’ access to government-produced information (budgets, meeting minutes, services, agendas, etc.). Therefore, ICT serves to enhance legislation, such as FOI laws, which already exists to promote such access. The value of ICT alone is limited. Rather, the value of ICT is demonstrated when it is coupled with another tool of government—in this case, FOI laws. Hence, ICT takes on the democratic values of FOI—transparency leading to accountability. The term transparency refers to the idea that information is made available, well-organized, readily accessible, and easy to understand. Information that is known only to internal stakeholders

does not foster accountability, nor does it enhance evidence-based planning, budgeting, and decisionmaking (National Performance Management Advisory Commission, 2010). When government information is made available to a wide array of stakeholders, both internal and external, it facilitates communication that may lead to improve performance, increasing the potential for improved resource management and policy decisions. More so than in the past, the concept of transparency has become a focal point, in part because of public sector corruption, inflated deficits, and the overall belief that government is inefficient and ineffective. Many believe that for government to become effective, a higher level of transparency will lead to more accountability, yielding the results citizens want. To them, accountability can be obtained by improving access to information, such as posting of information, data, policies, laws, meeting schedules and minutes, and contact information online (Tolbert & Mossberger, 2006). Tan, Pan, and Lim (2007) found that a primary concern of many citizens was the lack of transparency in the information management process. Specifically, citizens did not have a clear understanding of many of the laws and policies that would have a direct effect on them. In light of this concern, and because the Internet makes it easier to transmit information to a large number of people, more websites are being used proactively. At the local level of government, many municipalities allow users to view policy meetings via the internet or local cable television, thus removing the opaqueness that often surrounds public sector service delivery. Additionally, websites may also make information searches easier for citizens. Thus transparency makes accountability to the public possible, increasing institutional-based trust (Tolbert & Mossberger, 2006). While providing transparent information online can improve trust, it also has the potential to increase the administrative capacity of the state, county, or city; empower its citizens; and reinvigorate democratic processes (Brewer, 2007).

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E-Gov and Transparency in NJ Counties

From the citizen’s perspective, the value of government transparency is multi-dimensional. Citizens may perceive government as more responsive through improved communication and interaction (Tolbert & Mossberger, 2006). For example, users value highly the ability to communicate directly with bureaucrats and elected officials by email. Therefore, technology such as online bulletin board systems, chat rooms, and social network sites are examples of how government-to-citizen (G2C) communication can be increased. Nevertheless, in many cases public administrators do not provide email addresses online or only provide forms to submit requests. One-way communication with government does not foster trust and suggests that government is not responsive to the public’s needs. While the use of ICTs remains promising, research suggests that many municipalities are still at an early stage of e-government development (Moon, 2002), hence, not meeting the needs of citizens. The speed at which municipalities are adopting high levels of e-government does not seem proportionate to the emerging rhetoric about e-government (p. 429). This seems to apply to many New Jersey county government websites. Transformative movements appear to happen in stages (Beckett & King, 2002). In the first stage, parties acknowledge that a change is indeed needed. During this stage, the questions of “why” or “whether” get answered (Beckett & King, 2002). The second stage of transformation asks questions such as “how,” “who,” “in what,” “where,” and “when” (Beckett & King, 2002). Specifically, to what extent should citizens participate in the decision-making process with government? Public administrators may provide information to citizens, yet deny them active input into the decision-making process. One manner in which government has chosen to engage citizens is by allowing citizens to participate in budgeting and financial matters. New technologies can improve government re-

24

sponsiveness and empower individual citizens. When government financial information is made available using ICTs, the public can continuously assess a government agency through everyday interaction (Rodrigues-Bolivar et al., (2007). This activity can be seen as a promising start. Citizens are provided with information detailing how much is allocated for particular services. Further, it allows citizens to “watch” what is and what is not being done for them with the resources allocated by government. Citizen participation in budget and financial decisions is only enhanced when policy meetings are made available online. However, how well does the average citizen understand the complexity of budgeting and public sector finance? The problem is that this participation is typically uninformed and not made in engagement with those who have the expertise to ensure that decisions being made are informed decisions (Beckett & King, 2002). Further, for those who do have an understanding in this area, the question becomes, are their opinions and views truly utilized by managers in the decision-making process? Is access to information an end unto itself?

Access to Information When government places information online, it simply increases the number of people who can access it. As more people begin to rely upon the Internet for information, this increases the importance of government’s providing reliable sources of information that meets citizen needs and also delivers services to them. According to the most recent American Customer Satisfaction Index (ACSI) released in 2010, the E-Government Satisfaction Index shows citizens are exceptionally pleased with improved transparency, navigation, and functionality of federal government websites (Nichols, 2010). The overall E-Government score was 75.2 out of 100. The index represents an improvement in citizens’ perception and use of egovernment. It is also positive feedback for public administrators and web developers of government

E-Gov and Transparency in NJ Counties

websites to consider when implementing digital democracy features. The results of the ACSI support the contention that citizens are interested in participating with the government, and this occurs with greater frequency at the local and county levels of government. Access to information is a basic right that not only opens up the process of government and politics but provides citizens with the tools necessary to take part in these arenas. Civic involvement in the political process is crucial in strengthening and reinventing democracy, the future of which will depend on whether society can deepen and extend the capacity for civic innovation that will solve major public problems and transform the way we do politics (Sirianni & Friedland, 2001). Information access is therefore crucial to building this capacity (Lindblom, 1990). The author pointed out that inadequate knowledge may be a factor that prevents the adoption of solutions to social problems (p. 1). His focus was on how not only officials but ordinary people make use of information in formulating problems, the positions they take, and the production and dissemination of information (and misinformation) (p. 3). Further, Gauthier (1999) underscored the importance of the right to know in facilitating freedom of the press, through which citizens are informed about political and social issues. Gauthier noted that the media present before the public the issues of the day and set the agenda for inquiry, debate, and discussion; he argued that the purpose of the right to know is to enable informed decision making so that citizens may exercise their constitutionally protected rights (p. 198). Citizens in a democracy need information to monitor their government’s actions, to knowledgably participate in government through voting and other mechanisms, and to effectively exercise free speech through radio talk shows, newspaper editorials, and other media. When government utilizes features of digital democracy and is highly transparent, it may be considered as responsive and open to citizens.

Government institutions are increasingly utilizing democratic principles in governance by exploiting ICTs to enable various practices such as e-voting, e-consultation, e-petitioning, e-discussion forums, and online registration of questions and complaints (Gibson et al., 2002). No longer is it a question of whether a county government has a website, for they are expected to. Further, government websites that do not allow citizens to pay tickets and bills, to obtain licenses, and to communicate directly with elected officials are viewed as outdated and archaic. Municipal governments are increasingly moving towards openness and transparency by making available fundamental information to its citizens. Moreover, many of these “trailblazing” governments are utilizing the Internet to highlight their accomplishments and more important, to keep citizens informed. Whether their actions have been spurred by the political motives of elected officials, embarrassment from the fact that other nearby counties are now offering more information to their citizens, or a desire to appear more legitimate is not clear. Regardless of their motivations, it is an important step towards improving government transparency and accountability. The U.S. Federal Government has recently developed a resource at www.data.gov where state, county and municipal governments can provide data that allows users to retrieve information on various topics such as healthcare, population growth, education and employment. On December 8, 2009 the White House issued a directive to all federal agencies that requires them to “take immediate, specific steps to achieve key milestones in transparency, participation, and collaboration.” An underlying goal of the Open Government Initiative is to change the culture of information dissemination, institutionalizing a preference for making Federal data more widely available in more accessible formats. As one of the flagships of the Open Government Initiative, Data.gov is designed to facilitate access to Federal datasets that

25

E-Gov and Transparency in NJ Counties

increase public understanding of Federal agencies and their operations, advance the missions of Federal agencies, create economic opportunity, and increase transparency, accountability, and responsiveness across the Federal Government. http://www.data.gov/open Initiatives like data.gov and others are considered forms of e-governance or digital democracy. Digital Democracy refers to the ability to practice democracy without the limits of time, space, and other physical conditions. “Without the limits of time” refers to users’ being able to offer opinions on online political forums, “voice” support or opposition to issues through e-referenda, and watch public meetings online at the user’s convenience. Benton (2002) stated that among the many roles of county government, counties traditionally performed state-mandated duties, which included assessments of property, record keeping, maintenance of rural road, administration of election and judicial functions, and relief for the poor. Today, counties are moving into other areas (child welfare, consumer protections, economic development, employment/training, planning, zoning, and water quality). Benton emphasized, however, that there is wide variation among counties in terms of service delivery responsibilities. The disparity was demonstrated by a review of individual states and the percentage (of total expenditures) their counties spent on various services. The Sunshine Review project1 listed 10 areas that provide a baseline of information that government entities should provide online to its citizens. The project identified areas that are unique to the government entity being evaluated such as county, municipal, state, or school board. The responsibility for providing information falls on the government entity, which should participate in affirmative disclosure. Having an access to information law (FOI), however, facilitates more open government. Ten areas that provide a baseline of information that government entities should provide online according to the Sunshine

26

Review transparency checklist are listed with the rationale for why these items should be on every government website. (See Appendix A.) The project noted, however, that as technology advances, so will these lists adapt to the needs of the people. For county governments, the Sunshine Review checklist included access to government records and public documents listed below: •

•

• • •

• •

•

The county website should include comprehensive information about how citizens can obtain access to public records in the custody of the county. When a citizen wants to file an open records request, which employee handles those requests? What is that employee’s contact information? The county website should make this information easy-to-locate. The county website should lay out the procedure for a citizen to request access to public records. The information should be user-friendly. The county website should include an annual rating of its FOIA compliance: How many requests it received in a given year, how many it complied with, the average time required for compliance, and reasons for denials. If the county is currently being sued for failure to provide public documents, this information should be included. If the county has been ordered by a judge or public records ombudsman to provide documents it refused to produce in response to a public records request, this information should be a permanent record posted on the city’s website.

Based on its transparency checklist, the Sunshine Review conducted the My Government Website project to evaluate the information governments post on their websites. The checklist for counties included 10 broad categories of

E-Gov and Transparency in NJ Counties

information, including meeting minutes, budgets, audits, and how to contact elected officials. Each state was evaluated according to the information provided by its counties, with 100% being given for each area where the information was available from a given county and 0% where it was not. New Jersey ranked in the top 10 states although its overall score was 47.6%. (See Appendix B for checklist.) The top state, Arizona, had an overall score of 65.5%. One primary factor that may inhibit county governments from acting progressively and providing detailed information to citizens is concern over the privacy and security of the information that is now available for all. Obviously, privacy and security are concerns but perhaps not as much as one would expect. Schwester (2009) found that online security was not a key factor in prohibiting local governments from implementing innovative e-government initiatives. Increased access to information has many ramifications, including an expectation by citizens that in-depth and detailed information would be supplied. Accordingly, government websites must provide more than static information and permit communication through multiple channels by numerous users. As the capabilities of ICTs grow, so do the expectations of citizens.

New Jersey New Jersey, whose counties are the focus of this study, has implemented several measures affecting access to information. New Jersey passed its Open Public Records Act (OPRA) in 2002. This made government records the property of the citizens, with few exceptions. The law was modeled on Connecticut’s FOIA and thereby formed the second quasi-judicial body in the nation—the Government Records Council (GRC). This body consists of three private citizens and two government officials who resolve complaints from the public against government agencies and other entities that do not provide government records

upon request. Facilitated by the citizen-oriented GRC, OPRA can lessen government corruption by revealing information that can be used to show how government is doing business. New Jersey had, for a very long time, an archaic right-to-know law that was filled with more exceptions to public access and that the media and government watchdog groups often called non-progressive. As a result of pressure from these groups and years of lobbying for a more progressive open-government law, the legislature passed a more progressive law (OPRA). Unlike earlier laws, this new statute detailed exactly what was a public record and what was not. Before, those curious about a government action in most cases had to rely on the officials who created a record to decide if it could be released. The old law covered only a limited range of documents. OPRA expands the public’s right of access to government records and facilitates the way in which that access is provided by the custodian of those records (State of New Jersey, 2006). New Jersey’s OPRA deems all government records—both paper and computerized—open to the public unless specifically exempt by law or other governmental actions; it sets a time limit for officials to produce public documents; and it protects the so-called common law, which allowed citizens and media outlets to sue in court to open up records that the government deems off-limits (D’Ambrosio, 1999). Another first for New Jersey is a time limit for responding to public records requests. Governments must respond within seven days, although an agency can ask for more time if the request involves a complicated search or a large number of records. The law does not require a fee; costs can be recovered for copying large volumes or oversized items like maps. Further, the open records law allows for civil penalties against local officials who refuse to comply in a reasonable manner. After many years of struggle with opposition from government, the efforts by citizens and

27

E-Gov and Transparency in NJ Counties

advocacy groups were successful in passing the updated law. However, the law took effect only after an about-face by Democratic Governor James E. McGreevey. In early July 2002, citing terrorism concerns, McGreevey signed an executive order listing 483 exemptions to the new law, which had just taken effect and which gave the public and the media unprecedented access to government records. Later, he narrowed that list of exemptions to 75 and committed his administration to openness and accessibility (Davis, 2003). The state commission—the GRC—was set up within the Department of Community Affairs. The GRC meets monthly to adjudicate complaints brought by citizens and citizen groups against government agencies about the lack of cooperation in providing government records. This provides a forum for citizens to seek redress and for government officials to explain their actions. Since the implementation of the law, the GRC has heard and closed more than 466 cases.

Methodology This research differs from other studies because it does not focus on one assessing web content of only one particular agency or department (Meijer, 2007). Second, it examines transparency within county governments, not state or municipal, by evaluating the content of their websites. A great deal of research in e-government examines the municipal, state, and federal levels. Although the Sunshine Review county project evaluated states across the US, this study looks specifically at New Jersey and examined the broad areas of information in more detail. It is important to study the county level of government because it has the ability to impact many more people. This study examines the level of transparency within each of the counties in New Jersey, thus capturing the entire state population. County government was chosen because of the relative ease of data collection. There are 21 counties in New Jersey, compared to 566

28

municipalities and over 600 school districts. A look at the general transparency in the counties is seen as a first step and an instrumental one in determining overall transparency of New Jersey’s local government bodies. This research focused on assessing New Jersey county websites’ provision of detailed and timely information to the public. Groups concerned with transparency in government worked together to develop a checklist of government information that should be readily available on the Internet to its citizens. Measures were loosely based on other transparency-in-government projects such as the Sunshine Review. These lists were modified to reflect the unique services and function of New Jersey county governments. Further, a draft of the resulting list of questions for county governments was sent to various groups that are involved in or concerned with the overall transparency of government issues and policies in the state. (See Appendix C for a list of groups.) The two lead groups—New Jersey Tax Payers Association and Common Cause New Jersey— then worked with researchers from the Rutgers School of Public Affairs and Administration to refine the criteria and develop the evaluation tool. This tool focused on five areas: the availability of contact information for county officials; contact information for county employees; public meeting information; details of how the counties allocate resources; equipment issued to employees, such as county cars; and descriptive details of the workings of county departments. The evaluation areas were based upon the literature provided above, along with input from stakeholder groups. (See Appendices C and D for the Evaluation Tool.) These areas were then broken down into 49 criteria, which were utilized for the evaluation. They ranged from routine matters such as timely posting of meeting agendas, annual budgets, and audits, to information on procurement, collective bargaining, and employee perquisites.

E-Gov and Transparency in NJ Counties

Time-Frame for Research The evaluations of the websites were conducted in December 2009 and February 2010. Each website was evaluated by a Master’s student enrolled in a Public Administration Ethics course at the Rutgers School of Public Affairs and Administration. To ensure validity in the research, each website was evaluated by two students and then reviewed by one of the professors on the research team. If the two scores for a county were at least 10 points different, then the lead researchers (either doctoral students or professors) reevaluated the website a third time. In all cases, the highest score was used for the final results. The rationale for this methodology is that it is more likely that an evaluator would identify features that were present than not present. After reading through the websites to gain familiarity, the researchers evaluated them for overall content and usability, whether the sites are easily navigable, and how much information is readily accessible. The findings were then distributed to each of the 21 counties, giving them an opportunity to review results and provide counter information prior to public release (which resulted in our receiving comments and concerns from five counties: Hunterdon, Morris, Somerset, Union, and Warren).

Verifying Results County comments led to adjustments in the evaluations but did not change the overall rank of the counties. Highlighting those that rank high in terms of the measures chosen for transparency, resulted in the opportunity for other county governments to learn what citizens see as important for information access and service delivery. Subsequent to the study, the highest-ranking county, Hunterdon, notified the collaborators that to achieve a full score on transparency, it was addressing some of the measures that were missing. As such, that county passed a resolution to include

on its website, legal law suits (one of the measures included in the study). See Appendices D and E.

Research Questions This research was exploratory in nature; however, it addressed several important questions regarding county government information posted online for citizens and other stakeholders. Primarily, it asks, Are county governments using ICT to present their information online? Are they simply using static information on the website or does the site allow users to enter queries and search data based upon neighborhood location? Also, do various agencies or departments provide information on their own web pages or is it combined into one comprehensive county government report? Essentially, this research demonstrated the scope and variety of online information provided to citizens by county governments. Other research questions that arose from this study have yet to be explored: •

•

What are the factors that prompt county governments to provide information online? Are those factors based upon the overall income of the residents, their level of education, or demographic characteristics? Or are counties influenced by specific characteristics of the local government?

Findings/Implications of Research As shown in Tables 1-5 and Figure 1, there was a wide range in the results of the study. The scale of the Transparency Index ranged from 0 to 49. Of the counties surveyed, Hunterdon scored the highest, attaining 31 points, while the minimum score of 15 was attained by Passaic and Salem. Three counties are clustered within five index points of Hunterdon County, while another seven are within 10 index points. Therefore, out of the 21 counties indexed, 50% are clustered within 10

29

E-Gov and Transparency in NJ Counties

Table 1. New Jersey counties’transparency indices

Table 2. Three highest political contact information scores for New Jersey counties

County

Index

Atlantic

22

Rank

County

Score

Bergen

25

1

Cape May

7

Burlington

19

1

Sussex

7

Camden

29

3

6 counties tied

6

Cape May

20

Cumberland

17

Essex

18

Gloucester

17

Hudson

18

Rank

Hunterdon

31

Mercer

16

Middlesex

17

Monmouth

23

Morris

22

Ocean

17

Passaic

15

Rank

County

Score

Salem

15

1

Camden

7

Somerset

21

2

3 counties tied

6

Sussex

26

3

4 counties tied

5

Union

24

Warren

21

index points of the leading county. Nevertheless, none of the counties was within 15 index points of the maximum possible score.

Table 3. Government employment information score County

Score

1

Hunterdon

9

2

3 counties tied

7

3

Camden

6

Table 4. Government meeting score

Table 5. Government finances score Rank

County

Score

1

Hunterdon

5

2

3 counties tied

4

3

2 counties tied

3

Politician Contact Information Providing political contact information was the index category in which counties surveyed scored the highest. Seven counties scored within three index points of the highest possible category score of 10. Eighteen counties provided the email addresses of elected officials, affording citizens and others with the opportunity to communicate directly with their county representative. Government Employees Studies have shown that lack of trust in government often stems from citizens’ inability to com-

30

municate with elected officials and bureaucrats. Our research found that 13 of the 21 counties provide the names of all government employees on their websites. Lack of this information inhibits citizens’ ability to communicate directly with government employees on typical issues such as garbage and leaf pick-up, obtaining permits and licenses, and property taxes. We found that only five counties provide the email addresses of government employees.

E-Gov and Transparency in NJ Counties

Figure 1. Counties’ total score by category

Government Meetings

Government Finances

Another measure was whether counties provide citizens and other stakeholders with access to public meetings. We found that all counties provided an online schedule of monthly public meetings and that 20 counties provided the meeting agendas online. On the other hand, we found that only six counties provided an archived audio or video recording of the meetings and that only three provided live audio or video online.

Regarding the area of government finances, we specifically were interested in features related to sharing resource allocation information online. We found that 17 counties provide access to their annual budgets online and that only two counties provided more detailed information such as a copy of the monthly variance report and a copy of the monthly check register. Additionally, only three counties provided information online on unused sick and vacation time.

31

E-Gov and Transparency in NJ Counties

Equipment Issued/Leased Only one county, Union, provided information online regarding the issuance and leasing of equipment. Government Departments Only one county, Salem, did not provide information describing the different county departments.

Additional Findings Overall, the findings indicate that most counties scored well in providing contact information, whether for political officials or government employees. However, most counties scored poorly in providing information on finance issues such as posting the budget, providing information about bids and contracts, and providing audit reports.

are not interested in the nuances of government. Although this may have been true in the past, it is unlikely that it remains accurate today. In light of political scandals, unethical behavior, and challenging economic circumstances, it is more likely that citizens may want to know how government is operating. To this end, it is critical to assess which county governments are effectively engaging their citizens through the use of technology. Some county governments are beginning to rely upon the perspectives of citizens to help them determine whether they are meeting their needs and expectations. One such method to improve citizen engagement is to simply provide performance data and methods to increase G2C communication on their websites. This approach allows citizens to see what is being accomplished and what is not, and it also allows citizens the opportunity to provide feedback.

Limitations to the Research Another important component related to transparency in government is performance measurement. Specifically, as government continues to increase its overall reliance upon performance measurement information to assess progress and growth, providing performance data to the public gives citizens the perception that the government is open and willing to share information. Schwartz and Mayne (2005) said that performance data are meant to inform legislatures, managers, stakeholders, and the general public and to provide information on how well various programs within an organization are doing and whether they are accomplishing what they have set out to accomplish. Providing relevant performance data to citizens online is a natural step in the progression of egovernance. This study did not specifically look at this type of data. As public administrators seek new methods to engage citizens, providing them with more information is a logical starting point. It rings hollow when elected officials say that citizens

32

FUTURE RESEARCH DIRECTIONS The collaborators of this project hope to conduct a similar study in 2011 to assess whether counties in New Jersey are working towards improving transparency to their citizens. The intention is to perform the same type of evaluation after first introducing an intervention. Three months prior to the evaluation, the researchers will share with the counties the measures that will be examined. This will give the county governments a chance to enhance and improve their transparency so as to score higher. Additional collaborators, such as the New Jersey Association of Counties, will be invited to help in identifying and distributing score sheets, etc. to counties so that each county has an equal chance of participating and completing the study. Similar projects could be done at the local level, including municipal or local school boards. As noted at the beginning of this chapter, New Jersey has 566 municipalities and over 600 school

E-Gov and Transparency in NJ Counties

districts. Evaluating each of their websites would entail considerable time and resources.

CONCLUSION Drawing on the findings, we can reach a number of conclusions. First, it is clear that NJ county government can improve significantly in providing information to stakeholders online. On a 49-point scale, Hunterdon County scored the highest at 31 points. Moreover, 50% of the counties surveyed scored under 40% of the maximum possible score. Second, it appears that NJ counties are very good at providing some basic information online about government employees and political representatives. However, counties did poorly in providing more substantive information online such as budgets and financial information. This limits citizens’ access to information and ultimately limits the role that citizens may play in government. This research sought to examine current features of transparency on New Jersey county government websites. Although our research found that the majority of counties do provide online the email addresses and the biographies of elected officials, a copy of the annual budget, and a schedule of monthly meetings, they can improve transparency by better utilizing information and communication technologies. For example, only five counties provided online the voting records of county freeholders. Similarly, only six counties provided online access to public meetings—information likely to improve communication between citizens and government and thereby making the public aware of various issues, including the allocation of resources. Features that increase C2G communication ultimately increase transparency. The cost of implementing features online that inform the public of government activities and administration is relatively small, but when implemented have the potential to greatly impact the decision-making process because more people

become aware of what government is doing, making it more accountable and thus improving government performance.

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Islam, R. (2003). Do more transparent governments govern better? World Bank Policy Research Working Paper, No. 3077, June. Washington, DC: The World Bank Institute. Lindblom, C. E. (1990). Inquiry and change. New York, NY: Yale University Press. Meijer, A. (2007). Publishing public performance results on the Internet—Do stakeholders use the Internet to hold Dutch public service organizations to account? Government Information Quarterly, 24, 165–185. doi:10.1016/j.giq.2006.01.014 Moon, M. J. (2002). The evolution of e-Government among municipalities: Rhetoric or reality? Public Administration Review, 62(4), 424–433. doi:10.1111/0033-3352.00196 National Performance Management Advisory Commission. (2010). A performance management framework for state and local government: From measurement and reporting to management and improving. Chicago. Rodrigues-Bolivar, M. P. (2007). E-government and public financial reporting: The case of Spanish regional governments. American Review of Public Administration, 37(2), 142–177. doi:10.1177/0275074006293193 Schwartz, R., & Mayne, J. (2005). Quality matters. New Brunswick, NJ: Transaction Publishers. Schwester, R. (2009). Examining the barriers to e-government adoption. Electronic Journal of E-Government, 7(1), 113–122. Sirianni, C., & Friedland, L. (2001). Civic innovation in America. Community empowerment, public policy, and the movement for civic renewal. University of California Press. Smith, S., & Ingram, H. (2002). Policy tools and democracy. In Salamon, L. (Ed.), The tools of government: A guide to the new governance (pp. 565–584). New York, NY: Oxford University Press.

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Tan, C., Pan, S., & Lim, E. (2007). Managing stakeholder interests in e-government implementation: Lessons learned from a Singapore e-government project. International Journal of Electronic Government Research, 3(1), 61–84. doi:10.4018/jegr.2007010104 Tolbert, C., & Mossberger, K. (2006). The effects of e-government on trust and confidence in government. Public Administration Review, 66(3), 354–369. doi:10.1111/j.1540-6210.2006.00594.x

ADDITIONAL READING Al, A. A., & Al-Bastaki, Y. A. L. (2011). Handbook of research on e-services in the public sector: E-government strategies and advancements. Hershey, PA: Information Science Reference. Aman, A. C. Jr. (2000). Information, privacy and technology: citizens, clients or consumers? In Beatson, J., & Cripps, Y. M. (Eds.), Freedom of expression and freedom of information: Essays in honour of Sir David Williams. Oxford, UK: Oxford University Press. Armstrong, C. L. (2011, January 01). Providing a clearer view: An examination of transparency on local government websites. Government Information Quarterly, 28(1), 11–16. doi:10.1016/j. giq.2010.07.006 Arnstein, S. (1969). A ladder of citizen participation. Journal of the American Institute of Planners, 35, 216–224. doi:10.1080/01944366908977225 Barber, B. R. (2001). Which technology for which democracy? Which democracy for which technology? International Journal of Communications Law & Policy, 6(Winter). Benton, Edwin, J. (2002). County service delivery: Does government structure matter? Public Administration Review, 62, 471–479. doi:10.1111/00333352.00200

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Bertot, J. C., Jaeger, P. T., & Grimes, J. M. (2010, July 01). Using ICTs to create a culture of transparency: E-government and social media as openness and anti-corruption tools for societies. Government Information Quarterly, 27(3), 264–271. doi:10.1016/j.giq.2010.03.001 Blanton, T. (2002). The world’s right to know. Foreign Policy, 131, 50–58. doi:10.2307/3183417 Box, R. (1999). Running government like a business: Implications for public administration theory and practice. American Review of Public Administration, 29. Brewer, G. A., Neubauer, B. J., & Geiselhart, K. (2006). Designing and implementing e-government systems: Critical implications for public administration and democracy. Administration & Society, 38(4), 472–499. doi:10.1177/0095399706290638 Calista, D., Melitski, J., Holzer, M., & Manoharan, A. (2010, January 1). Digitized government in worldwide municipalities between 2003 and 2007. International Journal of Public Administration, 33, 12–13. doi:10.1080/01900692.2010.513881 Chen, Y. (2007). Electronic government implementation: A comparison between developed and developing countries. International Journal of Electronic Government Research, 3(2), 45–61. doi:10.4018/jegr.2007040103 D’Ambrosio, P. (1999). A new right to know bill due. Asbury Park Press. Davis, C. (2003). 2003 FOI updates, the states. The First Amendment Center. Retrieved from http://foi. missouri.edu/ statefoinews/ 2003foiupdate.html Feltey, K., King, C., & Susel, B. (1998). The question of participation: Toward authentic public participation in public administration. Public Administration Review, 58, 317–326. doi:10.2307/977561

Fiorino, D. (1990). Citizen participation and environmental risk: A survey of institutional mechanisms. Science, Technology & Human Values, 15, 226–243. doi:10.1177/016224399001500204 Fischer, F. (1993). Citizen participation and the democratization of policy expertise: From theoretical inquiry to practical cases. Policy Sciences, 26, 165–187. doi:10.1007/BF00999715 Florini, A. M. (2002). Increasing transparency in government. International Journal on World Peace, 19(3). Garson, G. D. (2006). Public Information Technology and e-governance: Managing the virtual state. Raleigh, NC: Jones and Bartlett Publishers. Garson, G. D. (2011). Public Information Technology and e-governance: Managing the virtual state. Sudbury, MA: Jones & Bartlett Learning. Gauthier, C. C. (1999). The right to know, press freedom and public discourse. Journal of Mass Media Ethics, 14(4), 197–212. doi:10.1207/ S15327728JMME1404_1 Hatry, H. (2006). Performance measurement— Getting results. Washington, DC: The Urban Institute Press. Hollis, A., Johnstone, K., & Warfield, T. (1999). Corporate reporting on the Internet. Accounting Horizons, 13(3), 241–257. doi:10.2308/ acch.1999.13.3.241 Holzer, M., & Kim, S. Y. (2003). Digital governance in municipalities worldwide: An assessment of municipal web sites throughout the world. Newark, NJ: National Center for Public Productivity. Justice, J., Melitski, J., & Smith, D. (2007, July 1). E-government as an instrument of fiscal accountability and responsiveness: Do the best practitioners employ the best practices. Sage Public Administration Abstracts, 34, 2.

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Kennedy, G. (1996). How Americans got their right to know: Getting Congress to guarantee access to federal information through FOI 30 years ago was a press triumph. Retrieved from http:// www.johnemossfoundation.org/ foi/kennedy.htm. Kim, S., Kim, H. J., & Lee, H. (2009, January 1). From implementation to adoption: Challenges to successful e-government diffusion. An institutional analysis of an e-government system for anti-corruption: The case of OPEN. Government Information Quarterly, 26(1), 42–50. doi:10.1016/j.giq.2008.09.002 Lando, T. (1999). Public participation in local government: Points of view. National Civic Review, 88, 109–122. doi:10.1002/ncr.88204 Lord, K. M. (2006). The perils and promise of global transparency: Why the information revolution may not lead to security, democracy, or peace. State University of New York Press. Miri, J., & Taylor, P. (2008). Performance matters: Toward transparent, accountable, and effective delivery of public services. Chicago: Center for Digital Government. Organisation for Economic Cooperation and Development. (2001). Citizens as partners: Information, consultation and public participation in policy-making. Paris, France: OECD. Paskaleva-Shapira, K. (2006). Transitioning from e-government to e-governance in the knowledge society: The role of the legal framework for enabling the process in the European Union’s countries. The Electronic Journal of E-Government, 151, 181–191. Pina, V., Torres, L., & Royo, S. (2010, February 01). Is e-government leading to more accountable and transparent local governments? An overall view. Financial Accountability & Management, 26(1), 3–20. doi:10.1111/j.14680408.2009.00488.x

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Reddick, C. G. (2010). Citizens and e-government: Evaluating policy and management. Hershey, PA: Information Science Reference. doi:10.4018/9781-61520-931-6 Romzek, B. S., & Dubnick, M. J. (1987). Accountability in the public sector: Lessons from the Challenger tragedy. Public Administration Review, 47(3). doi:10.2307/975901 Rosener, J. (1978). Citizen participation: Can we measure its effectiveness? Public Administration Review, (September/October): 457–463. doi:10.2307/975505 Suk Kim, P. (2005). Introduction: Challenges and opportunities for democracy, administration and law. International Review of Administrative Sciences, 71, 99–108. doi:10.1177/0020852305051686 United Nations. (2010). United Nations e-government survey 2010: Leveraging e-government at a time of financial and economic crisis. New York: United Nations. Vaughn, R. G. (2000). Transparency—The mechanisms: Open government and accountability. Issues of Democracy, 5(2). Vigoda, E. (2002). From responsiveness to collaboration: Governance, citizens, and the next generation of public administration. Public Administration Review, 62, 527–540. doi:10.1111/15406210.00235 Wong, W., & Welch, E. (2004). Does e-government promote accountability? A comparative analysis of website openness and government accountability. Governance: An International Journal of Policy, Administration and Institutions, 17(2), 275–297. doi:10.1111/j.1468-0491.2004.00246.x

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ENDNOTES 1



2



The My Government Website Project –http:// sunshinereview.org/index.php/Transparency_checklist. Retrieved June 26, 2010. Last Modified, April 6, 2010. The My Government Website Project –http:// sunshinereview.org/index.php/Transpar-

3



ency_checklist. Retrieved June 26, 2010. Last Modified, April 6, 2010. My Government Website. County Evaluations Completed. Retrieved June 26, 2010. http://sunshinereview.org/index. php/Portal:My_Government_Website. Last modified, October 9, 2009.

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E-Gov and Transparency in NJ Counties

APPENDIX A: TRANSPARENCY CHECKLIST: SUNSHINE REVIEW2 •

•

•

•

•

•

•

•

38

Budgets: The website should include the current budget. Bonus points if the website shows the budgets for previous years, and a graph showing increases or decreases over time to help citizens evaluate and understand trends in local government spending. The checkbook register and credit card receipts should also be posted. ◦◦ Rationale: Budgets show the big picture of what goals and priorities the government established for the year. Budget details also serve as a way for taxpayers to determine how the government performed in relation to past years. Open-meeting laws should include notices about public meetings of its governing board and minutes of past meetings. Also check for meeting agendas for future or past meetings. ◦◦ Rationale: Meetings are one of the few ways the public can engage in true dialogue with representatives. Given the reality of busy schedules, governments should offer an alternative to meeting attendance by posting meetings, agendas, locations, and minutes on their website. The website should include elected officials’ names and contact information, including email addresses, as well as voting record. ◦◦ Rationale: Officials are elected to represent their constituents. In order to do so effectively, they should be engaged in regular dialogue and be as accessible as possible by providing a variety of ways to be contacted. Administrative officials should be listed on government websites. The website should include key administrators’ names and contact information, including e-mail addresses. ◦◦ Rationale: Administrative staff are knowledgeable resources, provide constituent services, and often enforce ordinances. Because of these roles, it is imperative for them to be available to constituents by providing contact information for the heads of each department and not just general information. Building permits and zoning: At the very least, permit applications should be available for downloading. In addition, constituents should be able to submit applications and track the process online. ◦◦ Rationale: Almost all government application processes are already digitalized. By facilitating the process online, government should cut down on cost and time barriers as well as improve communication and service to their constituents. Audits: The website should include regular audit information, including report results, audit schedules, and performance audits for government programs. ◦◦ Rationale: Whereas budgets give the big picture to constituents, an audit reveals how well the government achieves its goals. An audit reveals how closely-elected officials kept their promises, enabling constituents to hold them accountable. Contracts: The website should include rules governing contracts posted online, including bids and contracts for purchases over $10,000 and the vendor’s campaign contributions posted with contract. ◦◦ Rationale: Contracts should be available for review so the people can evaluate if the contract was a no-bid replacement or if the government chose the best solution for its constituents. Lobbying: If the unit of government belongs to any taxpayer-funded lobbying associations that it helps to fund by paying association or membership dues, that information should be disclosed on the government unit’s website.

E-Gov and Transparency in NJ Counties

Rationale: Almost all government entities have lobbyists on retainer or are members of an association that lobbies on their behalf. This information should be disclosed to constituents, so they can make sure what is being lobbied benefits the community. Public records: The website should include the name of who is in charge of fulfilling open-records requests, along with contact information for that person. ◦◦ Rationale: The government is obligated by law to answer FOIA requests. Posting an individual contact creates an avenue that should ease the way for constituents and displaces ill will often caused by a confusing process. Taxes: The website should include a central location for all tax information, including state “fees” such as drivers’ licenses, tax documents for all elected officials, and each agencies’ sources of revenue. ◦◦ Rationale: Tax information should be available to those looking to move or sell residences in their district. Disclosing tax burdens accurately reflects the cost of living. ◦◦

•

•

APPENDIX B: TOP TEN STATES IN COUNTY TRANSPARENCY: SUNSHINE REVIEW PROJECT3

Rank

State

Budget

Meetings

Elected officials

Admin. officials

Permits zoning

Audits

Contracts

Lobbying

Public records

Taxes

Overall transparency

1

Arizona counties

87%

100%

93%

86%

80%

54%

14%

0%

47%

94%

65.5%

2

California counties

86%

100%

86%

36%

83%

76%

57%

3.5%

40%

76%

64.35

3

Florida counties

71%

91%

85%

69%

76%

49%

34%

1.4%

4.4%

82%

56.28%

4

Washington counties

64%

79%

69%

90%

79%

41%

0%

0%

59%

69%

55%

5

Maryland counties

88%

88%

83%

92%

79%

29%

12.5%

0%

25%

29%

52.55%

6

New York counties

82%

87%

93%

98%

18%

32%

5%

0%

44%

50%

50.9%

7

Virginia counties

46%

51%

81%

81%

77%

53%

10%

14%

9%

70%

49.2%

8

New Jersey counties

81%

86%

76%

95%

0%

14%

0%

0%

76%

48%

47.6%

9

North Carolina counties

62%

84%

79%

78%

51%

55%

0%

0%

1%

44%

45.4%

10

Wisconsin counties

59%

76%

90%

88%

68%

26%

4%

0%

7%

10%

42.8%

39

E-Gov and Transparency in NJ Counties

APPENDIX C: ORGANIZATIONS IN NEW JERSEY CONCERNED WITH TRANSPARENCY • • • • • • • • • •

New Jersey Tax Payers Association, Board of Directors New Jersey Taxpayers Alliance (includes other organizations) New Jersey Foundation for Open Government, Board (includes other organizations) Common Cause New Jersey Americans for Tax Reform (Center for Fiscal Accountability) Asbury Park Press (Data Universe administrator) Two Monmouth County Freeholders Middletown town councilman Parsippany town councilman Miscellaneous interested individuals

APPENDIX D: NEW JERSEY TRANSPARENCY INDEX: MEASURES OF TRANSPARENCY POLITICIAN INFORMATION • • • • • • • • •

Are the Freeholders’ names available on the website? Are the Freeholders’ work addresses available on the website? Are the Freeholders’ work e-mail addresses available on the website? Are the Freeholders’ work phone numbers available on the website? Are the Freeholders’ biographies available on the website? Are the Freeholders’ voting records available on the website? Are the Freeholders’ financial disclosure records available on the website? Are the Freeholders’ tax records available on the website? Are the Freeholders’ vendor contribution records available on the website?

GOVERNMENT EMPLOYEES • • • • • • • • • • • 40

Are all gov’t employees’ names available on the website? Are all gov’t employees’ e-mail addresses available on the website? Are all gov’t employees’ phone numbers available on the website? Are all gov’t employees’ qualifications/resume available on the website? Does the website list employees by Department? Are the Collective Bargaining Agreements (CBA) available online? Are individual employee contracts available online? Does the website provide Monthly Hiring / Retirement / Headcount Change information? Does the website provide employment (job openings) information? Does the website provide volunteer opportunities? Does the website provide a contact for Open Public Records Act (OPRA) requests?

E-Gov and Transparency in NJ Counties

GOVERNMENT MEETINGS • • • • • • • •

Does the website provide a monthly schedule of public meetings? Does the website provide agendas of meetings? (Provided when?) Does the website provide meeting minutes? (Provided when?) Does the website provide purchase resolutions? (Provided when?) Does the website provide other resolutions? (Provided when?) Does the website provide live audio/video of meetings? Does the website provide archived audio/video recording of meetings? Does the website provide information on paid association memberships?

GOVERNMENT FINANCES • • • • • • • •

Does the website provide a copy of the annual budget? (Provided when?) Does the website provide a copy of the monthly variance report? (Provided when?) Does the website provide a copy (in MS Excel format) of the monthly check register? (Provided when?) Does the website provide a copy of the monthly T&E reports (individual & summary)? Does the website provide a copy of the Bonding Report? (Provided when?) Does the website provide a copy of the Annual Audit Report? (Provided when?) Does the website provide information on bids & contracts over $100,000? Does the website provide information on Unfunded Liabilities (unused sick and vacation time)?

EQUIPMENT ISSUED • • • • • • •

Does the website list who is issued automobiles? Does the website list who is issued laptops or computer equipment? Does the website list who is issued cell/mobile phones Does the website list who is issued information on pagers? Does the website list who is issued credit cards? Does the website list who is issued gasoline? Does the website list who is issued PDAs (e.g., Blackberry)?

GOVERNMENT DEPARTMENTS •

Does the website list and describe the individual Departments?

MISCELLANEOUS/CONTENT/USABILITY •

Is the website easy to navigate to find information?

41

E-Gov and Transparency in NJ Counties

• • • •

Does the website provide links to other relevant websites? Does the website provide a calendar of events? Does the website provide a County Code Book? Is there a person to contact for website issues?

APPENDIX E: NEW JERSEY OPEN PUBLIC RECORDS ACT http://www.state.nj.us/grc/act.htm. Retrieved October 21, 2008. Open Public Records Act P.L. 2001, CHAPTER 404 N.J.S. 47:1A-1 et seq. Legislative policy declaration

C.47:1A-1 Legislative findings, declarations. The Legislature finds and declares it to be the public policy of this State that:

All records shall be accessible

     • Government records shall be readily accessible for inspection, copying, or examination by the citizens of this State, with certain exceptions, for the protection of the public interest, and anylimitations on the right of access accorded by P.L.1963, c.73 (C.47:1A-1 et seq.) as amended and supplemented, shall be construed in favor of the public’s right of access;

All records public unless meets a permitted exemption

     • All government records shall be subject to public access unless exempt from such access by: P.L.1963, c.73 (C.47:1A-1 et seq.) as amended and supplemented; any other statute; resolution of either or both houses of the Legislature; regulation promulgated under the authority of any statute or Executive Order of the Governor; Rules of Court; any federal law, federal regulation, or federal order;      • A public agency has a responsibility and an obligation to safeguard from public access a citizen’s personal information with which it has been entrusted when disclosure thereof would violate the citizen’s reasonable expectation of privacy; and nothing contained in P.L.1963, c.73 (C.47:1A-1 et seq.), as amended and supplemented, shall be construed as affecting in any way the common law right of access to any record, including but not limited to criminal investigatory records of a law enforcement agency.

Definitions

C.47:1A-1.1 Definitions. As used in P.L.1963, c.73 (C.47:1A-1 et seq.) as amended and supplemented: “Biotechnology” means any technique that uses living organisms, or parts of living organisms, to make or modify products, to improve plants or animals, or to develop micro-organisms for specific uses; including the industrial use of recombinant DNA, cell fusion, and novel bioprocessing techniques.

Defines custodian of records

“Custodian of a government record” or “custodian” means in the case of a municipality, the municipal clerk and in the case of any other public agency, the officer officially designated by formal action of that agency’s director or governing body, as the case may be. “Government record” or “record” means any paper, written or printed book, document, drawing, map, plan, photograph, microfilm, data processed or image processed document, information stored or maintained electronically or by sound-recording or in a similar device, or any copy thereof, that has been made, maintained or kept on file in the course of his or its official business by any officer, commission, agency or authority of the State or of any political subdivision thereof, including subordinate boards thereof, or that has been received in the course of his or its official business by any such officer, commission, agency, or authority of the State or of any political subdivision thereof, including subordinate boards thereof. The terms shall not include inter-agency or intra-agency advisory, consultative, or deliberative material.

Records that are exempt

A government record shall not include the following information which is deemed to be confidential for the purposes of P.L.1963, c.73 (C.47:1A-1 et seq.) as amended and supplemented:

Legislative records

     • Information received by a member of the Legislature from a constituent or information held by a member of the Legislature concerning a constituent, including but not limited to information in written form or contained in any e-mail or computer data base, or in any telephone record whatsoever, unless it is information the constituent is required by law to transmit;      • Any memorandum, correspondence, notes, report or other communication prepared by, or for, the specific use of a member of the Legislature in the course of the member’s official duties, except that this provision shall not apply to an otherwise publiclyaccessible report which is required by law to be submitted to the Legislature or its members;

Medical examiner records

     • Any copy, reproduction or facsimile of any photograph, negative or print, including instant photographs and videotapes of the body, or any portion of the body, of a deceased person, taken by or for the medical examiner at the scene of death or in the course of a post mortem examination or autopsy made by or caused to be made by the medical examiner except:      • When used in a criminal action or proceeding in this State which relates to the death of that person,

continued on following page 42

E-Gov and Transparency in NJ Counties

Open Public Records Act P.L. 2001, CHAPTER 404 N.J.S. 47:1A-1 et seq.      • For the use as a court of this State permits, by order after good cause has been shown and after written notification of the request for the courtorder has been served at least five days before the order is made upon the county prosecutor for the county in which the post mortem examination or autopsy occurred,      • For use in the field of forensic pathology or for use in medical or scientific educaion or research, or      • For use by any law enforcement agency in this State or any other state or federal law enforcement agency; Criminal investigation

     • Criminal investigatory records;

Victims records

     • Victims’ records, except that a victim of a crie shall have access to the victim’s own records;

Trade secrets and proprietary information

     • Trade secrets and proprietary commercial or financial information obtained from any source. For the purposes of this paragraph, trade secrets shall include data rocessing software obtained by a public body under a licensing agreement which prohibits its disclosure;

Attorney client privilege

     • Any record within the attorney-client privilege. This paragraph shall not be construed as exempting from access attorney r consultant bills or invoices except that such bills or invoices may be redacted to remove any information protected by the attorneyclient privilege;

Computer security

     • Administrative or technical information regarding computer hardware, software and etworks which, if disclosed, would jeopardize computer security;

Building security

     • Emergency or security information or procedures for any buildings or facility which, if disclosed, would jeopardize security of the building or facility or persons theren;

Security measures and techniques

     • Security measures and surveillance techniques which, if disclosed, would create a risk to the safety of persons, property, electronic data or software;

Advantage to bidders

     • Information which, if disclosed, would gve an advantage to competitors or bidders;

Public employee related

     • Information generated by or on behalf of public employers or public employees in connection      • With any sexual harassment complaint filed with a public employer or      • With any grievnce filed by or against an individual or      • With collective negotiations, including documents and statements of strategy or negotiating position

Risk management

     • Information which is a communication between a public agency and its insurance carrier, aministrative service organization or risk management office;

Court orders

     • Information which is to be kept confidential pursuant to court order; and

Honorable discharge certificates

     • Any copy of form DD-214, or that form, issued by the United States Government, or any other certificate of honorable discharge, or copy thereof, from active service or the reserves of a branch of the Armed Forces of the United States, or from service in the organized Militia of the State, that has been filed by an individual with a public agency, except that a veteran or the veteran’s spouse or surviving spouse shall have access to the veteran’s own records; and

Personal identifying information

     • That portion of any document which discloses the social security number, credit card number, unlisted telephone number or driver license number of any person; except for:      • Use by any government agency, including any court or law enforcement agency, n carrying out its functions,      • Or any private person or entity acting on behalf thereof,      • Or any private person or entity seeking to enforce payment of court-ordered child support; except with respect to the disclosure of driver information by the Division of Motor Vehicles as permitted by section 2 of P.L.1997, c.188 (C.39:2-3.4); and except that a social security number contained in a record required by law to be made, maintained or kept on file by a public agency shall be disclosed when access to the document or disclosure of that information is not otherwise prohibited by State or federal law, regulation or order or by State statute, resolution of either or both houses of the Legislature, Executive Order of the Governor, rule of court or regulation promulgated under the authority of any statute or executive order of the Governor.

43

44

Chapter 3

Transparency Issues in E-Governance and Civic Engagement Sherri Greenberg The University of Texas at Austin, USA Angela Newell The University of Texas at Austin, USA

ABSTRACT Today, people regularly debate the meaning of the term transparency relative to government. President Obama has made transparency a prominent issue in the federal government with his directive to use online resources to promote transparency. However, transparency is important at all levels of government, particularly transitioning from e-government to e-governance. This chapter discusses the definition of transparency related to e-governance and the implementation of transparency initiatives. The mission is to set the standards for government transparency and citizen engagement with an online presence. The standards and roadmap for achieving transparency in e-governance involve politics, policy, and technology. This chapter outlines the necessary political, policy, technology, and transparency issues in e-governance. The discussion and recommendations covers issues such as political will, insufficient knowledge, and fear. Also, recommendations address best practices in policy development and implementation. The current applications and data recommendations cover technology developments.

INTRODUCTION E-government entails providing services via the Internet, ranging from vehicle registration and license renewals to paying taxes to commenting on legislation in process and e-rulemaking. AdditionDOI: 10.4018/978-1-4666-0116-1.ch003

ally, e-government offers the unique capacity to provide information via spreadsheets, documents, and basic text to citizens related to the operations of government via an online format. Traditionally, these services have been provided to citizens through software and processes that have been developed specifically for the government (ex. TurboTax) or that are proprietary in nature (ex.

Copyright © 2012, IGI Global. Copying or distributing in print or electronic forms without written permission of IGI Global is prohibited.

Transparency Issues in E-Governance and Civic Engagement

Adobe and Microsoft products). The focus of egovernment efforts was largely to provide services in a more effective and efficient manner that took out the government “middleman” and allowed for transactions to occur online at the convenience of the consumer. However, with the implementation of newly developing Internet tools, there is an opportunity for e-government to evolve. This evolution or transformation will be to a system of e-governance where citizens can aid in the decision making process through online methods. E-governance promotes and is driven by increased transparency and civic participation through online tools developed in tandem with citizens. The tools and technology exist today for truly transparent online government. Raw data can be provided in exportable, machine-readable formats or with application programming interfaces (APIs). Untold applications enhance transparency and civic participation with mapping, visualization, analytical and personalized applications. Documents and data previously provided in a PDF or other proprietary formats that do not provide for information exportation can be provided in an open source format that allows for participation via independent analysis of raw data. Using Web 2.0 applications such as YouTube, Twitter and Facebook, citizens can interact virtually with their governments in conversations and public meetings and hearings. Excellent, isolated examples exist at the federal, state and local levels here and abroad. True transparency requires public participation and analysis with original applications. Hence, the status quo must transform from e-government to e-governance allowing for participation and civic engagement. The next step is to explore and recommend standards and a roadmap for governments to achieve transparency in e-governance. Government officials must set the direction for policies to be implemented with the latest technology that maximizes government transparency and civic engagement.

BACKGROUND “E-government refers to one aspect of digital government: the provision of governmental services by electronic means, usually over the Internet. E-governance, in contrast, refers to a vision of changing the nature of the state” (Garson, 2006). This chapter focuses on transparency issues in egovernance and civic engagement and the resultant changes in the nature of the state of government through transaction to governance through transparency and participation. E-governance involves the ability of citizens and government to carry out the operations of governance including deliberation and decision making online and occurs in the transformational stage of e-government. The stages of e-government are as follows: • • • •

Website presence stage Interaction & Communication Stage Transactional stage Transformational stage (Sood, 2000)

The website stage involves simply having an Internet presence. The interaction and communication stage entails email communication between government and citizens. The transactional stage allows citizens to transact government business such as renewing auto registration or paying taxes online. Most sizeable state and local governments have reached the transactional stage and some are entering the transformational stage by providing GIS, interactive, open source, and wireless applications. E-governance is more likely to occur in the transformation stage. E-Government typically refers to having an online presence allowing interaction with the public, such as document searches, transactions and online payments. Governments tend to think of e-government as transacting government business. E-Governance, on the other hand, calls for public participation in governmental decision making via the Internet (Garson, 2006). E-government

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traditionally entails online delivery of government services and information to constituents such as renewing driver’s license online and providing documents which would fall within the transactional stage. E-governance involves direct online participation in government by constituents such as creating applications with exportable, machinereadable government data or virtual participation in a town hall meeting. E-governance incorporates the responsibility of government to provide relevant and timely information to citizens with the ability for citizens to use that information in ways that aids in the decision-making or policy communication process. What is transformation in government and in e-government? Traditionally, transformation in government is characterized as improving service delivery, performance, efficiency and effectiveness and reducing costs and being customer centered. There are two kinds of e-government transformation: within government and between government and citizens. E-Government transformation within government adheres to the traditional government view of e-government as: improving management within government, and providing online transactions for the public. Traditional e-government transformation examples are e-procurement and online budgeting and accounting systems. E-government transformation between government and the public focuses on online transactions such as: auto registration, vital records and permits. Hence, we find governments adhering to the traditional ideal of e-government transformation between government and the public as transactional. E-governance, online collaborations with the public, is the next wave of e-government transformation. With the advent of e-governance, online government will have reached the transformative stage. In that transformative stage, the changing nature of state is one that is more citizen-centric or the more horizontal state that is associated with governance (Slaughter 2004, Blomgren Bingham, Nabatchi, O’Leary 2005)

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Actual e-government transformation leads to e-governance with the following components: • • • • • • • • • • •

Go to the people Communicate in real time Exportable, machine- readable, searchable, raw data Web 2.0: sharing, collaboration, creativity Blogs, Wikis, Mashups Podcasts, Webcasts, RSS (Really Simple Syndication) Feeds Social Networking: Facebook, YouTube, Twitter Datamining Crowdsourcing Geographic Information Systems (GIS) Applications

These components underpin the increased transparency and opportunities for civic engagement that ultimately change the nature of the state. The trends in e-government transformation have been to change the government business model and re-engineer government to be more efficient and client centered. Part of re-engineering has focused on eliminating government stovepipes and providing more horizontal, cross agency IT solutions with interoperability (Kettl and Fesler, 2005). The Geospatial One-Stop (now geodata. gov) was the federal government’s first attempt to break down the agency silos and organize data across agencies. In its initial stages, the geospatial one-stop acted as a repository for all agency collections of relevant latitude and longitude markers. Markers collected by the different agencies typically identified a property, site, operations or other center for which the given agency had an interest or responsibility. Cross listing allowed agencies access to a centralized resource center for assets of the United States. This centralized repository was published to all agencies and to the public allowing for easily accessible, consistent, and transparent geo data.

Transparency Issues in E-Governance and Civic Engagement

The current form of geodata.gov is a centralized repository for federal, state and local government geographical data where difference citizen groups, government groups and citizen-government groups can upload, map and coordinate data to assist with disaster identification and relief, service provision, mapping and other services. Governments at all levels seek to achieve similar cross agency cooperative efforts to maximize government service provision driven by transparency and interaction with citizens. It is more horizontal in nature because non-traditional forms of government-to-government, government to citizen, and citizen-to-citizen relationships form to enhance governance. The federal e-government Act of 2002 made citizen-centric web sites a priority in the United States federal government (Industry Advisory Council, 2005). Industry experts speak of having citizen-centric government and consider the United States Department of Agriculture Web site, which has developed user personas, virtual representatives and performance measures, a model of citizen-centric government. Citizens are forcing a major change in the ways government service has become institutionalized. Citizens desire to be the drivers of the service delivery process, deciding the time, place and scope of interaction through direct use of technology to interact with government (Ahmed, 2008). These nascent efforts exemplify the ultimate changes in state that are more horizontal and citizen-centric expected to be associated with e-governance. The next wave of transformations in e-government increasingly will come from e-governance. Today, constituents, whether they are state agencies, citizens or businesses, operate collaboratively online. People expect to interact with government using the latest online applications. Some federal agencies, states and cities have begun to recognize this and are beginning to disseminate information using the new channels. Transparency, citizen collaboration and citizen

engagement are the current next wave and the ultimate state transformation.

TRANSPARENCY, CIVIC PARTICIPATION, E-GOVERNANCE, AND THE CHANGING STATE The United States has a long history of identifying the means and methods for promoting transparency and civic participation. The purpose of promoting transparency is largely to promote accountability and trust in government. The purpose of developing new means for civic participation is to perpetuate democratic ideals. Both transparency and civic participation are goals achieved with the aid of electronic devices and enhance the governance structure. However, there are rarely agreed upon definitions for transparency and civic engagement. In the book, Open Government: Collaboration, Transparency, and Participation in Practice, author Aaron Swartz argues that transparency is simply a word that takes on the definition of the “political thing that someone wants to promote.” He warns that those who would use the word in relation to policy may be trying to sell themselves, rather than actually planning to enact a concept that would enhance government information sharing or information accessibility. Fellow Open Government author Koelkebeck offers the insight that in order to be relevant, transparency is a concept that must be applied to an audience and gives an example of the definition of transparency as applied internal to an organization versus applied externally (Lathrop, Ruma 2010). When applied internally, transparency relates to the ability to answer a given question about the internal operations of an organization. An organization is transparent if that answer can be found within a more immediate colleague circle, than if a question “boomerangs” back to the seeker, after making a wide sweep, empty. In traditional economic terms, transparency deals with the concept of eliminating asymmetries

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of information so that everyone makes decisions using the same information. From this perspective, eliminating asymmetries within organizations would allow for more efficiencies and knowledge transfer. Equally, Yochai Benkler argues that with access and use of digital technologies, greater transparency occurs as people collaborate and negotiate. Information that would typically not be transparent that is related to individual assumptions and perspectives moves to the foreground as people make their preferences clear (Benkler 2006). Transparency becomes an outcome related to the lowered transaction costs of collaborating and negotiating online to achieve a decision. Mathew Hindman refers to the formal and informal barriers in the architecture of the Internet that allow or do not allow certain citizens to access certain information that may allow them to participate in the political process (Hindman 2009). He makes a direct link between the hierarchical nature of government information and the ability of citizens to interact based on the level of information in the hierarchy. Transparency is related to elimination of hierarchical barriers established within the information systems of government so that citizens have access to information necessary to participate in the governance process. In Governance and Information Technology: from Electronic Government to Information Government, Lau contextualizes transparency in terms of good governance and sites the adoption by various governments of acts such as the Freedom of Information Act (Mayor-Schonberger and Lazer 2007). He argues that organizing government information online for accessibility engenders trust and accessibility to government. This increased accessibility and trust allow for better governance and national growth. Historically, information was viewed as a national asset to be protected by the government. With the enactment of the Freedom of Information Act, that asset was declared a public asset which required information to be open to the public for the purposes of government accountability and

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meeting the expectation of a citizen’s “right to know.” (Public Law 89-554, 80 Stat. 383, 1966) With the exception of certain documents that pertain to national security or the personal details of individuals, government bears the burden of information sharing. Amendments to the Freedom of Information Act in the Electronic Freedom of Information Act of 1996, introduced the idea that the government was also responsible for publishing information in electronic formats to add increased accessibility to data and information related to the government for citizens (Public Law No. 104-231, 110 Stat. 3048, 1996). The Open Government Initiative of 2009 expanded the government’s data sharing efforts with the express purpose of using interactive Internet tools to increase transparency and civic participation (Obama 2009). To achieve transparency, government information must be accessible and usable via an online venue. Information must be readily identified and accessible in a manner that allows for information to be easily retrieved in a useful and exportable format, much like raw data so that citizens can readily identify pertinent information and connect it to a problem in need of solution or a decision making process. “Data transparency can spur economic, scientific, and educational innovation – as well as civic engagement – by making it easier to build applications, conduct analysis, and perform research” (Orszag, 2009). Achieving government transparency online should not be an end in itself. The goal should be actual civic engagement enabled online. True government transparency goes beyond simply providing information or data. First, the data must be accessible and useable. Second, providing data is not enough; the data must have context. Providing accessible data with context creates the environment for increased civic engagement that can have many benefits. To achieve civic engagement and a more citizen-centric government, the information must be readily

Transparency Issues in E-Governance and Civic Engagement

understood by providing context, such as reports and enabling legislation. Civic engagement and collaboration are the major beneficiaries of transparency and transformation. For our purposes the definition of civic engagement is as follows: Civic engagement means working to make a difference in the civic life of our communities and developing the combination of knowledge, skills, values and motivation to make that difference. It means promoting the quality of life in a community, through both political and non-political processes (Ehrlich, 2000). Eckert and Henschel note in their chapter, “Supporting Community in the Digital Age”, that the Internet allows people to interact with information in new ways, and supports more collaboration and democratization of information (Eckert and Henschel, 2000). Increased citizen engagement can cause greater government accountability and efficiency. Information is power and people can hold governments more accountable with increased information, but that should not be the only goal. With more accessible and useable online data and information, people can create applications for governments at no cost to government. Moreover, true civic engagement requires collaboration and a two-way street with government, rather than just receiving input from constituents. As Tim O’Reilly states: Participation means true engagement with citizens in the business of government, and actual collaboration with citizens in the design of government programs. For example, the Open Government Brainstorming conducted by the White House is an attempt to truly engage citizens in the making of policy, not just to hear their opinions after the fact (O’Reilly, 2010). To achieve civic engagement, transparency also must go beyond the notion that the right-toknow equals transparency: the idea that simply

disclosing information creates accountability. Additionally, transparency today is not just slapping up a PDF; those days are over. Of course, PDFs of government documents still are necessary. However, transparency today is machine-readable, raw data that is accessible and useable with the following attributes: •

•

Data Exportable in: XLS, (Microsoft Excel), CSV (comma, separated values),, XML,(Extensible markup language), RSS (Really Simple Syndication) Open standards for holistic exportation of raw data: APIs (Application Programming Interfaces) allowing for full exportation and database searches

Furthermore, governments cannot simply provide raw data; to encourage civic engagement and collaboration, they must provide context and make information understandable with maps, charts, reports, visualization and legislative and policy context. But whatever governments do, the presentation of endless facts can fall flat unless there are independent developers who know what to do with them. As Mr. Torkington admits, failing to grasp this point led to disappointing results in New Zealand. In his enthusiasm for technology, he failed to think much about who would use the data he was posting and why. A wad of facts was dumped into cyberspace, with no instructions to find good ways of using them. There they sit, unread by any machine. Even the geekiest types can be nonplussed when they are presented with data but no purpose (Economist, 2010). Successful governments must communicate effectively with people to be relevant, and people are demanding greater participation with their governments. Increasingly, today that means communicating using Web 2.0 channels that allow users to be content creators. Web 2.0 is described as, “Internet usage that involves online collaboration, networking between individual users, and user-

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created content” (News Report, 2007). Web 2.0 offers uniquely citizen-centric opportunities for development of applications and use of content. This development relies upon the government to act as a primary information repositiry and source for application development, while integrating citizens directly into the application and content development process.

E-GOVERNANCE AND WEB 2.0 A Booz Allen Hamilton survey found, contrary to popular belief, that Web 2.0 use is prevalent across both genders and all age groups (News Report, 2007). Similarly, Pew research suggests growing numbers of users of social media and other Web 2.0 tools across generations, doubling in those over the age of 50 in the past year alone (Pew 2010). Web 2.0 tools offer the traditional transactional tools of e-government the opportunity to transform to more engaging e-governance. The following is a list of criteria describing Web 2.0: • • • • • •

Web-oriented architecture Shared content, shared tools “Mashup”: an individually determined mix of tools and content User participation and community development Ease of access and use “Permanent beta” (National Electronic Commerce Coordinating Council, 2007).

The difference between Web 2.0 tools and other Internet tools is that they are interactive in nature—meaning that they require the participation of people to grow and expand and that they never really reach a final state. They change and grow based on the needs and desires of the users. Examples of Web 2.0 tools include wikis, interactive programming interfaces, interactive ranking, data compilation and visualization systems. Examples of Web 2.0 activities include blogging 50

and micro-blogging, creating shared content and data sets, crowdsourcing, Second Life, MySpace, and YouTube, Flickr, and geospatial applications. The foundation of e-governance and Web 2.0 tools relies upon the insurance that data are high-value or high quality with assurances of accuracy. Achieving e-governance through increased transparency, collaboration and civic engagement entails politics, policy and technology. Having accessible raw data is only the beginning: a multi-pronged approach including transparency and participation is necessary. Examples of the implementation of Web 2.0 systems in government are becoming more and more prevalent as we transition to e-governance. Cities and states across the country are beginning to make geospatial information available online for the public to data mine and mash up. Some of the results have been public assistance with fire and flood victims, and crime solving. The country of Sweden has a virtual embassy in Second Life, the Second House of Sweden, which is patterned after the real-life House of Sweden in Washington, D.C. (News Report 2007). In the spring of 2008, Rep. Edward Markey, chairman of the United States House Subcommittee on Telecommunications and the Internet, held the first ever simulcast virtual Congressional hearing on Second Life. The simulcast hearing even featured avatars of journalists, advocates and government employees on Second Life (News Report 2008). Researchers from the University of California at Davis put a 3-D model of the California Exposition and State Fair in Second Life and trained staff from the California Department of Health Services on how to administer antibiotics from the Strategic National Stockpile in the case of an anthrax attack (Raths 2008). Robert Furberg, a research analyst at the Center for Simulator Technology in Research Triangle Park, N.C., made the following comments regarding virtual reality triage: A full-scale exercise takes a lot of advanced preparation and requires daylong drills – it is

Transparency Issues in E-Governance and Civic Engagement

expensive and time consuming, he said. With simulation, we can run through a mass casualty event and change the parameters. Each case is a little different, and it is available 24/7 (Raths 2008). After Hurricane Katrina, the State of Louisiana implemented a model collaborative GIS disaster management program (Cassidy 2008). The program tracks people who have had to leave their homes, and it also provides basic services to areas that do not have electricity or water. The City of Rowlett, Texas, population of 53,000, has full-scale online interactive mapping with access to crime statistics, building footprints, property for sale and sex offender data. Rowlett uses the North Texas Council of Governments’ (NTCOG) iCommunities for its online mapping. According to Mack Maguire of NCTCOG, “It’s taking information about a specific jurisdiction and providing that information across the Web for use by employees of that organization, and also by citizens of that area” (Shared GIS Helps Texas Cities Create Rich Online Maps). Other communities and states are beginning to use MySpace and YouTube to reach their constituents. The California Department of Motor Vehicles provides drivers education on YouTube and has a 24/7 question and answer service on MySpace (California Department of Motor Vehicles (video)). (California Department of Motor Vehicles). A number of governments have webcasts, podcasts and RSS feeds. The new State of Texas website, texas.gov, has a social media presence among various state agencies encompassing the use of: Facebook, Flickr, Twitter, YouTube, Podcast and RSS. Specific examples from texas.gov include the Texas Department of Agriculture, Department of Family & Protective Services, Department of Transportation, Department of Motor Vehicles, Parks & Wildlife. The Texas Department of Family & Protective Services has a number of YouTube videos in English and Spanish including one on preventing sudden infant death syndrome called, “Give Babies Room to Breathe”, and another on abuse of elderly persons called, “Elder Abuse

is Everyone’s Business” (Texas Department of Family and Protective Services). The Texas Department of Agriculture has Facebook, podcasts and RSS and is one of many Texas state agencies using Twitter (Texas Department of Agriculture). The Texas Department of Parks & Wildlife uses Flickr for streaming video and YouTube for videos. (Texas Parks and Wildlife’s Photostream) (Texas Parks and Wildelife’s Channel). Crowdsourcing also can lead to increased government efficiency and cost savings when the public can access and export raw data to create useful applications. As noted, in an article in the Economist, “Now that citizens’ groups and companies have the raw data, they can use them to improve city services in ways that cash-strapped local governments cannot” (The Open Society, 2010). Examples of applications with crowdsourcing include everything from application contests hosted by governments to government websites that allow the public to create applications to nonprofit organizations that create applications using exported government data. The City of Manor, Texas, has a unique crowdsourcing forum for public input and collaboration to develop new technology and applications for the Manor website. The forum, Manor Labs, is a City of Manor website dedicated solely to public innovation and suggestions to improve Manor city government. People can go to the Manor Lab website and can view training videos and a user guide. They must register and sign in, and then they can begin submitting their own ideas or review and comment on proposed solutions. Ideas that people submit go through several stages of vetting and voting by other users. Manor Labs participants earn points according to their level of participation. The points operate as an incentive, since different levels of points can be turned in for prizes such as “be mayor for a day”. Some ideas have gone all of the way through the process and Manor has adopted them (City of Manor, Manor Labs). The City of Manor also uses See Click Fix, a technology that enables residents to report non51

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emergency street, water and wastewater problems in their neighborhoods. Manor plans to expand the feature soon to include the Development Services and Police Department. People can report problems online or by email or by using a mobile phone application (City of Manor, About). Data.gov and Recovery.gov are websites that the federal government has created (data.gov) (recovery.gov). Data.gov contains a raw data catalogue and a geodata catalogue. Furthermore, it has numerous applications in an apps showcase with mashups and visualizations from federal government data. The recovery.gov website provides data and tracks funding from the Recovery Act. Many states now have websites tracking Recovery Act spending in their states in some fashion. The states vary widely in the amount of raw data and applications they provide for stimulus tracking. Some states do not provide any mashups or data exportation. Others, for instance, the states of Maryland and Kentucky use visualization via mapping to track stimulus funding down to the county level and provide machine-readable raw data (statestat.maryland.gov) (kentuckyatwork. ky.gov). Also, both states use mapping to match stimulus spending with areas of economic need in their state. Good Jobs First rated Maryland number one and Kentucky number two in its January of 2010, stimulus website rankings. The Connecticut stimulus website, number three in the Good Jobs First rankings, provided search and data exportation features (Mattera, McIlvaine, Lacy and Carcas, 2010) (recovery.ct.gov). The United Kingdom (UK) website, data. gov.uk, allows constituents to create their own applications using data from the extensive data bank (data.uk.gov). The UK website has an extensive searchable function for raw data from the data bank. Furthermore, people are encouraged to submit the applications and mashups that they create from the data so they can be shared with other users. Also, the UK website contains a blog, forum and wiki.

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“Portland’s TriMet opened its data to app developers way back in 2005. Since that day, some 30-plus apps have been developed. Some do simple tasks like adapt bus schedules read easier on the iPhone. But others are more complex, tracking your bus as you wait, and texting you the time you will actually arrive at your destination. One app even sets off your phone’s alarm a few minutes before you reach your stop in case you want to catch a quick nap while bussing across town” (Dillow 2009). San Francisco and Washington D.C likewise allow constituents to create applications from their data banks. According to the San Francisco website: DataSF is a clearinghouse of datasets available from the City & County of San Francisco. The goal in releasing this site was: 1. 2. 3. 4.

Improve access to data Help our community create innovative apps Understand what datasets you’d like to see Get feedback on the quality of our datasets (datasf.org)

The San Francisco website has numerous downloadable datasets and an agency scorecard for agencies that make data public. Furthermore, the website has an App Showcase where constituents can post applications they have developed using the website’s datasets. The website states, “The DataSF App Showcase celebrates the innovators and innovations who are championing the Mayor’s vision of a more collaborative and open government” (datasf.org). The Washington D.C. website provides 435 downloadable datasets in several formats and links to create charts and graphs for visualization. The website has numerous geographic information system (GIS) datasets that can be exported to create mashups. Also, D.C. has an App Store with applications created by D.C. and by the public (data.dc.gov).

Transparency Issues in E-Governance and Civic Engagement

Nonprofit organizations, such as the Sunlight Foundation and the Annie E. Casey Foundation, have websites with databanks of government data. Additionally, they provide applications with mashups and visualization. Sunlight Foundation has datasets on its website containing state and federal campaign contributions with bulk downloads and APIs (TransparencyData). The Kids Count Data Center of the Annie E. Casey Foundation provides data by state with community level data and data across states with comparisons. The data includes hundreds of measure of child well-being. Users can create profiles, maps and rankings and access raw data (Kids Count Data Center). Additionally, organizations of all types, including governments, increasingly are using contests for the public to develop applications, products or solutions. The Sunlight Foundations Apps for America 1 and Apps for America 2 set the standard for online application contests. In April of 2009, the Sunlight Foundation awarded prizes to six winners who developed applications using government information. Apps for America 2, the current contest, challenges people to create apps using the federal Data.gov website. As Peter Orszag, the OMB Director, said regarding the contest: “The government doesn’t have a monopoly on best ideas. We look forward to unleashing the creativity of the American people to show us what is possible and help us find the innovative path forward” (Orszag, 2009). Washington D.C. has been at the forefront of government technology application contests with its Apps for Democracy contest. In June of 2009, Washington awarded $50,000 in prize money at a value of $2.3 million to the city (Apps for Democracy). Winners included 47 Web, Facebook and iPhone apps which are available on the Apps for Democracy website. Now D.C. is launching its second contest with Community Edition, a contest to develop a platform for submitting 311 requests to the city with $34,000 available for prizes. Moreover, D.C. has created a guide for

other governments to develop their own contests with a downloadable PDF on the Apps for Democracy Website. New York City also recently held an applications contest, the Big Apps contest, which New York modeled after the Washington D.C. Apps for Democracy contest. The New York contest’s goal was to encourage people to develop web and mobile device applications using New York City data available on its NYC Data Mine website. (http://www.nyc.gov/html/datamine/html/home/ home.shtml). New York awarded $20,000 in prize money to thirteen winners at the awards ceremony on February 4, 2010 (NYC BigAppps). On March 8, 2010, President Obama released a memorandum regarding “Guidance on the Use of Challenges and Prizes to Promote Open Government”. Also, in March of 2010, the White House held a workshop for federal officials on conducting online competitions. Various entities such as the PepsiCo Foundation and the Sunlight Foundation gave presentations regarding their successful experiences with contests (Sternstein 2010). On March 1, 2010, the U.S. Army launched “Apps for the Army Contest” which was open to all army personnel but limited to the first 100 to enroll with applications to be submitted by May 15. The army will award cash prizes to winners from a $30,000 pool (G-6 Launches ‘Apps for the Army Contest’). Furthermore, the Department of Education has an Open Innovation Portal for the public to collaborate on education ideas and solutions (Open Innovation Portal). The majority of these efforts by government to incorporate Web 2.0 tools into their e-government tools and transition to e-governance have been successful with governments navigating the waters of success with their constituents in beta mode. However, as with any transition in government or governance, bumps along the road, fear, and mishaps occur. At this stage of development, few steps in the transition are clear.

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WEB 2.0, GOVERNANCE, AND CONTEXT A recent report from the LBJ School of Public Affairs, noted that city officials in Kyle, Texas, fear that the public could misunderstand online information if the City provides the information without context. The report further states that Kyle officials believe that context is necessary regarding program details and comparisons among cities (Chapman and Greenberg, 2010). Additionally, at a related forum sponsored by the LBJ School of Public Affairs, on April 23, 2010, Dustin Haisler, formerly of the City of Manor, Texas, reiterated this point in his remarks as a featured speaker. Interaction requires both citizens and government in an open dialogue. Some governments are concerned that the public will use online information solely for catching accountability blunders. Certainly, collaboration is much more than looking for problems and civic engagement should encompass the positive aspects of praising government accomplishments and looking for shared solutions. Just as governments must engage constituents in a two-way street, constituents must do the same with government. Consequently, to encourage online transparency and promote collaboration and civic engagement, constituents must be actively engaged with governments in a productive manner. In their chapter, “the dark side of open government”, Fung and Weil state: But the larger responsibility of citizens is not just to judge when officials behave badly, but also to provide feedback on their performance in more nuanced ways, including registering approval when government performs well – when it protects people’s interests and solves public problems effectively and justly (Fung and Weil, 2010). As any parent or mediator knows, healthy relationships require cooperation and positive experiences. This is true whether the relationship

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is familial, business or government. Real engagement requires mutual effort and collaboration, not just making accusations and filing complaints. With online collaboration and civic engagement both the public and governments can reap many benefits. Constituents can obtain useful information and be involved in shaping their government and collaborating on projects. Governments can become more effective and efficient and provide improved services through constituent involvement. Accessible raw data available online in a useful format enables collaboration, such as crowdsourcing and the development of online government applications by the public. Likewise, we can be mislead by the notion of participation to think that it is limited to having government decision-makers “get input” from citizens. This would be like thinking that enabling comments on a website is the beginning and end of social media! It is a trap for outsiders to think that Government 2.0 is a way to use new technology to amplify the voices of citizens to influence those in power, and by insiders as a way to harness and channel those voices to advance their causes (O’Reilly, 2010).

E-GOVERNANCE CURRENT STATUS Individual entities at all levels of government, federal, state and local, have made significant progress in opening up government data to the public. However, some entities have been much more proactive than others. Several cities and states have moved from the transaction stage to the transformation stage allowing for e-governance with public collaboration and civic engagement. Changes are occurring daily in the federal government and states and cities across the nation. We are seeing a variety of outcomes today from governments providing machine-readable data. The public and governments are beginning to engage in crowdsourcing and collaboration, particularly regarding creating applications. Civic

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engagement has increased with wikis, blogs and exporting raw data to create mashups, visualizations and applications. Furthermore, governments are experiencing increased efficiencies, time savings and cost savings from providing exportable, raw data to the public. According to a recent U.S. PIRG report, transparency saves money, bolsters citizen confidence and increases civic engagement (Following the Money How the 50 States Rate in Providing Online Access to Government Spending Data, 2010, p1). The report sites City of Houston officials showing improved public confidence after launching the Houston transparency website (pp1, 2). Missouri’s transparency website, created with existing staff and appropriations, allows the public to search more than $20 billion in annual state spending (p3). The Texas Comptroller reportedly saved $4.8 million from more efficient government two years after launching its transparency website (p. 3). The State of Utah estimated that it has saved millions of dollars from reduced information requests since launching its transparency website (p. 3). Additionally, the federal transparency website cost less than $1 million to create and allows the public to search more than $2 trillion in annual federal spending (p3). States continue to improve their websites tracking the Recovery Act dollars with several states leading the way. Today, we can see examples of government websites that have features for mapping, visualization and exportable raw databases. Governments are using crowdsourcing for collaboration and civic engagement. Several cities have led the way with extensive machine-readable databanks and applications contests. However, there is much more work to be done. How do we achieve the goal of using online transparency and e-governance to achieve greater collaboration and civic engagement? How do we insure that the applications the public creates are relevant and sustainable? Will contests wear thin? Is there a better model?

SOLUTIONS AND RECOMMENDATIONS There are numerous recommendations to encourage increased transparency, collaboration and civic engagement through e-governance. However, these solutions do not come without implementation challenges. The following are recommended best practices for governments to implement: • • • •

•

• • •

Have champions and direction from leadership Provide one-stop shop for exportable raw data Provide raw data in an open standard format Provide data in: XLS, (Microsoft Excel), CSV (comma, separated values), XML, (Extensible markup language), RSS (Really Simple Syndication) Use APIs – Application Programming Interface: programming which allows other software to interact Provide context for data Have the government and the public create applications Create applications that are sustainable and relevant

Create a system of recognition of the best efforts. Various award and ranking programs provide recognition to innovative government technology solutions. These programs continue to be catalysts for governments’ development of exportable, raw databanks. Several of the entities with recognition programs are as follows:

Award Programs • • • •

The Center for Digital Government Government Technology Federal Computer Week Public Technology Institute

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• •

NASCIO The E-Governance Institute

Ranking Programs • • • •

USPIRG Good Jobs First Rutgers University Brown University

CHALLENGES In the public policy arena, change does not just happen. Change requires knowledge, education, and supporters who are “champions” for the particular changes. You must have champions to implement new public policies and officials must have the political will to champion change. Moreover, for change to be permanent, solutions must be sustainable and relevant. Elected officials and public servants must have the political will to accomplish changes in public policy and those seeking public policy changes must find leaders who will champion their causes. Whether, you are seeking changes in a government’s budget or technology, champions still are necessary. Leaders exist who have been champions of change regarding transparency and open data in federal state and local government. At the federal government level, although it did not pass, Senators John McCain and Barack Obama displayed bi-partisan support for government data transparency by co-sponsoring the Strengthening Transparency and Accountability in Federal Spending Act of 2008. As one of his first official presidential acts, President Obama released a memorandum regarding “Transparency and Open Government.” Additionally, President Obama appointed two well-known open data transparency advocates to important posts. He appointed Vivek Kundra, (formerly Washington D.C. Chief Technology Officer), as the federal Chief Information Officer (CIO) and Aneesh

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Chopra (formerly State of Virginia Secretary of Technology) as the federal Chief Technology Officer (CTO). States have had numerous officials as champions of online transparency, as well. The State of Utah has had several champions including legislative leaders such as Rep. Steve Urquhart who started a wiki, Politicopia. Also, the Utah Senate Majority implemented SenateSite.com with social networking (Fletcher in Lathrop, 2010). In New York State, as Attorney General, Andrew Cuomo championed transparency, and in Missouri former Governor Matt Blunt was a big proponent. In Texas, State Representative Mark Strama authored legislation in 2007, requiring the State of Texas to post its checkbook online (Tax Spending Transparency). Researchers at the LBJ School of Public Affairs have been working with state leaders in the Texas House of Representatives and Senate, and agency officials with the Office of the Comptroller of Public Accounts, Department of Information Resources and the Legislative Budget Board (Chapman and Greenberg). Some changes already have been implemented and in April of 2010, the Comptroller ‘s Office initiated an online Open Data Center (Open Data Center). Also, several committees in the Texas House of Representatives and Senate had interim committee study charges related to online transparency and open data in Texas state and local government. Moreover, in the current Texas legislative session, several legislators have filed related bills, and the Texas Speaker of the House and Lt. Governor have named committees with related missions. In several cities, mayors and technology officers have championed online raw data. The City of New York initiated the NYC.gov portal. In Washington D.C., Chief Technology Officer Vivek Kundra (now Federal CTO) and Mayor Adrian Fenty implemented the Apps for Democracy Contest, and in San Francisco, Mayor Gavin Newsom, Chief Information Officer, and Chris Vein CIO implemented data.sf.

Transparency Issues in E-Governance and Civic Engagement

Champions for open data and transparency also can take the form of nonprofit organizations such as the Sunlight Foundation, the Annie E. Casey Foundation, and OMB Watch through their advocacy activities. Finally, citizens can champion open data and transparency online through participating in political campaigns and advocacy. Another challenge to transparent raw data in government can be a lack of knowledge and resources. Governments can get valuable applications at no or very little cost through collaboration and crowdsourcing. Elected officials and public servants must be educated and knowledgeable. Do not reinvent the wheel; use existing technology and free software and partners in government, private sector and foundations. This can save money with transparency efforts. Manor Labs (the City of Manor, Texas) has partnered with the Stanford University, Peace Dot program, lead by Persuasive Technology Lab at Stanford University. The city of San Francisco DataSF has partnered with The Center for Investigative Reporting’s California Watch reporting team, Spot.Us, Craigslist founder, Craig Newmark, MAPLight.org, the Gov 2.0 Summit, Sun Light Foundation and others. Finally, governments face a real challenge in making data applications relevant and sustainable and civic engagement and collaboration more than just a one -time event. Bryon Sivak, Vivek Kundra’s successor as Washington D.C. CIO, has discontinued the Apps for Democracy contest. If you look at the applications developed in both of the contests we ran, and actually in many of the contests being run in other states and localities,” Sivak said, “you get a lot of applications that are designed for smartphones, that are designed for devices that aren’t necessarily used by the large populations that might need to interact with these services on a regular basis (New D.C. CTO Scraps ‘Apps for Democracy’). Furthermore, the sustainability of citizen-developed applications can be an issue. Jay Nath, the manager of Innovation for San Francisco, is trying to address that problem in future application contests.

In future contests, the city hopes to produce more sustainable prizes. “If we’re going to have an app contest, the winning application may not just get a prize,” Nath said. “We’re thinking about it as a way to find the best vendor and provide them with a contract, a way to work with the city for a year” (Do Apps for Democracy and Other Contests Create Sustainable Applications?). Also, from a public policy standpoint, there remains the question of lasting civic engagement. For instance, do people who participate in application contests or create mashups from open government data remain engaged in government, or is their civic engagement temporary and fleeting?

FUTURE RESEARCH DIRECTIONS There are several future research directions regarding transparency issues in e-governance and civic engagement including cost issues associated with the adoption of open databanks, performance measurement and maintaining public involvement. The following are areas for immediate research: •

• • • •

•

•

Low cost methods for governments to build the technology for providing raw datasets in machine-readable formats Metrics and tracking use of datasets and applications Development and adoption of benchmarks and performance measures Continued exploration of ways to collaborate with the public Exploration of the information communities that may develop with new methods and modes of collaboration Research on whether people have continued civic engagement or not and the form in which this engagement occurs Research on how to keep people who have collaborated interested in civic engagement

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CONCLUSION The landscape to achieve collaboration and civic engagement through e-governance and online transparency is full of opportunities and involves politics, policy and technology. How do we harness these opportunities in a useful manner? Government information can no longer simply be provided online as a PDF. Certainly, PDFs of reports and documents are necessary, but constituents expect much more in the forum of today. People are accustomed to accessing information in the form of exportable, raw data on business and social networking websites, and they expect the same from government. We operate in a world where transparency means raw data that is exportable from government databanks in machine-readable formats. But, just providing raw data is not in itself transparency. Government raw data must be readily visible and accessible to constituents. They must be able to easily find and access it on a government website in an intuitive fashion. Furthermore, government must provide context for the data such as reports, maps, charts and directives. To engage the public, raw data must be interactive and there must be opportunities for collaboration. Web 2.0 applications provide civic engagement when constituents can interact virtually with their governments in conversations and public meetings. Civic engagement occurs with crowdsourcing when citizens independently analyze the raw data and create mashups, visualizations and applications. Federal, state and local government agencies are beginning to engage citizens by collaborating and crowdsourcing with the provision of exportable raw data. Some governments have experimented with application contests where constituents develop applications from online government databanks. This type of civic engagement can provide efficiencies and save governments’ time and money. With raw data readily accessible and exportable to constituents, governments face

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fewer costly information requests and they also can reap the benefit of constituent developed applications at no cost. However, government transparency with accessible raw data does not just happen. Governments must have the knowledge and technical capabilities. Also, elected and appointed government officials must champion these policies for them to be implemented and become a reality. Furthermore, we must strive for relevant and sustainable data and applications, and continued civic engagement. The creation of a short lived or outdated application or the one time or infrequent engagement of constituents is not the goal. The goal of transparency in e-governance is continued collaboration and lasting civic engagement. To realize the potential of open data and transparency for collaboration and civic engagement, we must achieve continuing public participation.

REFERENCES Ahmed, R. (2008). The state IT master plan. State of Louisiana. Office of Information Technology. Aichholzer, G., & Burkert, H. (2004). Public sector information in the digital age: Between markets, public management and citizens’ rights. Northampton, MA: Edward Elgar Publishing, Inc. Benkler, Y. (2006). The wealth of networks: How social production transforms markets and Freedom. New Haven, Connecticut: Yale University Press. Blomgren Bingham, L., Nabatchi, T., & O’Leary, R. (2005). The new governance: Practices and processes for stakeholder and citizen participation in the work of government. Public Administration Review, 65(5), 1–12. Brito, J., & Perraut, D. (2010). Transparency and performance in government. North Carolina Journal of Law and Technology, 161. Retrieved from http://cite.ncjolt.org/ 11NCJOLTOnlineEd161

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Cassidy, J. (2008). Enterprise GIS strengthen government operations. Government Technology. Retrieved from www.govtech.com/gt/ print_article.php?id=265061 Center for Digital Government. (n.d.). Surveys and awards. Retrieved from http://www.centerdigitalgov.com/ surveys.php?survey=cdg_bow Chapman, G., & Greenberg, S. (2010). Texas financial transparency: Open and online. Austin, TX: LBJ School of Public Affairs, The University of Texas at Austin. City of Manor. (n.d.). Labs. Retrieved from http:// cityofmanor.org/ wordpress/labs/ City of Manor. (n.d.). About. Retrieved from http:// cityofmanor.org/ wordpress/seeclickfix/about/ City of San Francisco. (n.d.). DataSF beta. Retrieved from http://www.datasf.org/ page. php?page=about Dillow, C. (August 19, 2009). Five cities that got civic apps before San Francisco (Sorry, Gavin). Fast Company. Retrieved from http://www.fastcompany.com/ blog/clay-dillow/culture-buffet/ six-civic-apps-wed-see-more District of Columbia. (n.d.). Data.dc.gov. Retrieved from http://data.dc.gov/ Eckert, P., & Henschel, PeterP (2000). Supporting community in the digital age. In T. Ehrlich (Ed.), Civic responsibility and higher education (p. 200). Phoenix, AZ: Oryx Press. Ehrlich, T. (Ed.). (2000). Civic responsibility and higher education. Phoenix, AZ: Oryx Press. Electronic Freedom of Information Act. Public Law No. 104-231, 110 Stat. 3048. (1996). Electronic Government and Information Technology. (n.d.). Retrieved from http://www.usa.gov/ Federal_Employees/ Electronic_Government. shtml

Executive Office of the President, Office of Management and Budget. (2010). Guidance on the use of challenges and prizes to promote open government. Retrieved from http://www.scribd. com/doc/28210000/ Guidance-on-the-Useof-Challenges-and-Prizes- to-Promote-OpenGovernment Freedom of Information Act, Public Law 89-554, 80 Stat. 383 (1966) Fung, A., & Weil, D. (2010). The dark side of open government. In Lathrop, D., & Ruma, L. (Eds.), Open government collaboration: Transparency, and participation in practice (p. 107). Sebastopol, CA: O’Reilly Media, Inc. Garson, G. D. (2006). Managing information technology and e-governance: Managing the virtual state. Sudbury, MA: Jones and Bartlett Publishers. Garson, G. D., & Pavlichev, A. (2004). Digital government: Principles and best practices. Hershey, PA: Idea Group Publishing. Greenberg, S. (2007). State e-government strategies (Report to Congressional Research Service). Austin, TX: LBJ School of Public Affairs, The University of Texas at Austin. Hartman, R. (October 16, 2009). Ways to make government data sing. OhMyGov. Retrieved from http://ohmygov.com/blogs/general_news/ archive/2009/10/16/Ways-To-Make-GovernmentData-Sing-with-mashups.aspx Hindman, M. (2008). The myth of digital democracy. Princeton, NJ: Princeton University Press. Howe, J. (2006). The rise of crowdsourcing. Wired Magazine. Retrieved from http://www.wired.com/ wired/ archive/14.06/crowds.html Industry Advisory Council. (March 2005). eGovernment Shared Interest Group, Best Practices Subcommittee. McLean, Virginia. iStrategyLabs. (n.d.). Apps for Democracy. Retrieved from http:// www.appsfordemocracy.org/

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Kettl, D. F., & Fesler, J. W. (2005). The politics of the administrative process (3rd ed.). Washington, DC: CQ Press. Koelkebeck, T. (2010). Transparency inside out. In Lathrop, D., & Ruma, L. (Eds.), Open government, collaboration, transparency and participation in practice (p. 11). Sebastopol, CA: O’Reilly Media, Inc. Lathrop, D., & Ruma, L. (Eds.). (2010). Open government: Collaboration, transparency, and participation in practice. Sebastopol, CA: O’Reilly Media, Inc. Madden, M. (2010). Older adults and social media: social networking use among those ages 50 and older nearly doubled over the past year. Washington D.C.: Pew Internet and the American Life Project. Retrieved from http://pewinternet. org/Reports/ 2010/ Older-Adults-and-SocialMedia.aspx. Mattera, P., Mcllavaine, L. C., & Cafas, T. (2010). Show us the stimulus (again): An evaluation of state government recovery act websites. Washington, DC. Mayer-Schönberger, V., & Lazer, D. (Eds.). (2007). Governance and information technology: From electronic government to information government. Cambridge, MA: MIT Press. Nagesh, G. (2010). New D.C. CTO scraps ‘Apps for Democracy’. The Hill. Retrieved from http://thehill.com/blogs/hillicon-valley/ technology/101779-new-dc-cto-scraps- appsfor-democracy National Association of State Chief Information Officers. (2009). A call to action for state government: guidance for opening the doors to state data. Retrieved from http://www.nascio.org/publications/ documents/NASCIO-DataTransparency. pdf

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National Electronic Commerce Coordinating Council. (2007). Government in the age of YouTube: The implications of Internet social networks to government. eC3 Symposium White Paper, Austin, TX, Presented at the eC3 Annual Conference, December 3-5, 2007. Nichols, R. (July 11, 2010). Do Apps for America and other contests create sustainable applications? Government Technology. Retrieved from http:// www.govtech.com/ gt/articles/765522 NYC BigApps. (n.d.). Retrieved from http://www. nycbigapps.com/ O’Looney, J. A. (2002). Wiring governments: Challenges and possibilities for public managers. Westport, CT: Quorum Books. O’Reilly, T. (2010). Government as a platform. In Lathrop, D., & Ruma, L. (Eds.), Open government, collaboration, transparency and participation in practice (p. 11). Sebastopol, CA: O’Reilly Media, Inc. Obama, B. (2009). Transparency and open government. Washington, DC: White House. Retrieved from http://www.whitehouse.gov/the_press_office/ TransparencyandOpenGovernment/ Of governments and geeks. (2010). The Economist, 394(8668), 65-66. Orszag, P. (2009). The ingenuity of the American people. Retrieved from http://www.whitehouse. gov/omb/ blog/09/09/09/ TheIngenuityoftheAmericanPeople/ Pinto, A. (June 15, 2010). Texas Gov website gets a Texas size makeover: Search and citizen actions are centerpiece of new site. OhMyGov. Retrieved from http://ohmygov.com/blogs/general_news/ archive/2010/06/15/ texas-gov-website-gets-atexas- sized-makeover.aspx

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Practices Subcommittee. (2005). Managing citizen-centric Web content. State of the practice white paper. McLean Virginia. Retrieved from http://www.actgov.org/knowledgebank/ whitepapers/Documents/Shared% 20Interest%20Groups/ Collaboration% 20and%20Transformation%20 SIG/Managing% 20Citizen-Centric%20Web%20 Content%20-% 20CT%20SIG%20-%203-23-05. pdf President, T. (2008). Govt 2.0: The power of mass collaboration is here, personal democracy forum. Retrieved from http://techpresident.com/blog/ entry/ 23566/govt_2_0_the_power_of_ mass_collaboration_is_here Raths, D. (April 1, 2008). Virtual worlds help public safety officials practice for real-life threats. Government Technology. Retrieved from www. govtech.com/gt/ print_article.ph?id+261426 Recovery.gov. (n.d.). Retrieved from http://www. recovery.gov/Pages/home.aspx Report, News. (2007). Sweden inaugurates virtual embassy. Government Technology. Retrieved from http://www.govtech.com/e-government/ SwedenInaugurates-Virtual-Embassy.html Report, News. (April 2, 2008). Congressional hearing simulcast in an Internet-based virtual world. Government Technology. Retrieved from www. govtech.com/gt/ print_article.php?id=281991 Report, News. (June 25, 2007). International study urges organizations to adapt to Web 2.0 “phenomenon.” Government Technology. Retrieved from www.govtech.com/gt/ print_article. php?id=125734 Review, S. (n.d.). Establishing the standard for government transparency. Retrieved from www. sunshinereview.org/

Service, N. Y. C. (n.d.). Everybody’s got something to offer. Retrieved from http://www.nycservice. org/ ?utm_source=nycgov&utm_medium= nycservice&utm_campaign=redirect Slaughter, A.-M. (2004). A new world order. Princeton, NJ: Princeton University Press. Sood, R. (2000). The four phases of e-government in the public sector market, (Gartner Group Report, 2000, Resource ID: 308459). Pavlichev and Garson. State of California. (n.d.). California Department of Motor Vehicles (video). Retrieved from http:// youtube.com/user/ CaliforniaDMV State of California. (n.d.). California Department of Motor Vehicles. Retrieved from http://www. myspace.com/ californiadmv State of Connecticut. (n.d.). Recovery.ct.gov. Retrieved from http://www.recovery.ct.gov/ recovery/site/default.asp State of Kentucky. (n.d.). Kentuckyatwork.ky.gov. Retrieved from http://kentuckyatwork.ky.gov/ Pages/default.aspx State of Maryland. (n.d.). Statestat.maryland. gov. Retrieved from http://statestat.maryland.gov/ State of Texas. (n.d.). Social media presence. Retrieved from http://www.texas.gov/en/Connect/ Pages/social-media.aspx State of Texas. (n.d.). Tax spending transparency. Retrieved from http://www.fiscalaccountability. org/ texas-spending-transparency-a117 State of Virginia. (n.d.). Virginia emergency channel (video). Retrieved from http://youtube.com/ user/ VAEmergency Sternstein, A. (April 3, 2010). Corporate execs tell White House about benefits of contests. Nextgov: Technology and the business of government. Retrieved from http://www.nextgov.com/nextgov/ ng_20100430_9749.php

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Stone, A. (February 14, 2008). Shared GIS helps Texas cities create rich online maps. Government Technology. Retrieved from: http://www.govtech. com/magazines/ gt/Shared-GIS-Helps-TexasCities-Create.html Swartz, A. (2010). When is transparency useful? In Lathrop, D., & Ruma, L. (Eds.), Open government, collaboration, transparency and participation in practice (p. 11). Sebastopol, CA: O’Reilly Media, Inc. Tapscott, D., & Williams, A. D. (2006). Wikinomics: How mass collaboration changes everything. New York, NY: Portfolio, Penguin Group (USA) Inc. Texas Department of Agriculture. (n.d.). Making Texas the nation’s leader in agriculture. Retrieved from http://www.agr.state.tx.us/agr/ index/ 0,1911,1848_0_0_0,00.html Texas Department of Agriculture. (n.d.). Retrieved from http://www.agr.state.tx.us/agr/index/ 0,1911,1848_0_0_0,00.html Texas Department of Family and Protective Service’s Channel. (n.d.). Give babies room to breathe (30 Sec). Retrieved from http://www. youtube.com/TexasDFPS Texas Department of Family and Protective Services. (n.d.). YouTube. Retrieved from http:// www.youtube.com/TexasDFPS Texas Department of Information Resources. (2007). The Texas transformation, delivery technology that matters. Retrieved from http://www1. dir.state.tx.us/pubs/ ssp2007/DIR2007ssp.pdf Texas Department of Information Resources. (2009). Advancing Texas technology: Solutions for state government. Retrieved from http://www. dir.state.tx.us/pubs/ ssp2009/ssp2009.pdf Texas Parks and Wildlife. (n.d.). Texas Parks and Wildlife’s channel. Retrieved from http://www. youtube.com/user/ TexasParksWildlife

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Texas Parks and Wildlife. (n.d.). Texas Parks and Wildlife’s photo stream. Retrieved from http:// www.flickr.com/photos/ texasparkswildlife/ The Annie E. Casey Foundation. (n.d.). Kids Count Data Center. Retrieved from http://datacenter. kidscount.org/ The open society. (2010). The Economist, 394(8671), 11-12. Transparency, T. (n.d.). Open data. Retrieved from http://www.texastransparency.org/ opendata/ index.php?id=pageID. TransparencyData. (n.d.). Retrieved from http:// transparencydata.com/# Transparent-gov. (n.d.). Retrieved from http:// www.transparent-gov.com/ United Kingdom. (n.d.). Her Majesty’s government. Retrieved from http://www.data.gov.uk/ home/ United States Army. (2010). G-6 launches ‘Apps for the Army’contest. Retrieved from http://www. army.mil/-news/2010/03/01/ 35148-g-6-launchesapps-for-the-army-contest/ United States Department of Education. (n.d.). Open innovation portal: Join our online community and help bring innovation to education. Retrieved from https://innovation.ed.gov/ United States Government. (n.d.). Data.gov. Retrieved from http://www.data.gov/ United States Office of Management and Budget. (n.d.). Featured articles. Retrieved from www. ombwatch.org/ United States PIRG Education Fund. (2010). Following the money: How the 50 states rate in providing online access to government spending data. Retrieved from http://cdn.publicinterestnetwork.org/ assets/b3ba157e28d82952ee5b7a3f84e88499/ Following-the-Money-USPIRG.pdf

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Zagorin, E. A. (2010). A gold medal for better government. OhMyGov. Retrieved from http://ohmygov.com/blogs/general_news/ archive/2010/03/11/a-gold-medal-for- bettergovernment.aspx

ADDITIONAL READING Aichholzer, G., & Burkert, H. (2004). Public sector information in the digital age: Between markets, public management and citizens’ rights. Northampton, MA: Edward Elgar Publishing, Inc. Barrett, K., & Greene, R. (2001). Powering up: How public managers can take control of information technology. Washington, DC: Congressional Quarterly Press. Bhatnagar, S. (2004). E-Government: From vision to implementation: A practical guide with case studies. New Delhi, India: Sage Publications. Blackstone, E. A., Bognanno, M. L., & Hakim, S. (2005). Innovations in eGovernment: The thoughts of governors and mayors. Lanham, MD: Rowman & Littlefield Publishers, Inc. Brito, J., & Perraut, D. (2010). Transparency and performance in government. North Carolina Journal of Law and Technology, 161. Retrieved from http://cite.ncjolt.org/ 11NCJOLTOnlineEd161 Chapman, G., & Greenberg, S. (2010). Texas financial transparency: Open and online. Austin, TX: LBJ School of Public Affairs, The University of Texas at Austin. Curtin, G. G., Sommer, M. H., & Vis-Sommer, V. (2003). The world of e-government. New York, NY: The Haworth Press, Inc. Dunleavy, P., Margetts, H., Bastow, S., & Tinkler, J. (2006). Digital era governance: IT corporations, the state and e-government. New York, NY: Oxford University Press Inc.

Ehrlich, T. (Ed.). (2000). Civic responsibility and higher education. Oryx Press. Fountain, J. (2001). Building the virtual state: Information Technology and institutional change. Washington, DC: Brookings Institution Press. Garson, G. D. (2006). Managing Information Technology and e-governance: Managing the virtual state. Sudbury, MA: Jones and Bartlett Publishers. Garson, G. D., & Pavlichev, A. (2004). Digital government: Principles and best practices. Hershey, PA: Idea Group Publishing. Greenberg, S. (2007). State e-government strategies. Austin, TX: LBJ School of Public Affairs, The University of Texas at Austin. Howe, J. (2008). Crowdsourcing: Why the power of the crowd is driving the future of business. Crown Publishing Group. Kettl, D. F., & Fesler, J. W. (2005). The politics of the administrative process (3rd ed.). Washington, DC: CQ Press. Lathrop, D., & Ruma, L. (2010). Open government collaboration, transparency, and participation in practice. Sebastopol, CA: O’Reilly Media, Inc. Mattera, P., Mcllavaine, L. C., & Cafas, T. (2010). Show us the stimulus (again): An evaluation of state government recovery act websites. Washington, DC.Beth Simone Noveck (Author) › Visit Amazon’s Beth Simone Noveck Page Find all the books, read about the author, and more. See search results for this author Are you an author? Learn about Author Central Norris, D. F. (2007). Critical issues and trends in e-government research. Hershey, PA: Cybertech Publishing. Noveck, B. S. (2009). Wiki government: How technology can make government better, democracy stronger, and citizens more powerful. Harrisonburg, VA: R. R. Donnelley.

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O’Looney, J. A. (2002). Wiring governments: Challenges and possibilities for public managers. Westport, CT: Quorum Books.

West, D. M. (2005). Digital government: Technology and public sector performance. Princeton, NJ: Princeton University Press.

Putnam, R. D. (2000). Bowling alone: The collapse and revival of American community. New York, NY: Simon & Schuster.

KEY TERMS AND DEFINITIONS

Schedler, K., Summermatter, L., & Schmidt, B. (2004). Managing the electronic government: From vision to practice. Information Age Publishing Inc. Shark, A. R., & Toporkoff, S. (Eds.). (2010). Beyond e-government- measuring performance: A global perspective. Washington, DC: Public Technology Institute and ITEMS International. Surowiecki, J. (2005). The wisdom of crowds: Why the many are smarter than the few and how collective wisdom shapes business, economies, societies and nations. New York, NY: Anchor Books, a division of Random House, Inc. Tapscott, D., & Williams, A. D. (2006). Wikinomics: How mass collaboration changes everything. New York, NY: Portfolio, Penguin Group (USA) Inc.

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Champions: Leaders who advocate for and implement policy changes. E-Governance: Direct online participation in government by constituents. E-Government: Online delivery of government services and information to constituents. One-Stop Shop: A website page that has everything visible and clickable. Raw Data: Data that is exportable and machine-readable. Transparency: Public participation and analysis with original applications. Visualization: Using interactive maps, charts and graphs to display data.

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Chapter 4

Measuring and Improving Information-Based Government Websites: A Suggested Framework Laura Wesley Industry Canada, Canada

ABSTRACT This chapter presents a flexible framework for measuring efficiency, effectiveness, and citizen satisfaction with public sector websites. The framework uses research methods that measure the extent to which online information advances organizational objectives, reaches its target audience, and meets users’ expectations for service and quality. By gathering and reporting on this information, public sector website performance can be continuously improved. The framework is presented in a format that facilitates its evaluation. The design, implementation, and use of the performance measurement framework are described in detail by presenting logic models that describe possible activities and expected outcomes of each phase.

INTRODUCTION Public sector organizations face unique challenges when measuring the success of their corporate websites. Unlike the private sector, where the result of online communications can often be measured in dollars and cents, governments and other public sector organizations must find ways to measure their website’s performance which also take into DOI: 10.4018/978-1-4666-0116-1.ch004

account their citizen-focused mandates to work towards a “public good”. This paper presents a flexible framework for measuring the performance of information-based, public sector websites. It uses the principles and theories of results-based management to provide a practical framework focused on: •

User satisfaction (by measuring the extent to which the website meets user expectations);

Copyright © 2012, IGI Global. Copying or distributing in print or electronic forms without written permission of IGI Global is prohibited.

Measuring and Improving Information-Based Government Websites

•

•

Effectiveness (by measuring tasks that contribute to the advancement of the organizations mandate); and Efficiency (by measuring the cost of managing the website in relation to other activities).

Over the long term, this framework will facilitate narrative, results-focused reporting on trends that demonstrates and measures improvement over time. In the case of the federal public service in Canada, a multidimensional performance measurement system called the Management Accountability Framework exists to evaluate federal departmental performance. The original four areas of management included in the framework are shown in Figure 1. In 2010, federal departments and agencies were evaluated on twenty areas of management, including Citizen-Focused Service, one of the original four. The performance measurement framework presented here will provide organizations with a method to measure the types of long-term outcomes that must be reported on within the Canadian Management Accountability Framework as well as those relevant to public sector organizations in other countries.

However, it is important to note that this framework is not: • •

•

•

•

A cross-channel performance measurement strategy; An exhaustive list of everything that can be collected or that organizations may want to collect to answer specific questions; A dashboard for technical web managers that measures server load, quality assurance, privacy or security; An evaluation framework that measures relevance or impact of online communication and services; or The only way.

BACKGROUND The Government of Canada has long supported the use of results-based management as a conceptual framework as well as a suite of tools. The term results-based management describes the process of gathering information, analyzing and reporting findings to improve decision-making. These principles were used to create the web

Figure 1. The four original management priorities to be measured by federal public sector departments and agencies in Canada were to focus on citizens first, garner results, reflect public sector values and spend responsibly. (From: http://www.tbs-sct.gc.ca. Used with permission.)

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performance measurement framework described herein. Specifically, the following methodology was followed: 1. Develop a logic model that describes activities, short and long term outcomes. 2. Determine desired results of the activities and performance measurement system. 3. Identify potential key performance indicators (KPIs). 4. Set performance targets for each KPI. 5. Identify data required and potential data sources. 6. Report for decision-making. Recognizing the numerous challenges to effectively implement performance management, the framework will not be presented in the stepby-step process described above. Instead, it will be presented in the format that facilitates the evaluation of it. Lori Criss Powers’ (2009) theorized this approach after extensive literature analysis of performance measurement frameworks.

ISSUES, CONTROVERSIES, PROBLEMS Many multidimensional performance measurement models exist, for example, those reviewed by Silvi, Macrì and Tagliaventi (2004), and many organizations—both private and public—have embraced results-based management as a way to track their success. Comprehensive performance measurement models “serve to guide strategy development, communication, implementation, and feedback at multiple points along the value chain” (Selto and Malina, 2004, p. 4). Yet despite the popularity of and demand for the results-based management approach, there is little quantitative evidence to prove it actually works (Powers, 2009). Challenges of effectively

implementing performance measurement frameworks are discussed extensively elsewhere (e.g. Fryer, Jiju & Ogden, 2009; Powers, 2009; Van de Walle, 2008). However, most authors agree that in order to develop an effective performance measurement framework the system must use valid and reliable data that is not overly costly to collect. It must be reported in a way that is meaningful to decision-makers. The performance measurement system itself must be effectively managed, and continuously improved.

SOLUTIONS AND RECOMMENDATIONS This paper presents a practical solution to this very practical problem, but one that is still consistent with the academic methodology used in resultsbased management. A practical performance measurement framework allows for comparison between activities to determine which ones need attention and which should be heralded as models for others to follow. The framework should clearly link performance to achieving organizational objectives. Powers (2009) has developed a framework for evaluating the effectiveness of performance measurement frameworks that is based on change theory and systems thinking. The purpose of the performance measurement framework presented in this paper is to support continued improvements on a public sector website within a complex environment. Therefore, it will be presented in a format consistent with Powers’ (2009) findings; that an ideal performance measurement framework has three distinct, nonlinear, phases: Design, Implement and Use. The performance measurement framework presented here uses this approach as it should help organizations evaluate the framework and decide whether or not it could be effective for them.

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Designing an Effective Web Performance Measurement Framework User experience refers to the way people interact with products and systems in the real world. Measuring user experience is difficult because it examines individual feelings, thoughts and behaviours. However, an enormous amount of research has been done on the way people learn,

use and feel about websites. By considering the results of the Canadian public sector satisfaction survey, Citizens First (Institute for Citizen-Centred Service, 2008), in the context of Human Computer Interaction research, a simple logic model (Figure 2) can be developed to illustrate the design phase of the performance measurement framework. As described in Powers paper (theorized by Carol Weiss, 1998) if a strong enough link exists between short and long-term objectives, there is no need

Figure 2. Logic model describing the links between the activities required to design the performance measurement framework and the intended short and long-term outcomes.

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to measure long-term objectives separately (p. 3). Each activity and associated short-term outcome is described below.

Research Stakeholder Needs and Preferences The Institute for Citizen-Centred Service (ICCS), a Canadian non-profit organization, has conducted a number of research initiatives over the years to determine the factors that contribute to citizen satisfaction in public sector service delivery. Now in its fifth iteration, the Citizens First study presents the results of a public sector satisfaction survey collected using a proprietary methodology called the Common Measurement Tool. In this random-sample survey conducted online and by mail, 6,700 Canadians rated recent experiences obtaining services from all orders of public sector organizations (municipal, provincial and federal). Through this data, researchers un-

covered drivers of satisfaction for public sector services. These drivers vary according to how the user accessed the service (mail, fax, face-to-face and online). The decrease in satisfaction ratings of those who agreed with the following statements pertaining to online services was reported: • • • •

“I had trouble finding what I needed” resulted in 21% decrease in satisfaction. “The site was too complicated” resulted in 17% decrease in satisfaction. “The search engine did not work well” resulted in 16% decrease in satisfaction. “I forgot my password” resulted in 2% decrease in satisfaction.

Based on regression analysis, Timeliness, Clear Information, and Access accounted for 88% of the variance in overall satisfaction for online services (The Institute for Citizen-Centred Service, 2008).

Figure 3. Drivers of satisfaction for online services. (© 2008, The Institute for Citizen-Centred Service. Used with permission.)

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The finding that user satisfaction is primarily a result of being able to find and use online information and services is consistent with research done in the field of User Experience and Human Computer Interaction. Beyond what’s been included in this survey, current research also demonstrates that information quality and credibility, as well as visual appeal, also influence user satisfaction and ease of use.

Develop Online Information Products Successful websites advance the organization’s objectives, while meeting the user’s needs and expectations. The model shown in Figure 4, developed by Peter Morville in 2004, identifies seven facets of user experience that all website content should strive to be: findable, accessible, usable, useful, desirable, credible and valuable. These facets will be used to illustrate the design,

Figure 4. Seven facets of user experience (© 2004, Peter Morville, used with permission)

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implementation and use of a sample performance measurement framework. Morville, supported by many user experience specialists, considers this short list to represent the “sweet spot by serving several purposes at once” (Morville, 2004, Facets of the User Experience section, ¶ 3). Namely “each facet of the user experience honeycomb can serve as a singular looking glass, transforming how we see what we do, and enabling us to explore beyond conventional boundaries” (Morville, 2004, Facets of the User Experience section, ¶ 5). Looking at web content through different lenses helps service providers discuss priorities and focus finite resources on the areas that are most in need of improvement. In this context, Morville’s facets of user experience provide a practical way to identify what online information products need to be developed and which need to be improved in order to balance organizational objectives and user needs. However, as the Citizens First research shows, findability, usability and accessibility are the most important of these factors as they have the strongest links to citizen satisfaction. Organizations should decide the feasibility of tracking all of these and prioritize collecting data and looking for trends on the facets that are most relevant to them. Each of Morville’s facets, and how to measure them, is described in detail in the section on determining test methods.

Promote Products with Target Audience To be citizen-centric, public sector organizations must identify the segments of the population for whom the services and information are provided. Target segments can be based on geography (people who live in rural areas or in a particular region), demography (seniors, Anglophones or Francophones), preferences (people who prefer to use the Internet to find information), tasks (people who enjoy bird watching) or a combination thereof

(young people who use the internet to find funding to support their entrepreneurial activities). Generally speaking, the more defined the target audience, the easier it is to develop key messages and services that meet their needs. Regardless of the target segment or purpose of the website, promotion must be done to increase awareness of the information or services that exist. It’s worth noting that the recipient of a service is not necessarily the same as the target audience for whom the outcome is intended. For example, a website that exists to protect consumers from fraud may be directed at one or more segments of the population who have been deemed at-risk, but the overall program may exist in order to protect the financial security of anyone within the country. Two key performance indicators can be measured to determine a website’s success in reaching its target audience—the percentage of people within the target segment who are aware that the service is available and the percentage of people within the target segment who change their behaviour as a result. Only the first of these is measurable on the website itself, and only through the proxy of how many people are actually using the website compared to how many people are in the target audience segment. The second may be measurable through commissioned reports and third-party data demonstrating the behaviour of the target audience and how it may have changed overtime, but these changes will be only nominally attributable to the information provided on the website.

Determine Test Methods to Measure Short-Term Outcomes Measuring Efficiency Efficiency can be measured by demonstrating that the resources required to create, maintain, promote, research and continuously improve the website are worth their associated costs. The efficiency of online information services can be

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measured by the ratio of cost per visit or cost per interaction with the website. Organizations can obtain this ratio by tracking all costs associated with developing, promoting and measuring the website, and the number of visits to the website. More mature organizations will take it one step further by breaking down costs in one or more of the following ways: • • •

By content type, for example, video, podcast or electronic newsletter; By costs associated with transactional versus informational services; and By service channels (phone, web, in person).

This level of detail allows for comparisons across a wider range of activities, and thus enables better decisions about where to focus resources.

Measuring Effectiveness Effectiveness can be measured by demonstrating that goals have been achieved. Six of Morville’s facets of user experience are linked to user satisfaction because they align to user needs and expectations: findable, usable, useful, desirable, credible and accessible. These facets can each be evaluated using data gathered or tracked through the website. The seventh facet—valuable—is linked to the strategic objectives of the organization and, therefore, cannot be measured strictly on the website. Suggested approaches to measuring these facets are explored in detail below. Findable Citizens must be able to find the information they need to access government programs and services. Citizens who reported that they had trouble finding what they needed on public sector websites in the Citizens First study were found to have a decrease in satisfaction of 21% (The Institute for Citizen-Centred Service, 2008).

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Search engines are the primary way most Internet users find information online (Nielsen, 2004). With this in mind, indicators that could be used to measure findability include: •

•

•

Whether users can easily locate the information they want from an external search engine (such as Google or Yahoo), measured by the percentage of visits to the website referred by search engines; and/or Whether internal search engine results yield relevant links, measured by the percentage of users that click through to a content page from the search results page; and/or Whether users report having found what they were looking for on the website, measured by the percentage of users who agree in a survey that they found useful information.

Data for the first and second indicators can be measured through most web analytics software packages. However, data required for the second indicator may require customization to gather easily. There are more complex ways of tracking this information. These indicators have been chosen for their simplicity and relative ease of data collection. It’s extremely important that users find the information they need. None of the other facets of website content are relevant if users cannot find the information in the first place. Useful The public service exists to meet citizens’ needs, and a website exists to provide content to users. Usefulness is the extent to which the information is relevant to the website visitor. Studies show that content is the most critical element of a website (U.S. Department of Health and Human Services, 2008). If a government’s website content is not useful, users will simply go elsewhere to fill their information gap.

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Several techniques can be used to demonstrate that a website’s content is useful. First, the website’s internal search engine can be used to discover whether the information being searched actually exists on the site. This can be measured by tracking whether the desired page was displayed in the top search engine results. This cannot be done for every possible search phrase; focus should be on the top ten or twenty desired keywords or phrases. If content for top ten search terms does not exist, then service providers should carefully consider developing this content. Another approach to measuring the usefulness of content is to use online surveys within the website. Through these surveys users should be asked whether or not their visit was successful. Because we are measuring information-based sites, the key determinant of success, and another way of measuring findability, may be whether or not the visitor found the information they required. A survey question could be used to determine “Did you find what you were looking for?” and should be followed with a question about the information that was sought (Kaushik, 2009). A suggested technique is to provide a feedback form on each web page to solicit visitors’ views on that particular piece of content. If this route is pursued, the indicator of success could be the percentage of respondents who agree with the statement, “This page was useful” (or a similarly basic question). This technique is useful for a number of reasons. It provides a percentage of how many people find the overall site useful or not, and facilitates reporting and comparisons across pages, sections and sites. Because the feedback is specific to a particular page, it’s easy to prioritize which pages require improvement to the content. It is also one of the most accurate ways of assessing website performance from the users’ perspective because it is provided in the midst of a real-world task, whereas other test methods are performed within the parameters of a test session.

Usable Used interchangeably with user-friendliness, usability has evolved into a discrete and researchbacked discipline that reflects the ease of use of products and services. Citizens must be able to easily learn each website and complete the task that they have come to the site to accomplish. Thomas and Streib (2003) suggest that citizeninitiated contacts with governments via the Internet are likely to be motivated by specific needs (as cited in Underhill & Ladds, 2007). Because users come to the website to meet a specific need, task-based usability testing is an objective way to determine how well users learn and use the website. Tasks should be chosen based on the most popular tasks users come to the site to perform, as well as the strategic objectives of the organization. Every organization should have at least five tasks that users should be able to easily accomplish online. Testing should focus on these areas to demonstrate improvements over time. If usability testing is not an option, most web analytics packages allow for path analysis to measure the conversion rate on pre-determined tasks or workflows. A conversion rate is the percentage of site visitors who complete the pre-determined task, for example, subscribing to an RSS feed or online newsletter or submitting an application for funding. A combination of both task-based usability testing and web analytics is a practical way to identify problem areas and make improvements. These tasks should be re-tested periodically. Accessible Website accessibility is an important aspect of usability. In the Citizens First survey, 30% of respondents with disabilities reported technical difficulties with a government website they had recently visited. Readability and non-technical aspects are already included in the definition of accessibility in the guidelines created by the World Wide Web Consortium (W3C) (2008). In

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the future, the term may also come to mean ensuring the availability of content in multiple formats and through different channels so that users may choose how they want to access the information. Public sector organizations should consider moving to this next level of accessibility and develop channels to serve their clients aligned to targeted users’ preferences. In this way, ‘accessibility’ would be synonymous with ‘availability,’ and success metrics would demonstrate that services are provided on channels preferred by clients, such as smart phone applications. Credible Users must trust the source of the information provided in order to feel confident using it. The Stanford Persuasive Technology Lab has determined ten factors that contribute to the credibility of websites (Fogg, 2002). Many of these factors are covered by specific policies for federal government websites, like the look and the treatment of contact pages and the domain name extension (.gc.ca in Canada, for example). However, outdated content or content of questionable quality can still be found on many government websites. Site owners may use the following indicator to address this gap. Credibility can be measured by the percentage of site visitors who trust the reliability of the content. A survey asking visitors to state the extent to which they have confidence in the website is one way to measure this. Alternatively, research—such as that done by the Institute for Citizen-Centred Service in the Citizens First research project— could determine a typical time range within which people expect pages to be reviewed. It then becomes possible to measure the credibility of the site by the percentage of pages that meet this service standard. The timeframe may vary depending on the type of content, and should be supported with an archival policy that clarifies when documents will be removed from the website and where they will be stored once offline.

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Desirable Beyond being useful and usable, desirability implies there is more to satisfaction with a service than its ease of use and content relevance. Visual design elicits emotions and as such, also impacts satisfaction. Although the desired image of a government website may be different from that of a private sector organization, humans still react emotionally to colours, shapes and layout. Site visitors should be asked via a survey or when completing usability testing about the overall appeal of the website. Dr. Gitte Lindgaard and others have found that users rate the visual appeal of a website in about 50 milliseconds (Lindgaard, Gitte, Fernandes, Gary, Dudek, Cathy, & Brown, J., 2006). Dr. Lindgaard’s research also demonstrated that this quick judgment also influences the user’s future opinions about the usability of the site, as it is difficult for people to let go of first impressions. Participants continued to rate visually appealing sites as usable, even after failing to complete a third of the tasks they were asked to perform in a usability test. “The strong impact of the visual appeal of the site seemed to draw attention away from usability problems.” (Lindgaard et al., 2006, p. 115). Valuable While the first six facets of user experience already discussed are based on user needs, a successful website must also advance the strategic objectives of the organization. Mature organizations with a well-defined web strategy create direct links between their strategic objectives and the tasks users come to their website to accomplish. For example, an organization that disperses funding may prioritize the task of filling in funding application forms as a key task on their website. Usability tests would be performed on this area of the website until a high percentage of users can easily and accurately complete the forms. The number of successfully completed application forms submitted to the organization should

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increase as the website is improved. The amount of time that staff spend correcting applications or requesting additional information would decrease. Linking online tasks to offline results shows value has been created for the organization. If this option proves impractical, or is considered outside of the scope of the reporting unit, organizations may consider using the efficiency indicator cost per visit to measure this facet.

Implementing an Effective Web Performance Measurement Framework Implementing an effective framework will result in reliable and accurate data about website performance. But this information is only useful if it can be used to inform decisions about how

and what to change, and what to keep the same. It is only cost-effective if it enables continuous improvement at a reasonable cost. Figure 5 is a logic model that describes the activities and short and long-term desired outcomes of implementing a web performance measurement framework. Note that the long-term goal is the same in each phase of Design, Implement and Use.

Put Data Collection Strategies in Place A data collection strategy explains what data needs to be collected, how it will be collected and by whom. Some data collection requests may need to be submitted to a technical team who will ensure the website meets the technical requirements necessary to collect the required data. It may not

Figure 5. Logic model describing the links between the activities required to implement the performance measurement framework and the intended short-term outcomes

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be practical to do everything at once. If starting from scratch, add research methods to the reporting cycle as capacity builds, for example, with each major website update or annually. Data that cannot be acted upon should not be collected until it can be realistically used to inform improvements. Suggested research methods are described in the previous section. Each method of collecting client data has flaws and limitations. Using a multi-pronged approach for data collection facilitates the identification of trends and insights. It also makes it easier to prioritize changes and activities required by highlighting the areas that are not currently doing well. These trends can be analyzed to uncover contradictions and overlap between what users say they want and how they actually act. Multiple test and research methods also reduce the tendency to focus on raw data and discrete results. There is a natural tension between the ideal measure and what is practical to collect (Schacter, 1999). Planning and creativity may be required to get reliable data in a practical and cost-effective way that does not outweigh the value of collecting it. Data that is already being collected by other units within the organization should be considered first presuming that it is reliable, valid and can be shared without contradicting policies and terms of use, for example, infringing on citizens’ privacy.

Identify who Needs Information The following questions should be answered in this step: what decisions should this information inform? How do decisions get made in this organization? Who is owed an explanation of what was done with money spent? As part of the implementation plan, determine when research will be conducted and how the information will be used to improve services. Develop a reporting schedule describing when and to whom the information will be reported. Wherever possible, embed user expectations into organizational policies in

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order to ensure consistent application of research methods across organizational units.

Design Reports Whereas the previous steps were about identifying data to collect, this step is about designing, preparing and promoting reports in order to enable good decisions. Since performance measurement is about continuous improvement, the data collected needs to be analyzed and presented in a way that helps readers quickly process and glean valuable insights from the information. Report recipients may need training to fully understand the implications of the data presented before they can use it to make informed decisions. Necessary training and communication activities should be identified as part of the implementation plan.

Using an Effective Web Performance Measurement Framework An organization will have successfully designed and implemented an effective web performance measurement framework when insights and trends interpreted from the data collected are used to inform changes to online information products and to the activities required to produce, promote and measure them. Figure 6 describes the activities and expected outcomes of using the framework.

Gather Data In the framework presented, Morville’s facets of user experience serve as goals to be achieved. It is recommended that no more than three indicators be collected for any goal; the burden of data collection should not overwhelm the entire process. Indicators should also be chosen for their practicality, their likelihood of being available, their ease of use, and the insights that can be gleaned from them and used for further testing. Implying too much from raw data is ill-advised, regardless of the method used to collect it. For

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Figure 6. Logic model describing the links between activities required to use the performance measurement framework and the intended short and long-term outcomes

example, web analytics software makes it easy to discover the number of visits to a website, the number of visitors and which are the most popular pages. However, numbers alone do not confirm that visitors found what they were looking for or were in any way satisfied with the visit. Gerry McGovern, a popular web strategist and author says, “For an increasing number of websites, high volume traffic reflects the website’s failure to help customers quickly complete the tasks they came to complete.” (McGovern, 2009, 9). On their own,

the number of visits and visitors to a website are simply raw data. The sheer volume of data collected automatically and available immediately to site owners may be part of the problem. How does one determine what is useful and what is not within the millions of lines of code that are saved in the server’s log files? In some cases, the ease of data collection may cause site owners to inadvertently focus on the wrong thing—raw data—rather than focusing on finding out what information could lead to actionable insights.

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Analyze Data and set Performance Targets A performance target explicitly states the direction and extent to which performance data should change in subsequent years of data collection. For example, a reduction in errors by five per cent or an increase in traffic by 10 per cent are measurable performance targets. It may not be possible to set a target in the first year, as the data required to determine a realistic goal may not yet be available. If a target is needed for planning purposes, comparable data from similar organizations may be used. In the second and subsequent instances of data collection, the baseline from the first data collection period should be used to set targets. What is realistic for each organization is subjective and may be hotly debated. The targets shown in Table 1 are examples only. Unmet targets become areas to focus time and financial resources in order to improve. To ensure changes are, in fact, improvements, research plans should define areas for further research and propose diagnostic tests to validate assumptions about

unmet targets. Yearly targets should be renewed until the point where improvements are no longer expected, in which case, the target then remains constant. Repeatedly meeting the desired target suggests processes and policies are in place to meet user expectations in these areas and should be validated through a user survey. There are many ways to measure the shortterm outcomes that are included in Morville’s seven facets of user experience. Table 1 shows how one key performance indicator has been chosen to represent each goal and to measure how well the site meets the goal, as well as identifying the selected targets and the methods for data collection. Organizations wishing to adopt this approach should modify it to make it practical for their own purposes.

Report for Decision-Making To successfully use a web performance measurement framework, a process for making decisions should be clearly defined and communicated. Those involved in the management of the website

Table 1. Sample Web performance measurement framework to measure effectiveness of website Key Performance Indicator (KPI) to measure effectiveness

This year’s target

Data Collection Method

Who will collect? (When?)

Findable

Users locate information sought.

60% of site visits referred by search engines.

Web analytics software

Analyst #1 (Monthly)

Usable

Users can complete tasks online.

Four out of five test subjects can complete top 5 tasks within one minute.

Usability testing

Analyst #2 (Pre-release)

Useful

Users agree that content meets their needs.

80% of respondents agree that “This page was useful.”

On-page feedback form

Analyst #2 (Monthly)

Credible

Users have confidence in the reliability of the content provided.

95% of pages have been reviewed within past six months.

Web Content Management System

Analyst #1 (Bi-annually)

Accessible

Website is accessible to people with disabilities.

95% of pages meet 90% of W3C accessibility checkpoints.

Custom validation reports

Analyst #1 (Annually)

Valuable

Website advances organization’s mandate.

Users completing tasks online is saving the organization money.

Financial tracking sheets

Analyst #3 (Bi-annually)

Desirable

Users have a positive perception of the website.

80% like the visual appeal of the site.

Online survey

Analyst #2 (Annually)

Goal is to be…

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should be provided with information necessary to make informed decisions. Some reports may be intended for management and others for site or content owners, depending on who needs the information and what insights can be gleaned from it. Presentations to governance committees should be done on a regular basis. Web analysts should suggest improvements specific to their area of the site. If data is available from other service channels, such as email, phone and in-person service delivery, then it is ideal to provide this alongside the web channel information. Presentations to decision-makers should highlight trends across all indicators, regardless of the method used to collect the information. Web analysts should suggest improvements to specific areas or the site in general using the prevalence of the trend to determine its priority. Efficiency indicators, such as those described in the section above entitled Measuring Efficiency, help inform priorities and determine value for money. The information collected from efficiency indicators can be used to: • • •

Reduce time spent on inefficient activities; Promote the use of most efficient service channel; and/or Promote services where feedback is positive but costs outweigh the number of people using it.

The information collected from effectiveness indicators, such as those described in the section above entitled Measuring Effectiveness, can be used to: •

•

Highlight areas of concern where targets are not met and need to be investigated through a diagnostic review; Create a starting point to report on improvements over time (baseline) or to compare against similar organizations (benchmark);

•

• •

• •

Look for consistent trends across feedback mechanisms (qualitative/quantitative) to prioritize necessary changes; Test assumptions and theories about what is working; Understand clients’ needs and expectations better in order to develop new products and services; Determine how well the service is doing in meeting users’ expectations; and/or Compare the product or service to other activities, services, channels and organizations.

Improve the Performance Measurement Framework A systems thinking approach implies that no one step or activity can exist outside the context of the other parts of the system. The logic model below (Figure 7) consolidates figures 2, 5 and 6. Many of the activities in each of these phases are iterative; that is, they require feedback from other activities in order to be continuously improved. The arrows show the relationships between the activities required to design, implement and use the performance measurement framework. Presentations and reporting within long-term evaluation cycles should demonstrate how the performance measurement system supports long-term outcomes through informed, ongoing decision-making.

FUTURE RESEARCH DIRECTIONS There are four immediate areas for expansion of the concepts in this paper. Firstly, although the web performance measurement strategy proposed is based on approaches consistent with resultsbased management, research and best practices, the facets used as determinants of satisfaction for online service delivery have yet to be statistically validated. As such, the Common Measurement Tool - proprietary survey research method that

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Figure 7. Logic model describing the links between activities required to design, implement, use and improve the performance measurement framework and the intended short and long-term outcomes

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the Institute for Citizen-Centred Service has developed - may need to be expanded to include the additional facets hypothesized as contributing factors of user satisfaction. Secondly, this paper does not include proposed indicators for transactional or collaborative websites, nor for web content that is not housed on the organization’s website, for example, the use of social media. A practical next step would be to explore the relevant research existing for each of these types of content and extrapolate potential key performance indicators to measure success for sites beyond those that are primarily information-based. Finally, it would be useful to create a logic model that maps services to public policy objectives. This logic model could highlight research needs and contribute to a better understanding of the long-term impact that public sector services have on the lives of citizens.

CONCLUSION Public sector organizations must aim to satisfy citizens’ needs at a reasonable cost while achieving public policy objectives. The multidimensional performance measurement framework presented here measures the efficiency, effectiveness and user satisfaction with public sector websites. The framework was designed using research on determinants of satisfaction for online services. The author benefited from Powers’ literature review highlighting commonly reported challenges of effective performance measurement systems to present the proposed framework in a format that could be easily evaluated. The framework presented is a flexible yet standardized approach to measuring online performance that can be expanded as the public sector moves towards a more sophisticated model of e-governance and citizen engagement. By presenting the theory on which this approach is based, public sector professionals, academics

and researchers can work collaboratively to create a body of knowledge around implementing effective performance measurement frameworks to measure online services. The framework also provides a starting point to develop common measures for transactional services and, perhaps more importantly, evaluating the impact of all services provided.

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Van de Walle, S. (July 1, 2008). Comparing the performance of national public sectors: Conceptual problems. International Journal of Productivity and Performance Management, 57(4), 329-338. Retrieved October 29, 2010 from http://ssrn.com/ abstract=1343055 Web Analytics. Key Definitions. (2010). In Wikipedia, the free encyclopedia. Retrieved June 19, 2010, from http://en.wikipedia.org/wiki/ Web_analytics#Key_definitions

ADDITIONAL READING Accenture. (2004). E-Government leadership: Engaging the customer. Retrieved June 20, 2010, from http://nstore.accenture.com/acn_com/ PDF/ Engaging_the_Customer.pdf Flumian, M. (2009). Citizens as prosumers: The next frontier of service innovation. Ottawa, Canada: Institute on Governance. Retrieved October 30, 2010, from http://iog.ca/en/publications Heintzman, R., & Marson, B. (2005). People, service, and trust: Is there a public service sector value chain? International Review of Administrative Sciences, 71(4), 549–575. doi:10.1177/0020852305059599 Information Victoria, Department of Innovation, Industry and Regional Development. (July 2010). On the road to satisfaction: Using the Canadian common measurements tool to measure satisfaction with government services. Retrieved June 2010, 2010 from http://www.egov.vic.gov. au/trends-and-issues/ citizen-centric-service/ on-the-road-to-satisfaction-using-the- canadiancommon-measurements-tool-to-measure- satisfaction- with-government-services.html

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Kaplan, R. S. (March 1, 2010). Conceptual foundations of the balanced scorecard. Harvard Business School Accounting & Management Unit, Working Paper No. 10-074. Retrieved October 29, 2010, from http://ssrn.com/abstract=1562586 Lin, H. X., Choong, Y.-Y., & Salvendy, G. (1997, July). A proposed index of usability: A method for comparing the relative usability of different software systems. Behaviour & Information Technology, 16, 267–277. doi:10.1080/014492997119833

Schacter, M. (2002). Not a toolkit: Practitioner’s guide to measuring the performance of public programs. Ottawa, Canada: Institute on Governance. Retrieved June 21, 2010, from http://iog.ca/en/ publications/ not-toolkit-practitioners-guidemeasuring-performance-of- public-programs Statistics Canada. (May 2010). Canadian Internet use survey. Retrieved June 20, 2010, from http:// www.statcan.gc.ca/daily-quotidien/ 100510/ dq100510a-eng.htm

Lindgaard, G., & Dudek, C. (2003, June). What is this evasive beast we call user satisfaction? Interacting with Computers, 15(3), 429–453. doi:10.1016/S0953-5438(02)00063-2

Strawderman, L., & Koubek, R. (July August 2008). Human factors and usability in service quality measurement. Human Factors & Ergonomics in Manufacturing, 18(4), 454-463.

MacLeod, M., Bowden, R., Bevan, N., & Curson, I. (1997, July). The MUSiC performance measurement method. Behaviour & Information Technology, 16(4), 279–293. doi:10.1080/014492997119842

Treasury Board Secretariat of Canada. (2003). Performance measurement for the government on-line initiative: Government on-line results. Retrieved June 2010, 2010, from http://www.tbs-sct. gc.ca/si-as/performance/ performance13-eng.asp

Mayne, J. (1999). Addressing attribution through contribution analysis:Using performance measures sensibly. Retrieved June 15, 2010, from http://www.oag-bvg.gc.ca/internet/docs/99dp1_e. pdf

Treasury Board Secretariat of Canada. (2007). Compliance checklist for websites. Retrieved June 20, 2010, from http://www.tbs-sct.gc.ca/clf2-nsi2/ ccl-ldv/ccl-ldv-eng.asp

OECD. (June 2006). MfDR - Sourcebook emerging good practice in managing for development results. Retrieved October 30, 2010, from http:// www.oecd.org/dataoecd/ 35/10/36853468.pdf

Treasury Board Secretariat of Canada. (2010). Results-based management lexicon. Retrieved June 20, 2010, from http://www.tbs-sct.gc.ca/ cee/pubs/lex-eng.asp

Patton, M. Q. (1982). Practical evaluation. California: Sage Publications.

Tullis, T., & Albert, B. (2008). Measuring the user experience: Collecting, analyzing, and presenting usability metrics. USA: Morgan Kaufman.

Poland, P. (December 2001). Online consultation in GOL countries: Initiatives to foster edemocracy. Retrieved July 1, 2010, from http:// www.governments-online.org/documents/ econsultation.pdf

Wiggins, A. (June/July 2007). Data-driven design: Using Web analytics to validate heuristics. Bulletin of the American Society for Information Science and Technology. Retrieved October 27, 2010, from http://www.asis.org/Bulletin/ Jun-07/Wiggins.pdf

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W.K. Kellogg Foundation. (January 2004). Logic model development guide. Retrieved October 24, 2010, from http://www.wkkf.org/knowledge-center/ resources/2006/02/WK-Kellogg- FoundationLogic-Model-Development-Guide.aspx

KEY TERMS AND DEFINITIONS Efficiency: Value for money. Effectiveness: Extent to which change was affected. Key Performance Indicator: a measure that demonstrates the extent to which activities are successful in reaching their intended result. The terms measures, indicators, and key performance indicators are used interchangeably. Management Accountability Framework: Based on the balanced-scorecard approach to managing internal operations and good public sector management, the Management Accountability Framework (MAF) describes the elements on which federal departments and agencies evaluate themselves and report to the public (via Treasury Board of Canada) on how they are doing. Outcome: Expected result of producing products or services. The types of outcomes described

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in a Logic Model are often separated into short term immediate increase in awareness, medium term change in behaviour, and long term change of state. Output: A product or service resulting from activities within an organization. Performance Measurement: The act of collecting and using data to continuously improve products and services. Performance measurement is different from evaluation in that evaluation tends to focus on relevance and impact of public sector programming. Results-Based Management: An approach to management that is both a methodology and a set of tools and practices that focuses on defining the links between activities, outputs and outcomes in order to improve decision-making and ensure desired change is achieved. Performance measurement and monitoring are just one perspective in this lifecycle approach, which also includes risk-management, strategic planning and learning by doing. Treasury Board Secretariat: The central federal government agency responsible for general management of all other federal departments and agencies.

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Chapter 5

Online Political Participation in the 2008 U.S. Presidential Election: Examining the Democratic Divide Taewoo Nam University at Albany, State University of New York, USA Djoko Sigit Sayogo University at Albany, State University of New York, USA

ABSTRACT This chapter investigates how the democratic divide has been established due to socioeconomic and demographic characteristics, by analyzing the data from the Pew Research Center’s survey conducted during the campaign season of the 2008 U.S. presidential election. The study compares five different types of online political activity: communication, mobilization, information consumption, information production, and involvement in social networking websites. Sociodemographic characteristics such as age, gender, race, education, and income determine the degree of online political involvement. The conventional notion that better-educated and more affluent citizens actively participate in politics is magnified on the Internet for white males more than non-whites or females. The generational divide is salient for adoption of social networking sites, but the websites serve a political function to encourage participation by those disadvantaged in terms of education and economic means.

INTRODUCTION Various concerns arising from the digital divide account for the performance of digital democracy. The digital divide, the disparity in access, skill level of users, and usage (Bélanger & Carter, DOI: 10.4018/978-1-4666-0116-1.ch005

2009; Gunkel, 2003; NTIA, 2002; Steyaert, 2002; van Dijk, 2005, 2006), is an obstacle to political activity on the Internet. This divide is a root cause of inequality in benefiting from the democratic potential of information and communication technologies (ICTs). Beyond technical concerns, the divide raises social and political concerns because

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Online Political Participation in the 2008 U.S. Presidential Election

the use of online systems disproportionately benefits groups who already have an advantage in the existing socioeconomic system. Differing technological capabilities and competence between individuals aggravates participatory inequality in digital democracy. Accordingly, the degree of the digital divide predetermines the extent to which ICTs enhance participatory democracy mediated by the Internet. What we should take into account for digital democracy in the United States is not only physical access to ICTs, but also the conventional pattern of historical political inequality: ascriptive hierarchy (ascription of inequality)1 shaped by traditional exclusion of the less affluent, the less educated, and non-whites from mainstream politics (Mossberger et al., 2008; Smith, 1993). Indeed there has been a strong historical pull toward social exclusion and inequality before the disparities between technology-haves and have-nots and between the technology-savvy and the technology-illiterate ever appeared. Socioeconomic status (SES) and demographic conditions outline a snapshot of the digital divide and historical political inequality. In this sense, we hypothesize that sociodemographics heavily influence the democratic divide––i.e., the gap in political activities via the Internet––which is the conceptual junction between the trend of the digital divide and the pattern of historical political inequality. Considering the reality of digital democracy, our thesis to be tested is: sociodemographics influence the democratic divide. This chapter proposes to answer the following research question: How do sociodemographic characteristics affect the pattern of the democratic divide? Within the lens of the supposition that “sociodemographics have an effect,” we examine the gap in political activities during the 2008 U.S. presidential election campaign season, when the campaign camps made unprecedented heavy use of Web 2.0 technologies (e.g., social networking and social media sites, blogs, micro-blogging, and multi-media sharing) and broadcast email for discussion, information dissemination and shar-

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ing, and contribution to a candidate. The analysis on the data from Pew Internet and American Life Project’s 2008 pre-election survey will reveal whether sociodemographic markers like age, gender, race, education and income had generated a democratic divide in individuals’ political activities during the presidential primary season. We will explore several types of online political activity: communication, mobilization, information consumption, information production, and activity on social networking sites (SNS). The chapter is organized into various sections. The following section solidifies theoretical and empirical grounds of the democratic divide, and constructs hypotheses drawing on the literature review. Next, a subsequent section will describe data, measurements, and method. The analysis sheds light on the patterns of the democratic divide and sociodemographic predictors of the democratic divide. We will discuss results of the analysis to contribute practical significance and provide social implications for our main findings. The chapter ends with conclusive remarks.

THEORETICAL, CONCEPTUAL, AND EMPIRICAL CONSIDERATIONS Multiple Concepts of the Digital Divide The digital divide as a phenomenon of inequality encompasses a variety of contexts. Not only does it represent the gap between those who have and don’t have physical access to technology, but the concept has evolved to include multiple dimensions. Academics’ concerns of the digital divide comprise various aspects of ICT-mediated life. The access divide is central to diverse aspects of the digital divide, but the concept of access suggests deeper and richer nuances beyond simple physical access. The multidimensional concept of the digital divide, hence, diversifies the definition of access.

Online Political Participation in the 2008 U.S. Presidential Election

Table 1. The multidimensional concept of the digital divide Concept

Definition

Equality (van Dijk, 2003, 2005, 2006)

Context (Norris, 2001)

Physical access or material access

Access to computers and the Internet

Technological equality in distribution of technological resources

Social divide and Global divide

Skills access or cognitive access

Use of digital skills such as instrumental, operational, structural, strategic, and informational skills (Bélanger & Carter, 2009; Hargittai, 2002; Steyaert, 2002; van Dijk, 2005, 2006)

Educational or cognitive equality in capabilities and skills

Social divide

Benefit access or financial access

ICT use that economically and financially benefits an individual (Fuchs, 2009; Mossberger et al., 2003, 2008; Stansbury, 2003)

Material equality in socioeconomic resources and opportunities

Social divide

Institutional access or political access

Participation of citizens in institutions and empowerment of citizens by ICTs to participate in political information, communication, and decision-making process (Fuchs, 2009; Wilson, 2006)

Social equality in positions, power and participation

Democratic divide

Table 1 demonstrates multiple dimensions of the digital divide in terms of access, equality, and context. The digital divide results in inequality, and conversely, the existing components of social inequality provoke the digital divide. The type of access is thus parallel to the dimension of equality (van Dijk, 2003, 2005, 2006). The digital divide does not occur merely in access but in skill level (Bélanger & Carter, 2009; Hargittai, 2002; Steyaert, 2002). In addition, access is not just a concept for technical capability. Patterns stratified along social hierarchies or differentials in terms of age, gender, ethnicity, education and income (Compaine, 2001; Neu et al., 1998) reveal asymmetric distribution in benefit/financial access and institutional/political access (Fuchs, 2009; Wilson, 2006). Norris (2001) categorized the digital divide into global, social, and democratic divides in terms of context. A global divide represents the divergence of Internet access between industrialized and developing countries. In a domestic context, a gap between those who have access to information and those who don’t, leads to a social divide. Another dimension, a democratic divide, highlights a discrepancy “between people who do and do not use digital resources to engage, mobilize

and participate in public life” (Norris, 2001, 2005). Figure 1 outlines the multiple layers of the digital divide occurring in diverse contexts. As addressed in the introduction, the research focus of this chapter is devoted to the democratic divide. However, the digital divide in political use of the Internet is not independent of a divide in access, skills, and economic opportunities offered by the Internet. The participatory divide primarily emerges from an access and skill divide (Tolbert et al., 2002). Internet use for political participation follows the same social division as discernible patterns in an access divide (Min, 2010). Disadvantaged demographic groups who lag behind adopters and users of new technologies continue to lack various opportunities for political participation on the Web (Hindman, 2009). Opportunities for online political participation benefit those who already have technological resources and are motivated to take advantage of the resources; as a result, the less affluent and less educated are technologically behind their counterparts (Hargittai & Walejko, 2008). As such, multidimensional concepts of the digital divide account for major barriers to online political participation that opens for new technological tools.

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Online Political Participation in the 2008 U.S. Presidential Election

Figure 1. The multi-layered digital divide

A divide in political participation results not only from disparities in access and skills, but from political attitudinal factors such as political efficacy, political knowledge, and political interest (di Gennaro & Dutton, 2006; Krueger, 2002, 2006; Tolbert et al., 2002) and non-physical internal or external factors such as cognitive ability, language, literacy, education and institutional structures (Hargittai, 2007; Keniston, 2004; Warschauer, 2004; Wilson et al., 2005). Technological level only partially explains the degree to which people participate in online politics (Hargittai & Walejko, 2008). The study of Scheufele and Nisbet (2002) found that multiple constructs of political participation are highly associated with antecedent demographic variables. Given the gap in online political activism among different sociodemographic groups, sociodemographic conditions as historical indicators for political participation mold the pattern of the democratic divide. Furthermore, those personal attributes influence intermediate (cognitive, attitudinal) factors determining political participation to a substantial extent.

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The Democratic Divide of What? Since the category of political activity is broad and abstract, the concept of the democratic divide requires a clear operational definition. Mossberger et al. (2008) viewed the democratic divide as the disparity to the extent that digital citizenship (the ability to participate society online) is exercised. They claimed the degree of digital inequality in access, skill, economic opportunity, and participation determines digital citizenship. Norris (2001) denoted the democratic divide as the divergence in citizens’ engagement, mobilization, and participation in public life by means of using ICTs. Therefore, the conceptual operation of the democratic divide needs to define the scope of digital citizenship and public life mediated by ICTs. Because the historical heritage of American democracy results in an inevitable conceptual overlap between political life and civic life (Theiss-Morse & Hibbing, 2005), the domain of public life where digital citizenship is exercised, comprising both spheres, is too conceptually abstract for empirical research. Political citizenship manifests in a variety of ways. However, it is not impossible to have a

Online Political Participation in the 2008 U.S. Presidential Election

specified focus for the defined scope of political activity if this study draws from a wide array of recent empirical literature on digital democracy. We have used as our basis three main types of political activity from empirical studies (di Gennaro & Dutton, 2006; Gibson et al., 2005; Krueger, 2002, 2006; Min, 2010; Mossberger et al., 2003, 2008; Scheufele & Nisbet, 2002; Tolbert et al., 2002, 2003): communication, information activity, and mobilization (engagement or involvement). To empirically investigate the democratic divide, we chose the 2008 U.S. presidential election campaign season during which citizens made extensive use of ICTs for campaign involvement. We also recognize the 2008 electoral campaign season as unique, considering the more popular political use of SNS. Focusing on the campaign season, we pay attention to the three main types of political activity (communication, information activity, and mobilization) and activity using SNS as a new tool for campaign involvement. First, political participation to exercise citizenship usually begins with political communication. According to Stromer-Galley (2002), unstructured political conversation occurring spontaneously among non-elites is a means of political communication through social interaction. Such conversations naturally come about in casual meetings with family members, friends, colleagues and neighbors. Such an unstructured pattern of political participation does not require a great deal of resources such as money or organizational skills (Verba et al., 1995). Casual, informal political conversation helps interlocutors share information and affirm their political identity, and ultimately leads them to support a particular political party or cause and participate in institutional activities such as voting (Walsh, 2004). The Internet provides digital citizens with an immediate opportunity for convenient, flexible, and inexpensive interpersonal communication through email, listservs and chatrooms (MacDonald & Tolbert, 2008; Thomas & Streib, 2003).

Second, political mobilization such as participation in campaign events, contributions to political parties, and petitions are strong expressions of political activism. Prior empirical works have analyzed the divide among demographic groups in whether or how much they take part in such political activities as contacting a politician or campaign camp, attending a public meeting, signing a petition, and making contributions or donations to a politician (Albrecht, 2006; di Gennaro & Dutton, 2006; Gibson et al., 2002, 2005; Jensen et al., 2007; Krueger, 2002, 2006; Livingstone et al., 2005). Candidates employ various technologies in their efforts to reach more voters and win elections. Electoral camps’ email communication with the public and active utilization of a home page have become popular for organizing campaign events, raising money, mobilizing supporters, and distributing information (Herrnson et al., 2007). Third, political information activity has a potential to improve political knowledge and efficacy. Consuming political information via the Internet increases the overall level of political knowledge, interest, efficacy, and engagement by citizens (Kenski & Stroud, 2006; Lin et al., 2005; Thomas & Streib, 2003). Web 2.0 technologies enable easy, ubiquitous consumption of political information and even empower users to reproduce political information. Information on the Internet takes various forms including images and movie clips. Online viewership affects blog discussions because political bloggers frequently comment on political videos (Wallsten, 2010). Finally, SNS offers the possibility for citizens’ political participation and engagement. SNS emerged as an effective tool for the electoral campaign in the 2008 primary season (Baumgartner & Morris, 2010; Church, 2010; Gulati & Williams, 2010; Klotz, 2010; Libert & Faulk, 2009; Qualman, 2009; Ricke, 2010; Robertson et al., 2009, 2010; Small, 2009; Smith, 2009; Wallsten, 2010). Active use of SNS reflects candidates’ enthusiasm for it as a tool to gain support from and engage

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Online Political Participation in the 2008 U.S. Presidential Election

with citizens. Young adults with little interest in politics get political information through their online network of friends and acquaintances, thereby stimulating their political interest. SNS offers the opportunity for younger generations, who have been typically disengaged and disconnected from politics, to become involved in politics on their own terms. Still, the generational gap in using SNS for participation in public life raises a growing concern (Sæbø et al., 2009). The instrumental effectiveness of SNS for political participation is also in question. There is little evidence to suggest that SNS has significantly facilitated greater political knowledge, engagement, or participation. Active SNS users’ political knowledge about presidential candidates and the election did not extend to political activism (Baumgartner & Morris, 2010). Moreover, only some segments of SNS activists do translate their entertainment-oriented, relationship-oriented activism into political activism.

Hypotheses Based on the review of relevant literature up to this point, we identify a common argument about the impact of the Internet on long-standing patterns of participatory inequality in American politics; that is, socioeconomic (the level of education and wealth) and demographic backgrounds (sex and race) are fundamental to shaping the historically conventional patterns of political participation. Moreover, as age substantially determines the level of adoption and usage of ICTs, the generational gap in attitude toward ICTs contributes to the democratic divide. Regarding the types of political activity through the Internet, the literature review of the democratic divide leads us to establish several hypotheses. The following theses claim that socioeconomic and demographic variety makes for stratified levels of online political participation across segments of the population. For the purposes of our study, those with access to socioeconomically and technologically advan-

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taged demographic conditions are represented by young, white, well-educated, affluent males. Hypothesis 1: Groups who have socioeconomically and technologically advantaged demographic conditions use the Internet forpolitical communicationmore than their counterparts. Hypothesis 2: Groups who have socioeconomically and technologically advantaged demographic conditions use the Internet forpolitical mobilizationmore than their counterparts. Hypothesis 3: Groups who have socioeconomically and technologically advantaged demographic conditions use the Internet forpolitical information consumptionmore than their counterparts. Hypothesis 4: Groups who have socioeconomically and technologically advantaged demographic conditions use the Internet forpolitical information productionmore than their counterparts. Hypothesis 5: Groups who have socioeconomically and technologically advantaged demographic conditions usesocial networking sites for political activitymore than their counterparts.

DATA, MEASUREMENTS, AND METHODS Data This study analyzes the data from the nationally representative survey (Cloud Computing, Politics and Adult Social Networking) conducted by the Pew Internet and American Life Project via telephone interviews during the 2008 U.S. presidential election primary season.2 Extracted from the original dataset by selecting variables relevant to this study, the sample constitutes survey respondents who have Internet access. The size

Online Political Participation in the 2008 U.S. Presidential Election

and demographic distribution of the sample differ between Internet users and SNS users (a segment of Internet users), as shown in Table 2. Age is normally distributed around its mean value (48) so that the number of the Baby Boomer generation is large. In the next sections of analysis and discussion, we will use the terms of old or senior generation and young generation to indicate the distinction between age groups. These operational terms represent the generations before and after Baby Boomers. The average age of the SNS sample is 11 years younger than that in the sample of Internet political activity, which implies that most SNS users belong to Generations X and Y. On the other hand, gender is almost equally sampled. The group of wealthy, well-educated whites is under-represented in the SNS sample, relative to the Internet user sample. The proportion of less-affluent and less-educated non-whites is

greater in the SNS sample than in the Internet user sample.

Measurements To investigate whether a democratic divide exists as stratification across segments of the American population, this study employs five sociodemographic characteristics (i.e,. age, gender, race, education, and income) as explanatory variables, and activities pertinent to online political participation as dependent variables. The rationale of including sociodemographics as antecedents or determinants of political activity comes from a rich body of previous empirical literature. Better-educated affluent whites are more likely to have access to the Internet, to be technologically competent, and to be skilled in information literacy than their counterparts (Jackson et al., 2004; Mossberger et

Table 2. Sample distribution Age

Internet political activity (N=881)

SNS political activity (N=304)

Generation Y (1977-)

8%

25%

Generation X (1965-76)

13%

22%

Young Boomer (1955-64)

20%

22%

Old Boomer (1946-54)

24%

16%

Silent Generation (1937-45)

19%

8%

GI Generation (-1936)

17%

6%

M=48 (s.d=16)

M=37 (s.d=14)

Male

47%

49%

Female

53%

51%

White

85%

77%

Non-White

15%

23%

High school incomplete

4%

9%

High school graduate

24%

22%

Some college level

29%

32%

College graduate

43%

36%

$30,000 or less

17%

24%

$30,001 – $50,000

22%

22%

$50,001 – $75,000

20%

16%

More than $75,000

41%

37%

Average age in years Gender Race Education

Household income

Source: www.PewInternet.org/Shared-Content/Data-Sets/2008/May-2008--Cloud-computing-politics-and-adult-social-networking.aspx

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Online Political Participation in the 2008 U.S. Presidential Election

al., 2003). Backgrounds beneficial to cognitive capability and economic wealth are politically important in various manners. First, having those advantageous backgrounds facilitates political communication with others (Stromer-Galley, 2002; Walsh, 2004). Second, those personal profiles exert strong leverage on political activism (Hindman, 2009; Mossberger et al. 2003, 2008). Third, they are foundational conditions of social capital, the key concept of American grassroots democracy. Third, as Habermas (1989) claimed in his masterpiece of the public sphere, deliberative democracy requires political participants to have a reasonable level of intellect and enough wealth to maintain independence and autonomy from external influences. Age is a main predictor for the democratic divide (Bimber, 2001; Shah et al., 2001) because the general activity of younger generations on the Internet may appear in online political activism and thus the Internet may repeal their political disinterest and indifference. Gender differences also create a gap in certain specific Internet political activities (Hargittai & Shafer, 2006; Poor, 2005; Scheufele & Nisbet, 2002; Stromer-Galley, 2002). For group division, age falls into six categories in terms of an individual’s birth year: Generation Y,3 Generation X, Young Boomer, Old Boomer, Silent Generation, and GI Generation.4 While these classifications are used for between-group comparison, regression analysis adopts age in years for better linear estimation. To test the significance of a racial gap in online political involvement, the study contrasts whites vs. nonwhites.5 Education is sorted into four levels: high school incompletes, high school graduate, some college including current college students, and college graduate or higher. Household income is also stratified with four groups: $30,000 or less, $30,001–$50,000, $50,001–$75,000, and more than $75,000. Table 3 describes the univariate statistics of political activity and efficacy variables and the measurements of sub-items collapsed into

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a main index. Besides sociodemographic determinants, the study employs political efficacy of the Internet as an explanatory variable for online political activity. Survey respondents answered each statement relevant to political efficacy of the Internet in a dichotomous scale of yes or no. Sixty-one percent of respondents answered that the Internet is not filled with misinformation and propaganda (Efficacy 3), and about half of them believed online information is not just the same as any other source (Efficacy 2). Less than a third of respondents viewed the Internet as an effective tool for campaign involvement (Efficacy 1), average citizens’ voices (Efficacy 4), and personal connection to a candidate or camp (Efficacy 5). Dependent variables for examining a demographic divide fall into five categories of online political activity. For the first one, two questions in the original dataset asked about the frequency of online political communication. The measure of online political communication is an average of two ordinal variables with six points: 1) Never; 2) Less than once a week; 3) Once a week; 4) Every few days; 5) About once a day; and 6) Several times a day. The second variable is political mobilization through the Internet. Three binary responses are collapsed into two single indices: ordinal scale and binary scale. At seventeen percent, the most frequent activity for political mobilization involved signing an online petition for a political campaign. While ten percent of respondents contributed money to a candidate via a campaign webpage, four percent signed up for volunteer activities related to campaigns. There are two different types of information activity including consumption and production of political information. The third dependent variable involves the consumption of political information via online viewership and readership. Overall, the results for viewership of campaign information are slightly higher than those for readership. About a third of respondents viewed campaign-related

Online Political Participation in the 2008 U.S. Presidential Election

Table 3. Measures and descriptive statistics of political activity and efficacy Variables and Measures

Mean

Std Dev

Scale

Political communication (Cronbach’s α = 0.71) Average of ordinal responses to the two activities

2.12

1.03

Ordinal [1-6]

○ How often did you send friends, family members or others an email to urge support of a candidate, discuss the issues or talk about where the campaign stands?

1.79

1.07

Ordinal [1-6]

○ How often did you receive an email from others to urge support of a candidate, discuss the issues or talk about where the campaign stands?

2.39

1.55

Ordinal [1-6]

Political mobilization (Cronbach’s α = 0.61) 1 if a respondent did at least one of the following three activities, 0 for otherwise

0.31 0.23

0.62 0.42

Ordinal [0-3] Binary

○ Contributing money to a candidate

0.10

0.30

Binary

○ Signing an online petition

0.17

0.37

Binary

○ Signing up volunteer activities related to campaigns

0.04

0.20

Binary

Political information consumption (Cronbach’s α = 0.81) 1 if a respondent did at least one of the following seven activities, 0 for otherwise

1.94 0.62

2.12 0.49

Ordinal [0-7] Binary

○ Viewing campaign commercials

0.35

0.48

Binary

○ Viewing candidate debates

0.26

0.44

Binary

○ Viewing candidate interviews

0.31

0.46

Binary

○ Viewing candidate speeches

0.32

0.47

Binary

○ Viewing other campaign videos

0.29

0.45

Binary

○ Reading speech full texts

0.15

0.36

Binary

○ Reading issue papers

0.27

0.45

Binary

Political information production (Cronbach’s α = 0.65) 1 if a respondent did at least one of the following five activities, 0 for otherwise

0.40 0.25

0.79 0.43

Ordinal [0-5] Binary

○ Posting my own commentary or writing to any website

0.06

0.24

Binary

○ Posting or forwarding someone else’s commentary or writing

0.19

0.39

Binary

○ Posting or forwarding my own political video or audio recordings

0.01

0.07

Binary

○ Posting or forwarding someone else’s political video or audio recordings

0.11

0.31

Binary

○ Creating tags for information about politics or the election

0.04

0.20

Binary

Political activity on SNS (Cronbach’s α = 0.71) 1 if a respondent did at least one of the following four activities, 0 for otherwise

0.63 0.37

1.01 0.48

Ordinal [0-4] Binary

○ Getting campaign information in SNS

0.19

0.40

Binary

○ Joining a political group in SNS

0.08

0.27

Binary

○ Discovering friends’ political interest in SNS

0.27

0.44

Binary

○ Signing up as a friend of a candidate in SNS

0.09

0.28

Binary

○ [Efficacy 1] I would not be as involved in this campaign as much if it weren’t for the Internet.

0.23

0.40

Binary

○ [Efficacy 2] The news and other information you get online is just the same as you can get anywhere else.

0.48

0.50

Binary

○ [Efficacy 3] The internet is full of misinformation and propaganda that too many voters believe is accurate.

0.61

0.49

Binary

○ [Efficacy 4] The internet lets those with the loudest voices and the most extreme positions drown out average people’s views.

0.31

0.46

Binary

○ [Efficacy 5] The internet helps me feel more personally connected to my candidate or campaign of choice.

0.26

0.44

Binary

Political efficacy of the Internet 1 if YES for Efficacy 1 and 5, if NO for Efficacy 2, 3, and 4 (reverse coding)

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Online Political Participation in the 2008 U.S. Presidential Election

information such as commercials, speeches and interviews on the Internet. The fourth variable is political information production, which encompasses citizens’ activities of posting or forwarding political information from other sources and their own thoughts. While only six percent of respondents posted their own comments, nineteen percent forwarded publications and comments by someone else. The last category of political activity is campaign-engaged activity using SNS.6 Creating a political space for social networking and sharing of multimedia-enabled political information, SNS emerged as an effective tool to boost and mobilize popular support from digital citizens in the 2008 U.S. presidential campaigns. The composite index combining four binary responses shows more than a third of SNS users (M=0.37) had utilized the sites for involvement in the electoral campaigns.

Methods We employ two methodologies. First, the analysis presents the visual illustration of the democratic divide among sociodemographic groups. For consistent comparison among multiple types of political activity, we contrast the probabilities (measured in a binary scale) with one another instead of comparing the averages of ordinal variables (measured in various degrees). The sharp incline of the lines in the chart support the apparent presence of the democratic divide. Second, we run ordinary least square (OLS) regression to identify what independent variables (sociodemographics and political efficacy of the Internet) are strong predictors for online political activity.7 The regression model includes interactive terms of demographics (gender and race) and multiplicative terms between those demographics and socioeconomic status (education and income). The implications of the multiplicative effect articulate the differences between males and females, and between whites and non-whites in terms of the conventional effect of education and

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income on political activism (i.e., the effect that those advantaged in terms of education and wealth participate in online politics more actively than their counterparts). In addition, the t test of linear combinations as a post-regression test examines more specific contrasts between historically advantaged and disadvantaged groups in political participation.

ANALYSIS: PATTERNS AND PREDICTORS OF THE DEMOGRAPHIC DIVIDE Testing hypotheses, this section examines the existence of the sociodemographically stratified pattern in the democratic divide. We assume socioeconomically and technologically advantaged individuals described in the hypotheses are likely young, white, well-educated, and more affluent males. Four different reports suggest evidence for the democratic divide. We introduce general findings in those analyses, and then test hypotheses in terms of statistical significance. First, we illustrate the cross-group difference in the probabilities for political activity with respect to each demographic characteristic. Shown in Figure 2, the pattern of the democratic divide varies with the type of online political activity. The largest divide expectedly appears in political activity on SNS in terms of generation. Other political activities, however, show a more equalized pattern from Generation X through the oldest cohort, even though respondents in their twenties and early thirties are persistently more likely to participate in online political activities. The democratic divide is more salient in gender contrast than in racial contrast. Men are more likely to partake in online political activities than women. Second, the pairwise correlation between variables of political activity and efficacy merits attention. The correlation between activity and efficacy has an overall low association. The expectation for campaign involvement and per-

Online Political Participation in the 2008 U.S. Presidential Election

Figure 2. The cross-group probability difference

sonal connection to candidates through the Internet is associated more with the degree of political activities than are other efficacy variables. The different types of political activity are moderately correlated with one another, but political

activity on SNS is less correlated with other online political activities. Third, by regression analysis, we investigate the influence of political efficacy and sociodemographic characteristics on online political activ-

Table 4. Pairwise correlation matrix A

B

C

D

E

F

G

H

I

A. Political communication

1.00

B. Political mobilization

0.44

1.00

C. Information consumption

0.34

0.40

1.00

D. Information production

0.48

0.44

0.42

1.00

E. SNS activity

0.29

0.35

0.27

0.42

1.00

F. Efficacy 1

0.16

0.28

0.34

0.29

0.26

1.00

G. Efficacy 2

0.03

0.03

0.20

0.16

0.07

0.10

1.00

H. Efficacy 3

0.09

0.11

0.08

0.04

0.04

0.03

0.07

1.00

I. Efficacy 4

0.01

-0.04

-0.11

-0.12

-0.01

-0.04

-0.06

0.21

1.00

J. Efficacy 5

0.22

0.18

0.26

0.25

0.21

0.35

0.11

0.05

0.09

J

1.00

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Online Political Participation in the 2008 U.S. Presidential Election

ity. In addition, the analysis sheds light on the interactive effect of race and gender, and the multiplicative effect of education and income along with race and gender, on online political activism. Table 5 describes the result of OLS regression of political Internet uses. An individual who already participates in other types of online political activity is likely to frequent a particular type of activity. The estimated influence of age on political activity changes with the type

of political activity. The effect of education and income on political activism is significant only for political information consumption. Finally, we examine the interactive effect by the t test of the linear combination of slope coefficients in estimated regression models. We specify the stratified effect of socioeconomic conditions on online political activity in terms of the racial and gender difference. Education and household income are proxy measures for SES.

Table 5. Regressions of political activities Dependent variable Predictors

Political Communication

Political Mobilization

Information Consumption

Efficacy 1

0.035

0.106**

0.159***

0.056

0.066

Efficacy 2

-0.002

0.045

0.091***

0.049*

-0.048

Efficacy 3

0.025

0.048

-0.010

0.001

-0.012

Efficacy 4

0.030

0.027

-0.019

-0.066*

-0.015

Efficacy 5

0.101**

0.056

0.159***

0.022

-0.016

––

0.190***

0.160***

0.306***

0.102

Political communication

Information Production

SNS Activity

Political mobilization

0.182***

––

0.124***

0.204***

0.214***

Information consumption

0.165***

0.134***

––

0.192***

0.054

Information production

0.316***

0.221***

0.193***

––

0.278***

Age (in years)

0.082**

0.129***

-0.045

-0.062*

-0.304***

Male (dummy)

0.467

0.220

0.154

-0.164

0.035

White (dummy)

-0.032

0.228

0.386*

0.048

-0.177

Male*White

-0.424

-0.239

-0.111

-0.099

0.075

Education (in grade)

-0.018

0.128

0.349***

-0.051

-0.052

Male*Education

-0.009

0.083

-0.503

-0.133

0.103

White*Education

-0.018

-0.015

-0.448*

0.003

0.148

Male*White*Education

0.020

-0.227

0.515

0.256

-0.268

Income (in $10,000)

0.050

0.149

0.043

0.034

-0.084

-0.631*

-0.210

0.388

0.270

-0.124

White*Income

-0.022

-0.291

-0.128

-0.072

0.163

Male*White*Income

0.558*

0.383

-0.393

-0.237

0.138

Constant

1.535**

-1.092***

-1.946*

-0.185

1.251

Male*Income

N

881

881

881

881

304

F

21.78***

19.01***

23.59***

23.80***

6.06***

0.3375

0.3063

0.3564

0.3585

0.2919

Adjusted R2

*** p < 0.001, ** p < 0.01, * p < 0.05 Note. All slope estimates are full-standardized coefficients.

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Online Political Participation in the 2008 U.S. Presidential Election

Table 6 exhibits the result of the linear combination test on the education effect (the better educated, the more participatory in politics) and the income effect (the more affluent, the more participatory in politics). As shown in the result, the effects are significant for only some comparisons between demographic groups.

Hypothesis 1: Groups who have socioeconomically and technologically advantaged demographic conditions use the Internet forpolitical communicationmore than their counterparts. Political communication with family members, friends or acquaintances by email is shown

Table 6. Results of linear combination test (t statistics) Formal expression of hypotheses tested [Groups contrasted]

Political Communication

Political Mobilization

Information Consumption

Information Production

SNS Activity

H0: βMale + βMale*White = 0 [White men vs. Women]

0.28

-0.16

0.31

-0.48

0.46

H0: βWhite + βMale*White = 0 [White men vs. Non-Whites]

-1.78

0.28

1.63

0.64

-0.32

H0: βMale + βWhite + βMale*White = 0 [White men vs. Non-White women]

-0.03

1.23

2.52*

0.02

-0.27

H0: βEducation + βMale*Education = 0 [Men’ education effect vs. Women’ effect]

-0.19

1.38

0.72

-1.02

0.03

H0: βEducation + βWhite*Education = 0 [Whites’ education effect vs. Non-Whites’ effect]

-0.61

2.38*

1.37

-1.03

0.43

H0: βEducation + βMale*Education + βMale*White*Education = 0 [White men’s education effect vs. Women’s effect]

-0.10

0.41

2.87**

0.11

-0.61

H0: βEducation + βWhite*Education + βMale*White*Education = 0 [White men’s education effect vs. Non-Whites’ effect]

-0.11

0.01

2.04*

0.52

-0.38

H0: βEducation + βMale*Education + βWhite*Education + βMale*White*Education = 0 [White men’s education effect vs. Non-White women’s effect]

-0.52

0.94

1.65

0.36

-0.59

-2.83*

0.23

2.43*

1.73

-0.86

H0: βIncome + βWhite*Income = 0 [Whites’ income effect vs. Non-Whites’ effect]

0.74

-1.17

-1.02

-0.37

0.37

H0: βIncome + βMale* Income + βMale*White* Income = 0 [White men’s income effect vs. Women’s effect]

0.10

2.13*

0.33

0.45

-0.36

H0: βIncome + βWhite* Income + βMale*White* Income = 0 [White men’s income effect vs. Non-Whites’ effect]

2.35*

1.08

-1.83

-1.03

0.48

H0: βIncome + βMale* Income + βWhite* Income + βMale*White* Income = 0 [White men’s income effect vs. Non-White women’s effect]

-0.08

0.93

-1.04

0.00

0.45

Between-group difference in the mean

Between-group difference in the education effect

Between-group difference in the income effect H0: βIncome + βMale*Income = 0 [Men’ income effect vs. Women’ effect]

*** p < 0.001, ** p < 0.01, * p < 0.05

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Online Political Participation in the 2008 U.S. Presidential Election

to be a frequent activity for Baby Boomers as well as Generations X and Y during the electoral campaign season. The regression model predicts that older people are more likely to use email as a means for casual political communication. As shown in Figure 2, the probability gap between males and females is the smallest for political communication while other activities demonstrate larger gaps between the genders. An even larger gap exists between those who are educated at the college level and those who are not, than between other levels of education. A racial gap in political communication by email is small, but the linear combination test shows the effect of income on political communication is greater for whites is than non-whites. Another significant result of the test is that the impact of income on the democratic divide is greater for women than men. In the regression, political efficacy for personal connection with candidates or election camps (Efficacy 5) has a positive influence on the degree of online political communication. Hypothesis 2: Groups who have socioeconomically and technologically advantaged demographic conditions use the Internet forpolitical mobilizationmore than their counterparts. While other political activities show higher probabilities in the digital generation, political mobilization of contributions and petitions indicates a high probability for older generations. For political mobilization that requires a higher level of attention, interest, knowledge, and material resources, the pattern of the democratic divide is distinct from that of other activities. One piece of evidence is that while senior generations likely utilize the Internet for political mobilization, there is a high probability that younger cohorts participate in other types of online political activity. On the other hand, the gender gap for the probability of political mobilization is larger than the racial gap. In Table 6, the magnitude of the education effect

98

on political mobilization differs between whites and non-whites. The effect of income on political mobilization is greater for men than for women. Thus, the democratic divide created by different levels of education and income is larger within the group of white-men than within the group of non-whites or women. In Figure 2, the tendency for better-educated citizens to participate in online activity for political mobilization is markedly sharp. The regression result shows the efficacy of the Internet for campaign involvement has a positive influence on online political mobilization in campaigns. Hypothesis 3: Groups who have socioeconomically and technologically advantaged demographic conditions use the Internet forpolitical information consumptionmore than their counterparts. The relationship between age and political information activity is monotonously negative. Since older generations are more familiar with traditional media, such as newspaper and television, the probability illustration of online political activity does not represent the degree of their information activity. Although senior citizens generally tend to consume political information more than the digital generation, older cohorts who are familiar with and rely on traditional media as their information source may lose opportunities to harness new venues of political information. In Table 6, the effect of income on information consumption is greater for men than for women. The contrast between white men and non-white women is also significant. White men are much more likely to seek political information through the Internet than non-white women. Political information consumption occurs with the democratic divide between college graduates and others, as shown in Figure 2. The regression predicts the effect of education on political information consumption is stronger for white men than for women or non-whites. Political efficacy for the Internet as

Online Political Participation in the 2008 U.S. Presidential Election

a new information source and a connection with candidates leads people to consume with more frequency political information on the Internet. The pattern of the racial divide demonstrates a fascinating result. The probability of non-white citizens to consume political information is higher than that of whites. There might be two explanations for this fact, which is contrary to the normally expected pattern of a racial gap in political participation. First, the campaign by the AfricanAmerican presidential candidate (Barack Obama) significantly raised political interest among nonwhites. Second, given the gradual bridging of the digital divide in terms of physical access and basic skills, a variety of electronic versions of political campaigning through multi-media sharing (e.g., YouTube) and news links of popular Web portal sites successfully hooked non-whites who have been thought to be less interested in politics than their counterparts. Hypothesis 4: Groups who have socioeconomically and technologically advantaged demographic conditions use the Internet forpolitical information productionmore than their counterparts. The divide patterns of political information consumption and production are not distinct between each other though the probability of information production is far below that of information consumption. Political information production is more frequent among younger people, but the probability of active participation only marginally decreases with age. Portrayed in Figure 2, while there is a gender gap in political information production, there is no racial gap. In the regression, socioeconomic measures do not have a linear effect on the degree of political information production. However, there is a gap in the probability of information production between those with household incomes of or more and who earn less than $30,000.

Hypothesis 5: Groups who have socioeconomically and technologically advantaged demographic conditions usesocial networking sites for political activitymore than their counterparts. The large impact of the generational gap distinguishes political activity on SNS from other online activities. The probability plummeting with the increase in age implies that the youngest cohort––“the digital natives” (Prensky, 2001) who are the digital-literate and the technologysavvy––accounts for the majority of SNS users. The generation gap is obvious between the digital generation and the older generation. However, the divide pattern of political activity on SNS is contrary to conventional expectations of the positive relationship between the level of education and the degree of political participation. Because respondents with some college education include current college students who are the most frequent SNS users, their probability of participating in political activity on SNS is high. Interestingly, results show a high probability for those who didn’t finish high school to use SNS for political activity. As such, SNS can have a democratic potential for more equalized participation by encouraging participation of the less educated. On the other hand, the probability differences across the income strata confirm the conventional belief. A line of the divide seems to exist between the lowest income group (less than $30,000) and the others (more than $30,000). Additionally, contrary to assumption, political communication through email is not a significant predictor for SNS political activity, which may imply that frequent users of political email and political users of SNS are not categorically alike.

DISCUSSION This section proposes further discussion of the main findings, and a review of results from the

99

Online Political Participation in the 2008 U.S. Presidential Election

preceding section. The analysis for testing hypotheses reasserted some determining effects of socioeconomic and demographic characteristics on online political activity. Sociodemographic markers such as age, gender, race, education, and income are relevant to the gap among particular segments of the population in online political activity. As Margolis and Resnick (2000) recognized, the effect of historical determinants for political participation persists into the present, and it is politics as usual, even in the age of Internetmediated life. The significance of demographic predictors for online political activism supports the argument for politics as usual. The regression analysis differentiates the generational effects between communication/mobilization and information activity/SNS activity. Older generations are more politically engaged and committed than younger generations (Putnam, 2000; Zukin et al., 2006), but the degree of political activity on SNS and online information activity becomes weak with increasing age. The result does not support the democratic role of the Internet as an equalizer in political activities channeled through the Internet. The democratic divide determined by demographic markers does not overturn historical inequality in political participation, but it does reiterate and even reinforce the inequality. Despite the conventional reality that the socioeconomically advantaged tend to have more opportunities for political information, communication and mobilization, our analysis lauds a democratic potential of the Internet in two points. First, political activity on SNS revealed a more equalized participatory pattern. SNS seems to exercise a democratic potential to mitigate the predetermining effect of educational level on political activism. In the 2008 pre-election period, high school drop-outs used SNS for political activity as much as current college students. The new finding has a practical implication for governments and politicians who seek more enthusiastic engagement from the public. SNS can be an effective tool for

100

reaching out to individual citizens and prompting their greater political interest (Baumgartner & Morris, 2010). However, the generational divide between the digital generation and older counterparts is far larger in SNS political activity than in other political activities using the Internet. Public outreach practitioners’ normative strategy should aim at closing any generational divide in using the Internet for specific purposes. The fact that older generations infrequently use SNS would not be problematic in itself if they compensated with the benefits from using media other than SNS. Our lingering concern for the democratic divide, notwithstanding, may become serious if the political realm frequented by younger generations differs from seniors’ to the extent that the difference can be considered a separation. Therefore, a practical strategy should bridge different spheres of political activity (Putnam, 2000); for example, between online and offline, and between SNS and other online venues. Another managerial implication behind the different pattern between SNS activity and other political activities is the importance of a suite of various online tools. There is a categorical difference between SNS adopters and users of other online tools. Currently, SNS offers advantages for political activity by the less educated and less affluent, but loses the possible activism by older generations’ use of the sites. Further diversification of online channels can cover more segments of political participants, thereby contributing to diversity, openness and equality of political participation. Second, there is a hopeful finding against the generation gap of online political activity. Political communication and political information consumption were predicted to be highly likely for even older cohorts. There are two facts underlying relatively high probabilities in communication and information consumption across generations. Some seniors acquire political information not only from classical media such as television and print media but from the Internet. Besides, political

Online Political Participation in the 2008 U.S. Presidential Election

communication by email becomes normal for older digital citizens. Emailing can be a promising tool for extending their political-communicative venue from offline (face-to-face and voice-to-voice by telephone) to online mode. Here is a practical finding: email already takes up a substantial portion of political communication by the technologically disadvantaged, especially the older generations. Immediate and reliable emailing service can be an efficient and effective strategy for government practitioners and politicians.

CONCLUSION As Smith (1993) dubbed historical conventionality of American democracy ascriptive hierarchy, this chapter corroborated the overall presence of a historical pull toward participatory inequality of demographic segments who have been traditionally marginalized from the existing political system. However, we presented some complicated findings (a mix of expected and counter-expected effects) because the pattern of the democratic divide varies with the type of online political activity and with respect to sociodemographic conditions. The generational divide is conspicuous in SNS political activity, but not significant in political communication and information activity. We found hopeful news for digital democracy; that is, SNS mitigates the socioeconomic divide in political activity to some extent. Males are more active in online political participation than females, but the 2008 primary season interestingly reveals active seeking of political information by non-whites, which reflects their political attention to the African-American presidential candidate. Since the Internet is not a predominant medium for politics and its democratic potential is being limitedly harnessed (Brants, 2005; Grönlund, 2001; Papacharissi, 2002), our epilogue is not conclusive, but rather tentative. However, we claim the political and democratic role of the Internet keeps increasing and expanding. The

Internet has served to level some existing political inequalities while it has created new inequalities (Hindman, 2009). We raise two concerns for future research that can be conducted as an extension of this study. First, do efforts to narrow or close the access divide (e.g., the expansion of broadband adoption) and the skills divide (e.g., the expansion of digital literacy) boost political participation? Second, does historical inequality in political participation continue to occur in the more mature age of digital technologies? Currently, we have to admit the Internet seems to be quite a plastic medium that flows into and adapts to pre-existing social molds and classical political functions rather than a transformative medium for empowering new political voices (Norris, 2005). However, considering the political potential of SNS and the expansion of online political communication, we value the mild cyberoptimism that the more participatory, interactive and communicative technologies can serve as an effective vehicle for political activism of the underprivileged (socioeconomically and technologically disadvantaged). With such an affirmative expectation, we hope to see in future research that the Internet is not a weapon exclusive to a limited population.

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Mossberger, K., Tolbert, C. J., & McNeal, R. S. (2008). Digital citizenship: The Internet, society, and participation. Cambridge, MA: The MIT Press. Mossberger, K., Tolbert, C. J., & Stansbury, M. (2003). Virtual inequality: Beyond the digital divide. Washington, DC: George Washington University Press. National Telecommunication and Information Administration (NTIA). (2002). A nation online: How americans are expanding their use of the internet. Washington, dc: u.s. Department of commerce. National telecommunication and information administration. Retrieved from http://www.ntia. doc.gov/ntiahome/ dn/anationonline2.pdf Neu, C. R., Anderson, R. H., & Bikson, T. K. (1998). E-mail communication between government and citizens: Security, policy issues, and next steps. Santa Monica, CA: Rand Corp. Norris, P. (2001). Digital divide: Civic engagement, information poverty, and the Internet worldwide. New York, NY: Cambridge University Press. Norris, P. (2005). The impact of the Internet on political activism: Evidence from Europe. International Journal of Electronic Government Research, 1(1), 20–39. doi:10.4018/jegr.2005010102 Papacharissi, Z. (2002). The virtual sphere: The Internet as a public sphere. New Media & Society, 4(1), 9–27. doi:10.1177/14614440222226244 Poor. N. (2005). Mechanisms of an online public sphere: the website slashdot. Journal of computermediated communication, 10(2). Retrieved from http://jcmc.indiana.edu/vol10/ issue12/poor.html Prensky. M. (2001). Digital natives, digital immigrants. On the horizon, 9(5). Retrieved from http:// www.marcprensky.com/writing/ Prensky%20 -%20Digital%20Natives,% 20Digital%20Immigrants%20-%20Part21.pdf

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Putnam, R. D. (2000). Bowling alone: The collapse and revival of American community. New York, NY: Touchstone. Qualman, E. (2009). Socialnomics: How social media transforms the way we live and do business. Hoboken, NJ: John Wiley & Sons. Ricke, L. (2010). A new opportunity for democratic engagement: The CNN-YouTube presidential candidate debates. Journal of Information Technology & Politics, 7(2/3), 202–215. doi:10.1080/19331681003772768 Robertson, S. P., Vatrapu, R. K., & Medina, R. (2009). Social networks: Making connections between citizens, data and government. Paper presented at the 10th Annual International Conference on Digital Government Research. Robertson, S. P., Vatrapu, R. K., & Medina, R. (2010). Online video “friends” social networking: Overlapping online public spheres in the 2008 U.S. presidential election. Journal of Information Technology & Politics, 7(2/3), 182–201. doi:10.1080/19331681003753420 Sæbø, Ø., Rose, J., & Nyvang, T. (2009, Sep 1-3). The role of social networking services in eparticipation. Paper presented at the 1st International Conference on Electronic Participation, Linz, Austria. Scheufele, D. A., & Nisbet, M. (2002). Being a citizen online: New opportunities and dead ends. The Harvard International Journal of Press/ Politics, 7(3), 55–75. Shah, D. V., Kwak, N., & Holbert, R. (2001). ‘Connecting’ and ‘disconnecting’ with civic life: Patterns of Internet use and the production of social capital. Political Communication, 18(2), 141–162. doi:10.1080/105846001750322952

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Small, T. A. (2009). The facebook effect? Online campaigning in the 2008 canadian and us elections. Policy options, 29(10), 85-87. Retrieved from http://irpp.org/po/archive/nov08/small.pdf Smith. A. (2009). The internet’s role in campaign 2008. Washington, dc: pew research center. Retrieved from http://www.pewinternet. org/Reports/2009/ 6--The-Internets-Role-inCampaign-2008.aspx Smith, R. M. (1993). Beyond Tocqueville, Myrdal, and Hartz: The multiple traditions of America. The American Political Science Review, 87(3), 549–566. doi:10.2307/2938735 Stansbury, M. (2003). Access, skills, economic opportunities, and democratic participation: Connecting four facets of the digital divide through research. Paper presented at the Annual Conference of the Canadian Association of Information Science, Halifax, Nova Scotia, Canada. Steyaert, J. (2002). Inequality and the digital divide: Myths and realities. In Hick, S., & McNutt, J. (Eds.), Advocacy, activism and the Internet (pp. 199–211). Chicago, IL: Lyceum Press. Stromer-Galley, J. (2002). New voices in the public sphere: A comparative analysis of interpersonal and online political talk. Javnost-The Public, 9(2), 23–42. Tapscott, D. (1998). Growing up digital: The rise of the Net generation. New York, NY: McGraw-Hill. Tapscott, D. (2009). Growing up digital: How the Net generation is changing your world. New York, NY: McGraw-Hill. Theiss-Morse, E., & Hibbing, J. R. (2005). Citizenship and civic engagement. Annual Review of Political Science, 8, 227–249. doi:10.1146/ annurev.polisci.8.082103.104829

Thomas, J. C., & Streib, G. (2003). The new face of government: Citizen-initiated contacts in the era of e-government. Journal of Public Administration: Research and Theory, 13(1), 83–102. doi:10.1093/jpart/mug010 Tolbert, C. J., McNeal, R. S., & Smith, D. A. (2003). Enhancing civic engagement: The effect of direct democracy on political participation and knowledge. State Politics & Policy Quarterly, 3(1), 23. doi:10.1177/153244000300300102 Tolbert, C. J., Mossberger, K., & McNeal, R. S. (2002, Aug 28). Beyond the digital divide: Exploring attitudes about Information Technology, political participation, and electronic government. Paper presented at the Annual Meeting of the American Political Science Association, Boston, MA. van Dijk. J. A. G. M. (2003). A framework for digital divide research. Electronic journal of communication, 12(1). Retrieved from http:// www.cios.org/EJCPUBLIC/ 012/011/01211.html van Dijk, J. A. G. M. (2005). The deepening divide inequality in the information society. Thousand Oaks, CA: Sage. van Dijk, J. A. G. M. (2006). Digital divide research, achievements and shortcomings. Poetics, 34(4/5), 221–235. doi:10.1016/j.poetic.2006.05.004 Verba, S., Schlozman, K. L., & Brady, H. E. (1995). Voice and equality: Civic voluntarism in American politics. Cambridge, MA: Harvard University Press. Wallsten, K. (2010). “Yes we can”: How online viewership, blog discussion, campaign statements, and mainstream media coverage produced a viral video phenomenon. Journal of Information Technology & Politics, 7(2/3), 163–181. doi:10.1080/19331681003749030

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Walsh, K. C. (2004). Talking about politics: Informal groups and social identity in American life. Chicago, IL: The University of Chicago Press.

Chadwick, A. (2006). Internet politics: States, citizens, and new communication technologies. New York, NY: Oxford University Press.

Warschauer, M. (2004). Technology and social inclusion: Rethinking the digital divide. Cambridge, MA: MIT Press.

Dalton, R. J. (2008). The good citizen: How a younger generation is reshaping American politics. Washington, DC: CQ Press.

Wilson, E. J. (2006). The information revolution and developing countries. Cambridge, MA: MIT Press.

Davis, R. (2009). Typing politics: The role of blogs in American politics. New York, NY: Oxford University Press.

Wilson, K. R., Wallin, J. S., & Reiser, C. (2005). Social stratification and the digital divide. In Garson, G. D. (Ed.), Public administration and public policy: A comprehensive publication program (2nd ed., Vol. 111, pp. 173–184). Boca Raton, FL: Taylor & Francis.

Gil de Zúñiga, H., Veenstrab, A., Vragac, E., & Shah, D. (2010). Digital democracy: Reimagining pathways to political participation. Journal of Information Technology & Politics, 7(1), 36–51. doi:10.1080/19331680903316742

Zukin, C., Keeter, S., Andolina, M., Jenkins, K., & Delli Carpini, M. X. (2006). A new engagement? Political participation, civic life, and the changing American citizen. New York, NY: Oxford University Press.

ADDITIONAL READING Barber, B. R. (2003). Strong democracy: Participatory politics for a new age (3rd ed.). Berkeley, CA: University of California Press. Bimber, B. (1999). The Internet and citizen communication with government: Does the medium matter? Political Communication, 16(4), 409–428. doi:10.1080/105846099198569 Brady, H. E., Verba, S., & Schlozman, K. L. (1995). Beyond SES: A resource model of political participation. The American Political Science Review, 89(2), 271–294. doi:10.2307/2082425 Calenda, D., & Meijer, A. (2009). Young people, the Internet and political participation: Findings of a web survey in Italy, Spain and the Netherlands. Information Communication and Society, 12(6), 879–898. doi:10.1080/13691180802158508

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Kann, M. E., Berry, J., Gant, C., & Zager, P. (2007). The Internet and youth political participation. First Monday, 12(8). Retrieved from http://firstmonday. org/issues/ issue12_8/kann/index.html Kreiss, D. (2009). Developing the “good citizen”: Digital artifacts, peer networks, and formal organization during the 2003-2004 Howard Dean campaign. Journal of Information Technology & Politics, 6(3), 281–297. doi:10.1080/19331680903035441 Kushin, M. J., & Kitchener, K. (2009). Getting political on social network sites: Exploring online political discourse on Facebook. First Monday, 14(11). Retrieved from http://firstmonday.org/ htbin/cgiwrap/ bin/ojs/index.php/fm/article/ viewArticle/2645/2350 Meijer, A., Burger, N., & Ebbers, W. (2009). Citizens4Citizens: Mapping participatory practices on the Internet. Electronic Journal of E-Government, 7(1), 99–112. Retrieved from http://www.ejeg. com/issue/ download.html?idArticle=183 Oates, S., Owen, D. M., & Gibson, R. K. (Eds.). (2006). The Internet and politics: Citizens, voters and activists. New York, NY: Routledge.

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Park, H., & Perry, J. (2008). Do campaign websites really matter in electoral civic engagement? Empirical evidence from the 2004 post-election Internet tracking survey. Social Science Computer Review, 26(2), 190–212. doi:10.1177/0894439307309026 Quintelier, E. (2007). Differences in political participation between young and old people. Contemporary Politics, 13(2), 165–180. doi:10.1080/13569770701562658 Quintelier, E., & Vissers, S. (2007). The effect of Internet use on political participation. Social Science Computer Review, 26(4), 411–427. doi:10.1177/0894439307312631 Rojas, H., & Puig-i-Abril, E. (2009). Mobilizers mobilized: Information, expression, mobilization and participation in the digital age. Journal of Computer-Mediated Communication, 14(4), 902–927. doi:10.1111/j.1083-6101.2009.01475.x Schlozman, K. L., Sidney, V., & Brady, H. E. (2010). Weapon of the strong? Participatory inequality and the Internet. Perspectives on Politics, 8(2), 487–509. doi:10.1017/S1537592710001210 Shane, P. (Ed.). (2004). Democracy online: The prospects for political renewal through the Internet. New York, NY: Routledge. Skocpol, T., & Fiorina, M. P. (Eds.). (1999). Civic engagement in American democracy. Washington, DC: Brookings Institution Press. Steger, W., Williams, C., & Andolina, M. (Sep 2-5, 2010). Political use of social networks in 2008. Paper presented at the annual meeting of the American Political Science Association, Washington DC. Stromer-Galley, J. (2000). On-line interaction and why candidates avoid it. The Journal of Communication, 50(4), 111–132. doi:10.1111/j.1460-2466.2000.tb02865.x Sunstein, C. R. (2007). Republic.com 2.0. Princeton, NJ: Princeton University Press.

Valenzuela, S., Park, N., & Kee, K. F. (2009). Is there social capital in a social network site? Facebook use and college students’ life satisfaction, trust, and participation. Journal of ComputerMediated Communication, 14(4), 875–901. doi:10.1111/j.1083-6101.2009.01474.x Verba, S. (2003). Would the dream of political equality turn out to be a nightmare? Perspectives on Politics, 1(4), 663–679. doi:10.1017/ S1537592703000458 Wang, S. (2007). Political use of the Internet, political attitudes and political participation. Asian Journal of Communication, 17(4), 381–395. doi:10.1080/01292980701636993

KEY TERMS AND DEFINITIONS Democratic Divide: A gap or distinction between those who do and do not use digital resources for political engagement, mobilization, and participation. Digital Citizenship: The ability to participate in a particular social, political, or national community by means of using digital resources. Digital Divide: A gap or distinction between haves and have-nots of access to information and communication technologies, which is configured in terms of various reasons and consequences of access (technological inequality in physical access, immaterial inequality in freedom and life chances, material inequality in socioeconomic resources, social inequality in positions, power and participation, and educational inequality in capabilities and skills). Political Efficacy: An individual’s sense of belief in the value of political action and the likelihood of success in the action. Political Mobilization: The process that influences individual’s values and orientations toward a political object (e.g., political party, candidate, institution or government).

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Political Participation: An individual’s or a group’s political activity in various forms such as active or passive, institutional or non-institutional, and mobilized or voluntary action. Social Networking Site (SNS): Web-based services designed to facilitate communication, collaboration and content sharing across networks of contacts, and which allow users to construct a public profile, and manage, build and represent their social relations online.

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Ascription occurs when social class or stratum placement is primarily heredity. Margin of error of the original randomsampled dataset is plus or minus three percentage points in the Internet user sample. Nomenclature for the youngest generation, Generation Y, varies: Millenials (Howe & Strauss, 2000, 2003), Net Generation (Tapscott, 1998, 2009), DotNets (Zukin et al., 2006), or Digital Natives and Digital Immigrants (Prensky, 2001). The categorization is based on Howe and Strauss’ (1991, 2000) generation division and on Jones and Fox’ (2009) separation of the Baby Boomer generation into older and younger cohort. Hispanics and Asians are both included in the category of non-whites. Despite growing academic attention to the digital divide in contrast between Hispanics and other ethnic groups, the consideration of Hispanics (five percent of the total sample) as a separate demographic category did not make any significantly distinct result in the analysis using the same method. The category of online political activity may include political activity on SNS. That can be a weakness of measurements because political activities on SNS and the

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Internet may be overlapped to some extent. However, the possible categorical overlap does not necessarily make for a misleading interpretation of the result. The proportion of SNS users is relatively much smaller than that of total online people. We expect that when respondents answer the questions about online activity, most of them will refer to the main ways (primarily emailing, visiting a homepage) that they utilize the Internet, other than using SNS, because the number of political users of SNS makes up only a tiny portion of the total digital citizens who use the Internet for political purposes. This study employs OLS instead of ordinal logistic model for the following reasons. First of all, the ordinal scale of the dependent variables differs in nature from a generic ordinal scale such as the Likert scale (for example, ranging from highly disagree to highly agree). We counted the number of political activities belonging to the same category, and used the counted number as an ordinal variable. The basic assumption underlying ordinal logistic regression is the presence of a latent variable hidden behind the integer-based degree. However, the ordinal scale of the counted variables is not based on assumption because the number (how many activities respondents are doing) itself contains the meaning. The assumption does not match the dependent variables aggregating binary responses. Second but not least, ordinal logistic regression does not produce much of a different result in terms of significance, magnitude of slope coefficients, and model fit. Ordered logistic regression does not make for better results (in terms of consistently best unbiased estimates) than OLS. In addition, the linear combination test for between-group comparison makes sense in OLS, not in ordered logistic regression.

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Chapter 6

Power and Identity among Citizens in Networked Societies: Towards a Critical Study of Cultural E-Governance Jakob Svensson Karlstad University, Sweden

ABSTRACT A classic question within studies of governance concerns what appears to be a paradox of being free and governed at the same time. In this chapter, the author addresses this question departing from contemporary Western society, a society to which he attaches labels such as digital, late modern, and networked. This is a theoretical chapter addressing political participation, citizenship practices, and power. How do people enter into citizenship through political participation online, and what governs these processes? The contribution to the academic discussion is to highlight the expressive as an increasingly important rationale for political participation in networked and digital late modernity. The author arrives at this conclusion departing from the intersections between technology, society, and culture. In these intersections, expressive processes of identification are keys. Therefore citizenship practices also need to be approached from an axis of individualism, creating even more intersections when combined with technology, society, and culture.

INTRODUCTION The objective of this chapter is to understand political participation among both free, but also governed, individuals in an increasingly digitalized media landscape. This is a chapter based DOI: 10.4018/978-1-4666-0116-1.ch006

on social theory and transdisciplinarity, aiming to clarify concepts across academic disciplines for better understanding and analyses of contemporary governance. The chapter will attend to complex ideas of citizenship, society, power, governance, the political, the individual and their interconnections. This constitutes a broad approach on some core issues in the Social and Political Sciences

Copyright © 2012, IGI Global. Copying or distributing in print or electronic forms without written permission of IGI Global is prohibited.

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and as such the chapter is inevitably incomplete. But the aim here is not to enter into detail on encompassing socio-political concepts and their specific interrelations. The contribution to the academic discussion is on a meta-level, putting forward a transdisciplinary approach and as such will hopefully be useful as a theoretical frame for empirical research, to identify entry points for embarking on studies of contemporary political participation(s) online. In this chapter, I will draw my argument from theories across the socio-political spectrum, including such as theories of governance, late modernity, networks and rationality. The issue at stake - understanding political participation among free and governed individual citizens in contemporary digital media landscapes - takes us back to the Social Sciences’ classic dichotomy between society and the individual. In academia we have attempted to outline transdisciplinary concepts in order to transcend this dichotomy. First and foremost I think of citizenship, a concept combining normative macro-perspectives of a good society and how it should be structured, with behavioral understandings of individual participation (for an overview on citizenship see Isin & Turner, 2002). Citizenship rights for example are attached to individuals, but the argument for having those rights has an important collective dimension (Bellamy, 2008, pp. 14-15). They appeal to certain qualities for human beings leading a life together with others, they appeal to how society should be structured in an equal and just manner. It is a political community of members who can grant rights, in which individual members (citizens) seek fair terms of association to secure those goods necessary for them to pursue their doings on just and equal terms with fellow members (Bellamy, 2008, p. 16). In this way, citizens are free rights holding individuals, but at the same time governed by normative discourses of democratic membership with duties such as participation and collective mindedness attached.

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Theoretical transcendence does not stop here by bridging imagined borders between the individual and society. There is another boundary we need to transcend in order to better understand political participation today. I am thinking of academic discussions of digital communication where authors tend to lean on determinist positions of either technology or culture. On the one side we have cyber optimists, trusting in the technological aspects of the Internet to solve all kinds of problems in contemporary democracies (see for example Benkler, 2006; Shirky, 2009). On the other hand we have more pessimistic views on digital technology, framed within existing power structures and societal organizations only to reinforce these, hence not bringing about any changes (see Hindman, 2009). I believe it is important not take on a determinist standpoint on either technology or culture. Instead more effort should be put into exploring mutual co-construction of culture and technology (see also Ekelin, 2007; Frau-Meigs, 2007; Roberts, 2009). As Castells (2000) puts it, “technology is society and society cannot be understood or be represented without its technological tools” (p. 29). Technology is thus neither good, nor bad, but it should not be considered neutral either, or untouched by power relations in society. In this context of transcending theoretical borders, the idea of a network could be used as a mental image to bridge imagined causalities between society and individuals, and between technology and culture. The network concept has become increasingly prominent for understanding governance in a society characterized by multiple nodes and their multilayered interconnections (Castells, 2000; Sörensen & Torfing, 2008). The network concept is also used for understanding individual evolution and fosterage where individuality is rendered useless without network visibility and references to other nodes and their supposed connotations (Castells, 2001, pp. 129133; Donath & boyd, 2004, p. 72; Walther, Van Der Heide, Kim, Westerman & Tong, 2008).

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A fundamental acknowledgement behind this chapter and its relevance (and indeed, this whole book) is that society and political participation are changing. Today the Internet is considered a new arena for politics in connected societies. Increasing individualization and the rise of the network as a dominant model of sociability are challenging our understanding of participation and citizenship practices. Aspects of participation change when social conditions change (Dobson, 2003, p. 35), hence technology, society and citizenship develop in mutual and dialectical relationships. The citizen is constituted as a subject of a socio-technological practice and at the same time also takes part in the constitution of him/ herself as a subject of a socio-technological practice. In other words, they are free and governed at the same time as both objects of domination and subjects, able to create their own field of agency (Ekelin, 2007, p. 66). Whether the Internet and digitalization will break with established societal power structures might thus be argued against (see the chapters in Loader, 2007; and Olsson & Dahlgren, 2010). But Internet is changing the practice of political participation and meanings of engagement (see Dahlgren, 2009). Hence it is in the above mentioned dialectics and intersections that we should start to theorize contemporary political participations for a more comprehensive understanding of citizenship(s) today. To accomplish this we need to approach the topic from variety of different vantage points and their dialectical interconnections. In this chapter I will underline expressive motivations and identification as increasingly important for political participation and citizenship practices in digital late modernity. But before I engage in a discussion of the rationales for political participation, I will attend to recent developments, first in sociological theories of late modernity and then in political theories of governance, developments suggesting a more horizontal understanding of citizens as self-organizing, fragmented and networked.

POLITICAL PARTICIPATION AND GOVERNANCE IN DIGITAL AND NETWORKED LATE MODERNITY Our time is often referred to as late modern (see Giddens, 1991). Dahlgren (2006) characterizes late modernity by identifying two interrelated cultural processes at work: dispersion of unifying cultural frameworks and individualization. The first refers to the increasing pluralization, fragmentation and nichification of society along lines of ethnicity, media consumption, cultural interests, life styles, interests, tastes etc. Individualization refers to a lacking sense of social belonging and a growing sense of personal autonomy. Political participation is changing in late modernity. Citizen participation in parliamentary arenas is diminishing. Some claim that late modern individualization is to be blamed for citizens’ withdrawal from traditional democratic sites (see for example Bauman, 2001). Individualism and increased preoccupation of the self are indeed central aspects of late modern developments. But this does not per se imply a withdrawal from political participation. Despite decreasing participation in parliamentary arenas, there are other sites of political engagement that do not solely limit political participation to representative democracy, which suggests new loci for citizenship practices such as those that the concepts of life politics (see Giddens, 1991, p. 247) and Sub-Politics (see Beck, 1998, pp. 306-329) underline. For empirical studies exploring new arenas for participation in late modernity see for example Sörbom’s (2002) study of worker unions and Thörn’s (2002) study of new social movements. Socio-cultural changes of late modernity are happening at the same time as we experience a technological shift towards digitalization and convergence. Today, almost everyone agrees that the rise of digital communication and the Internet has been remarkable. The Internet is considered the new arena for participation in connected societies, lowering the political threshold with new and

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different forms for engaging people in political matters. As empirical examples it is worth mentioning Graham’s (2009) study of political talk on reality TV fan sites, Oostveen’s (2009) study of e-mailing in an activist setting, and research by Svensson A. (2010) on ice hockey fan websites. When more and more people socialize, organize, contribute, inform and publish their concerns and themselves on digital networks, political talk pops up in different arenas, participation takes on different meanings and citizenship is enacted differently. This illustrates how late modern processes of increasing individualization go hand in hand with digital technology allowing inhabitants to participate and express themselves as citizens in self-selected social networking sites, hence connecting their civic identities to other citizens, causes and their supposed connotations. In digital late modernity, individualism and processes of identification are central aspects, not least through the concept of networks, referring both to interaction patterns, sociability, politics and individualism in digital cultures (Benkler, 2006; Castells, 2001; Terranova, 2004). Through digital networks, we negotiate ourselves, and technology itself is part of this negotiation (see Ekelin, 2007; Roberts, 2009). In other words, online personas created by, for and through social networking sites are part of our perceived self(s) and its creation (for empirical studies on online social networking sites see boyd & Heer, 2006; Donath & boyd, 2004; Walther et al., 2008). As these mentioned studies underline, it is especially the social networking sites that provide applications to harbour late modern processes of identity negotiations and new kinds of political participations. While it could be argued that networks and individualism are incompatible since the network undermines the traditional western idea of a separate and sovereign subject (see Castells, 2000, p. 46), individualism can also be considered a form of collective identity (see Lasch, 1979/1991). Castells’ (2001, pp. 129-133) concept of networked individualism is particularly illuminating for

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understanding the practice of linking the self to different collectives in late modernity. Individuals are thus not in opposition to others; on the contrary, we need others in order to be ourselves. Through processes of identification we link our selves to others, to causes that provide our life and participation with meaning. As the studies of Donath & boyd (2004), boyd & Heer (2006) and Walther et al. (2008) have underlined, such processes of identification are increasingly taking place in social networking sites in digital late modernity. Important characteristics emerging in digital late modernity are thus responsiveness and connectedness (see Frau-Meigs, 2007). In studies of the cell phone for example, informants claim that the phone enriched their social life, furthering opportunities for self-expression at the same time as managing and remaking relationships with friends and family (Pröitz, 2007). Instead of being ascribed to pre-existing media consumption units, based on space and territoriality, networked individualism suggests that we today have greater power in shaping the networks with which we communicate and inform ourselves. Hence, negotiating and performing our selves as individuals does not imply a withdrawal from collective identities and community sensibilities.

Governance as Networked and Cultural Now we turn to governance in order to shed light on political participation among free and governed individuals in digital late modernity. Governance theory was initially preoccupied with the deliberate steering actions of governments; in particular the delivery of public services has been thoroughly studied (Mayntz, 2003, p. 27). For theorizing this, governance has drawn from Weberian theories of hierarchical bureaucracy, as well as neoliberal ideas of the market as a guiding model for public service delivery (Bevir 2009, p. 3; Kjaer 2004, chapter 2). Lately, governance scholars have started to consider more bottom-up approaches,

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also from civil society, for understanding citizen engagement (Bang, 2003, p. 2; Bevir, 2009, p. 3; Kjaer, 2004, p. 11). The concept of networks has been useful in studies of governance underlining the increasing interdependence of the state on other organizations to deliver its policies (Bevir, 2009, p. 3; Kjaer, 2004, p. 3). Thus the focus of governance shifted from the steering actions of governments, to more general ideas indicating a co-operative mode of governing where state and non-state actors participate in public/private networks for both social as well as individual coordination (Mayntz, 2003, pp. 27-28). Through the concept of networks, governance has moved from a rather limited approach concerned with one-directional practices founded in a rather solid dichotomy between private and public spaces, to a more inclusive theory, acknowledging the dialectics between society and the individual, their interdependence and mutual co-constructions. Within studies of governance, a network is broadly defined as a group of actors and the relationships between them (see Bevir, 2009, p. 12; Kjaer, 2004, p. 37). The network has been used as a theoretical concept for indicating an abstract type of social coordination and organization different from hierarchies and markets (Bevir, 2009, pp. 137-138). But since the network lacks a hierarchical structure without regulating centra, it is complex to analyze because behaviour can no longer be understood as linear or causal (Castells, 2000, p. 97). As governance scholars have noted, where networks are flexible in developing new products, services and solutions within a short time-span, they lack control and over-all coordination (Kjaer, 2004, p. 39). Since the state and other organizations depend on each other, steering mechanisms other than hierarchical political control become relevant such as diplomacy, partnerships, management and coordination (Bevir, 2009, pp. 6-7, 13). Castells is probably the scholar most associated with networks. In his work on the growth of a network society in the information age, he uses network as a transdisciplinary concept for

overcoming boundaries between society and technology (Castells, 2000 & 2001). He describes a tendency to organize dominant processes and functions as networks, the network thus becoming the social morphology of society, influencing everything from processes of production to individual experiences, power and culture (2000, p. 519). Castells (2000, p. 25) departs from two contemporary and interlinked developments: increasing global interdependent economies and an information technology revolution, steering capitalism towards increasing network cooperation. But information technology does not only fuel the changing landscapes of capitalism. Digital communication systems are also integrating the production and distribution of culture, adapting its pictures, sounds and images to the faster shifting tastes of individuals in late modernity (Castells, 2000, p. 26). This leads to a historical shift, recognized by the transformation of material culture through information technology (Castells, 2000, p. 51). Governance is difficult to approach without attending to patterns of communication. Bang (2003, p. 2) for example, argues that the rise and importance of governance as an object of study involves a communicative turn in political analysis. Bang (2003, p. 7) forwards a conception of governance as political communication, triangulating it with political authority, which he conceives of as a communicative relationship. Political authority is considered a distinct type of communicative relationship for articulating binding decisions and actions for a given field, terrain or group of people (Bang, 2003:9). This relates to Carey’s (1992, p. 18) well-known ritual view of communication, where society is maintained through the communication of common norms and values. As I will return to, authority is connected with negotiation of norms and values. In this way, relations of communication are strongly interlinked with culture and citizenship (see Micheletti, 2006). In my own theorization of political participation, I conceive of citizenship

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as a communicative relationship to an authority in a way equating participation and membership in a political community (see Svensson J., 2011). From the above definition of citizenship, the question becomes how to define a political community today. The notion of community does not have to be predetermined or bound to territoriality (Dobson 2003, p. 72). Instead, defining community instead around boundaries of interest and meaning-making resonates better with a reflexive late modern society with digital communication that in many cases transcends state territory and unites users around cultural interests, life styles, tastes et cetera. Early virtual online communities were to a large extent governed by rather specified and pre-determined interests (Castells, 2000, pp. 70-73). In social networking sites today, online users negotiate intimate ties to a few people, and weaker ties with hundreds (Castells, 2000, p. 406). With an increasing prominence of social networking sites and more and more mobile platforms for accessing them, the Internet has become one of the most important arenas for human sociability (Castells, 2001, pp. 129-133). Virtual communities today are used both for specialized forums of like-minded members (issue-networks) as well as to support broad professional and social networks. Returning to the political in these communities, some pessimists will argue that the growth of virtual communities online has undermined participation within parliamentary arenas (Norris & Curtis, 2006, p. 2). It is true that current political systems are built on organizational forms from a pre-digital industrial era (Castells, 1998, p. 322). I believe that the logic and organization of electronic media will reframe and restructure political communities for a more networked society (see also Castells, 1998, p. 321, Terranova, 2004). As the studies of Graham (2009), Oostveen (2009) and Svensson A. (2010) underline, virtual online communities from many different settings may very well be considered political (for an in-depth discussion of the notion of the political, see Svensson J., 2011).

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It can be argued that activities on virtual communities online should not be given the same weight as traditional politics. Parliamentary politics and traditional activities such as voting will most likely continue to occupy the core of our democratic societies for some time, but they will not be unmarked by late modern processes of individualization and digitalization. We should not ignore the importance of citizens developing as autonomous individuals for participating politically (see Dahlgren, 2009, p. 61). The challenge lies in finding new ways to express and practice democratic values rather than trying to reconstruct circumstances that have become historically eclipsed (Dahlgren, 2009, p. 14). As studies of e-campaigning show, traditional parliamentary politics is already trying to adapt to the emerging digital communication landscape (for an overview see Anduiza, 2009). Politicians are using social networking sites in their quest to reach voters, negotiate themselves as politicians and to communicate with each other within the party. As I shall attend to in the next section, participatory projects are also going online and becoming increasingly popular for politicians to revitalize representative democracy (see Kies, 2010). New technological, and hence also cultural, prerequisites for political participation have made the current western democratic system somewhat outdated and incomplete for political representation and democratic governance in connected network societies (Castells, 1998, p. 358). Underling a ritual view of communication, where societal coherence depends on communicating values and norms, I suggest this area of study cultural governance. Culture here is understood in a social constructivist sense as meaning-making through communication. Bringing culture to governance also involves acknowledging that affective modes of communication structure participation and citizenship (see Hall, 2005). Affective communication helps citizens to think reflexively about their own lifeworld situations and how to negotiate their way in and through different

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systems (McGuigan, 2005, p. 435). This entails that the political, public and personal will also get articulated in more contested cultural public spheres including the whole range of media and popular culture (Hermes, 2006). Culture in cultural governance thus refers to both understandings of culture as communicative practices of meaningmaking as well as popular culture.

Rationality Debates Revisited I argue that the prominence of networked individualism and cultural governance in digital late modernity is accompanied by another form of rationality. This is a form of rationality that transcends the bipolar instrumental–communicative dimension, a dimension that has been important for normative theorizing and evaluation in Political and Social Sciences. Socializing, cultural consumption/production, identity management, information and publication strategies are both accentuated and different in digital, networked and late modern environments. But let us first turn to instrumental rationality and its critics before addressing the argument of expressive rationality. Instrumental rationality refers to agents choosing from a range of different actions, and picking the one they believe most appropriate for achieving the ends they desire (Mueller, 1989). Hence, rationality becomes an instrument for reaching pre-defined goals. Through theories of New Public Management, instrumental understandings of rationality had a big influence in public administration in the 1990’s (Bevir, 2009; Kjaer, 2004). The dominant discourse considered inhabitants as instrumental and motivated by their own self-interest, thus entering into citizenship when consuming municipal welfare and claiming their right to welfare programs. At the same time that inhabitants adopted a more consumer-oriented view of democratic politics, politicians like-wised treated them as consumers by marketizing the public sector (Bellamy, 2008). This instrumental rational understanding of individual behaviour

fits very well into a market model of governance, choosing the alternative that would best maximize utility and individual preferences (Kjaer, 2004, p. 7). An instrumental understanding of civic participation also presupposes an aggregative understanding of democracy in which political actors convert individual wants and resources to collective action through bargaining, pay-offs and coalition formation (Kjaer, 2004, p. 13). When promoting certain types of e-governance, using arguments of rationalization and modernization of public administration in order to better realize a more efficient citizen’s service, e-governance is also framed within an instrumental discourse (Ekelin, 2007). Government websites, easily accessible 24 hours, are supposed to provide citizens with better access to, and information on, policy and public programmes. The whole idea of eadministration is often realized with arguments based on addressing citizens as instrumental actors. However, as mentioned before, from an instrumental rational perspective, parliamentary politics has lost its attractiveness as a locus for individuals pursuing their private interests. Instrumental rationality has been widely criticized from many different perspectives (see Hindess, 1988). If we consider the utilitarian argument of cost and benefits, it would make more sense not to engage at all (the so called free-rider problem). Muhlberger (2006) refers to this as rational apathy. And here lies a problem. Instrumental rationality may explain civic apathy rationally, but it fails to provide a sufficient account of current political engagement. Habermas (1996) contrasts instrumental with communicative rationality. According to Habermas, the truth in our claims needs to be open for contestation because they are inevitably based in our lifeworld of background assumptions, loyalties and skills (Leet, 1998). Therefore to deal with our inherent subjectivity, Habermas (1996) points to critical interpersonal discussion as the mode of communication in a democracy. In order to understand each other and to become aware of our subjective assumptions, the

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only rational thing to do is to communicate with others. Communicative rationality occurs when communication is free from coercion, deception, strategizing and manipulation (the ideal speech situation). Communicative rationality suggests that people are motivated by a will to understand and learn from each other, thus differing from instrumental rationality where people are understood as being motivated by maximizing personal benefits at as low a cost as possible. Communicative rationality also suggests that people are not only inclined to address their inherent subjectivity, but they also want to strive for enlightenment through communication with others. Deliberative democracy is inspired by communicative rationality and questions the idea that democracy is about the aggregation and reconciliation of pre-established individual self-interest (Dryzek, 2000; Stokes, 2005). Instead, individuals are socialized into democratic practices through communication. In late modernity, deliberative theories of democracy have become influential within representative democratic settings. Parliamentary institutions are turning to participatory projects focusing on involving citizens in rational discussions (deliberation) in order to engage them (see Svensson J., 2008a, pp. 135-138). Since many stages of policy processes are outside the direct control of elected officials, Bevir (2009, p. 29) argues there is a case for enhancing popular participation through public hearings, town hall forums, deliberative polls, citizen juries et cetera. In my own research, I have attempted to explain the contemporary increase of deliberative democratic experiments as a response to the failure of liberal ideologies and market models of governance to engage ordinary citizens in parliamentary politics (see Svensson J., 2008a, chapter 5). A deliberative democratic understanding of citizens as communicative beings and eager to engage in deliberations for the future of society is indeed more attractive for politicians and civil servants when outlining strategies for dealing with a contemporary decrease in traditional political participation. The

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Internet and digital communication are believed to be particularly promising for such endeavours, often leading to online experiments under the promise of E-participation (Ekelin, 2007; Kies, 2010). We recognize here the dilemma of how to govern free individuals, or more concretely, how to reorient free citizens back to traditional democratic arenas. Understanding governance through networks today, we recognize the blurring of boundaries between the public institutions and the private inhabitants, acknowledging that both issue networks and policy networks are incorporated into processes of governing (Bang, 2003, p. 2). From a deliberative and representative democratic perspective, governance through e-participation is envisioned to benefit citizens at the same time raising their interest in parliamentary politics, and increasing active citizen participation in representative democratic arenas (Ekelin, 2007). Indeed, representative democracy is dependent on comprehensive and sustained citizen participation. The idea of e-participation invokes a vision of the Internet as a virtual agora full of ideas and citizens prone to take part in rational political discussions without any constraints of time or space (see Kies, 2010). Using a communicative understanding of rationality, proponents of representative democracy assume that individual citizens participate freely in online discussions in their inherent quest for enlightenment, learning and understanding. Deliberative democracy has been questioned regarding the likelihood of citizens in general possessing the qualities required for realizing communicative rationality (Cohen, 1996). Ideas and demands must be inter-subjectively acceptable, otherwise others will not go along with them. Deliberative citizens need to be able to exercise self-restraint in refraining from the immediate instrumental purpose of their self-interests. This attribute would need to be accompanied by the capacity for critique and self-reflection, an ability to listen to others and an openness to revisions of

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earlier positions (Stokes, 2005). Communicative rationality is normative and rather essentialist in its assumption that citizens have an intrinsic wish to talk to and understand each other. Herein lies a problem for using communicative rationality as a concept for understanding contemporary political participation. Civic disinterest, for example, becomes difficult to explain from this perspective. Before citizens deliberate, they have to be motivated to participate in the deliberation. But where instrumental rationality could explain civic apathy, referring to self-interested agents lacking motivation, it falls short of explaining late modern life political engagement. On the other side, communicative rationality fails to fully grasp the nature of contemporary disinterest towards representative democratic institutions. Thus we need other analytical tools in order to understand citizenship and political participation, analytical tools that also consider techno-cultural aspects of changes in digital late modernity, critical tools that are based on a cultural understanding of egovernance. Kjaer (2004, p. 7) contrasts what she labels a rational behaviour model with a sociological behavioural model, where individuals are socialized into certain norms and values that in their turn motivate participation. Preferences are constantly (re)evaluated when individuals adapt to surrounding norms and expectations, socially constructing their roles and identities (Kjaer, 2004, p. 13). I would label Kjaer’s approach cultural since it focuses on the sense-making agent, using concepts such as identity, norms and values. As I have outlined earlier, processes of identification, reflexive activities of self-expression through online writing, are increasingly important aspects in digital late modernity. Such processes should therefore be underlined for understanding political participation among free and governed citizens. This more expressive rationale for participation diverges from instrumental and communicative approaches. Expressive is a notion I borrow from a study of voting behaviour in the 90’s by

Brennan and Lomasky (1993, see also Engelen, 2006). The authors argue for expressive rather than individual preferences trying to understand why people vote. While self-interest is dominant in market behaviour, this is not applicable to voting behaviour, since agents are non-decisive at the ballot box compared to in the market. For example, if you buy an apple, you are indeed going to have the apple, but if you vote Liberal you cannot be certain the Liberal Party will win the elections. Therefore considerations that predominate at the market cannot be presumed to predominate at the ballot box. Where market behaviour reflects agents’ self-interest, voting reflects agents’ expressive preferences (Brennan & Lomasky, 1993). In other words choosing apples over bananas is different from expressing a preference for liberal politics over conservative politics. I have applied the argument for expressive preferences to political participation generally (see Svensson J., 2008b), and I believe this is particularly the case in online social networking sites (see Svensson J., 2011). For example joining a cause on Facebook is neither about satisfying instrumental self-centred needs nor to communicate for enlightenment. People are constructing, negotiating and maintaining themselves on social networking sites making them primarily spaces for identity construction and maintenance (see Donath & boyd, 2004). When people chat together, form community groups, join online petitions, they produce meanings, identities, communities, public will, and above all, they express and publish themselves. A focus on processes of identification concerns expressing, negotiating and maintaining discourses in order to make participation meaningful and relevant. This is neither communicative nor instrumental rationality but rather expressive rationality. Participants are motivated by a will to express, perform, maintain, create and recreate identities and their meanings. Expressive rationality does not render instrumental and communicative rationality inadequate: it transcends this dichotomy. From an expressive

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rational perspective we can understand political participation whether citizens are motivated by pre-established self-interests or not, and whether these will change during the deliberation or not. Citizens pursue the goals and interests that give meaning to their lives on equal terms with others (Bellamy, 2008). These goals and interests may be self-centred as well as altruistic: hence both instrumental and communicative rationality may provide powerful discourses around which to relate expressions of yourself, and meanings of your participations. Citizen participation is thus motivated by meaningful and possible ways/ loci for expressing, maintaining and performing relevant identities. Civic disinterest can be understood as a lack of meaningful possibilities to express, maintain and renegotiate identities, or simply a lack of relevant identities for making participation meaningful (for a more in-depth treatment on expressive rationality see Svensson J., 2008b) When identity becomes the organizing principle in digital late modernity, citizenship - and in the long-term democracy - relies on individuals (semi)publicly expressing their views on the organization and structuring of society. The Internet and digital environment provide us with such spaces (see Graham, 2009; Oostveen, 2009; Svensson, A., 2010). Democracy involves supporting and creating institutions and participatory processes that facilitate the construction, maintenance and development of such political identities (Kjaer 2004, p. 13).

IDENTITY AND POWER IN NETWORKED SOCIETIES The negotiation of identity becomes more and more important as a source of meaning-making, especially in de-traditionalized, networked and late modern societies with a shattering of common frames of reference (Castells, 2000, p. 27). We organize meaning from supposed mental images of who we want to be, and participation and politics are constructed around identifications,

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historically given and geographically rooted, as well as newly negotiated in our hunt for meaning (Castells, 2000, p. 45). Participating as an ordinary member of a political community in contemporary digital late modernity implies getting involved, using existing institutions or organizations, practicing one’s rights and duties, discussing, giving way to one’s imagination et cetera (Bang, 2003, p. 11). Such public communicative activities are self-referential but also more fluid, non-planned, impulsive and opaque. This explains why protest still occurs (both online as well as offline), given protestors’ awareness of their slim possibilities to influence policy makers. From an instrumental perspective, such protesting would be difficult to explain. However, using expressive rationality as a model, an understanding of protesters emerges, where they negotiate themselves for example as peace loving or environmentally conscious. Identities give both impulses for participation, and meaning to their actions. Here, identification is understood as the process through which a social actor understands him/ herself, the process of attaching/constructing/making meaning out of one’s self, one’s life and ones’ actions (Castells, 1998, p. 20). Identification often takes its form from positioning (Harré & Moghaddam, 2003) or reflexive self-biographization (Giddens, 1991). In my previous research, I witnessed how positioning oneself as a concerned parent became a prominent position for participating in a municipal deliberative project (Svensson J, 2008a, pp. 213-223). The construction of one person as a mother that cared for the safety of her children and those in the neighbourhood, and doing so in front of neighbours and at municipally organized meetings, made participation meaningful and provided her with an understanding of herself as an actor in municipal politics. It is here we need to bring power into the discussion of governance and networks in digital late modernity. Cruikshank (1999, p. 34) points out that contemporary non-participation and political disinterest places a strain upon liberal democratic

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government, which is one explanation for the increase of web-deliberations within parliamentary settings (see Kies, 2010). But this will to empower through regimes of participatory democracy is both enabled and constrained by relations of power (Cruikshank, 1999, p. 2). A discussion board on a municipal webpage for example may very well be a way for politicians to increase participation with the only purpose of solidifying the platform that the political representatives are dependent on for legitimizing their exercise of power (see Åkerström, 2010). Non-regulated experiments of e-governance, enabled by democratically elected representatives, could be considered a benevolent gesture towards the citizens and based on a genuine wish to be in dialogue with them. But the outcomes of these deliberations are entirely in the hands of the elected politicians: they will either ignore or implement them. My own research in a Swedish municipality reveals an instrumental use of citizen deliberations by elected politicians (see Svensson J., 2008a, pp. 64-68). When not consistent with their own opinions, it was easy to dismiss these deliberations as non-representative, since participation was voluntary and self-selected. The quest for empowering citizens through deliberations within representative democracy was embedded in a hierarchical discourse of governance with all of the asymmetrical power relations attached to it (see also Cruickshank, 1999, p. 3). Power within state-citizen relationships are thus both individualizing and totalizing (Foucault, 1994, p. 325). In studies of contemporary processes of e-governance, it thus becomes important to find out whether we are witnessing a qualitative change of state control or only a formal change of its exercise (see Mayntz, 2003, p. 31). It is true that governance actors increasingly involve non-governmental actors, but policies still have to be approved by elected bodies, and governments still have to put them in motion (Kjaer, 2004, p. 44). With the Internet it can be argued that state control is diminishing (Shirky, 2009), but legal ratification is still within the realm of the state.

In a similar manner, Castells (2000, p. 36) also reminds us that we need to consider the state as a central factor behind technological evolution or lack thereof. Networks have thus not superseded a state-centered hierarchical policy-making model but rather supplemented it, pushing actors to adapt to it (Kjaer, 2004, p. 44). Hence we are navigating a terrain of governance though hierarchies, markets as well as networks. The state is becoming less relevant as a locus of power, but it is not out of the game pad. Power is no longer entirely concentrated in the state, capitalist organizations or media but dispersed in global networks of money, power, information and images. New power relations lie in information codes and representing images around which societies organize their institutions and around which people construct their life, narratives, and meanings that in turn motivates participation or not. In digital late modernity, we should direct our attention to online social networking platforms, where processes of identification are increasingly taking place. From an expressive point of view, it is quite rational to use self-referential testimonials in self-selected networks, as well as practices of explicit node-connections, in order to attach supposed connotations to negotiate your own individuality. But to investigate power relations through meaning-making, we need to ask which nodes are prominent to connect to and why, and who is included or excluded in this process. Since networks are based on reciprocity and trust, rather than on command and control, they are much more difficult to hold accountable (Kjaer, 2004, pp. 43, 50). This implies that mechanisms of power are more complex, finer and more difficult to grasp in a network full of interdependent nodes and connections. For example, the mere possibility for equal participation affects how citizens regard their other duties such as abiding laws, paying taxes et cetera (Bellamy, 2008). Power is both voluntary and coercive at the same time (Cruikshank 1999, p. 32, 45; Foucault, 1994, p. 217). For governing free individuals, justice and

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equality become important as social bonds that tie free individuals together as citizens in a political community. The promise of just and equal participation motivates us to collaborate with our fellow citizens but also to accept decisions counter to our own opinions. This is the very definition of power, to impose will and shape the wants of others (Castells, 2000, p. 38; Foucault, 1994, p. 324; Kjaer, 2004, pp. 50-51). Power mechanisms in networks are relational and may take new routes through the maze of interconnected nodes. Critical empirical studies of governance in digital late modernity should thus not forget the question of what and who is governing the power relations in the network. Bringing culture to governance theory acknowledges the importance of community values and norms for study (Hofstede, 1991, pp. 16-19). Culture in the form of shared norms and values is important for understanding power relations between free and governed individuals. For example, how can communication between a government and its citizens in a political community structure, and be structured, by values and norms (Bang, 2003, p. 3)? Some values and norms are sustained by interpersonal networks, and as such, they are also sites of power (Kjaer 2004, p. 51). This is a form of power that rarely has a center, often coming from many directions, and is both repressive and productive in that it produces identities, relations and capabilities important for sustaining democratic societies (Kjaer 2004, p. 52). In the words of Foucault (1994, p. 325), power is both individualizing and totalizing at the same time. We are thus navigating a social constructivist terrain of identification and power through communication and participation, which in turn governs our behaviour living together in political communities and societies. Social constructivism and a cultural approach emphasize the meaningful character of human (inter)action, and the construction of meaning as central for explaining human action (Bevir, 2009: 21). Thus power is also to be found in the struggles and contests over meaning.

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Governance through norms and values, sustained in networks, aiming at guiding and shaping the actions of others rather than forcing control and domination, is a more subtle and sophisticated way of understanding power. In this way, Cruikshank (1999, p. 4) argues that citizens are not born, but made through democratic modes of governance (see also Foucault, 1994). Inhabitants are subject to power even as they participate as citizens in their own right and by their own will (Cruikshank, 1999, pp. 20, 24). Even when they do not participate, they are subject to power since politicians and government officials envision citizens (Coleman, 2010), which governs the way citizens will be addressed and how politicians will interact with them (not least of which the contemporary increase of deliberative experiments is an example). But citizens also envision themselves and political participation is experienced by every individual as a project also linked with the ongoing pursuit of the self (Bang, 2003, p. 7). Bruns (2009, p. 11) discusses online communities as groups of people with a set of shared values, beliefs, norms and ideas. These shared values, norms and ideas then constitute the core of the political community, out of which authority is constituted and claimed and through which power is exercised. The presence of such an authority may enforce free individuals to act contrary to their direct desires (Bevir, 2009:3). Cruikshank (1999, p. 32, 45) also discusses political power as an ongoing result of forming and reforming authority. If authority is claimed through shared values and norms that constitute the core of the political community, it is in the claiming of community authority, through the negotiation of its values and norms, that power manifests itself. For example, in my current research project studying citizen activism online in southern Stockholm, I joined an online petition for the transformation of the nearby abandoned fire station into a culture centre. I soon realized that online visibility through activities such as facebooking and twittering would get me closer to the core of the activist group.

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By echoing popular argument through hashtag twittering and through posting encouraging entries on the Facebook fan page, I was not only showing my sympathy for the participatory and expressive values of the activist group, but I also reinforced these values and the authority of certain other active group members by commenting and re-tweeting their tweets (see also boyd, Scott & Gilad, 2010). Norms and values are important for understanding how to govern free individuals. It is then through the concept of authority we can link norms and values to relations of power. In other words, adherence to, and socialization into, identification with community values and norms becomes important for determining power relations within a community (Bruns, 2009, p. 5). These community norms and values are not fixed but subject to constant renegotiation and gradual change (Bruns, 2009, p. 11).

CONCLUSION: TOWARDS A CRITICAL STUDY OF CULTURAL E-GOVERNANCE Today it no longer makes sense to speak of the political, the social, the technological, the private or the public as separate domains. Without an analysis of how cultures are transformed through digital technology, and how technology is transformed through culture, the overall understanding of our society will escape us (Castells, 2000, p. 377). Hence, changes in both the social and technological opens up for new possibilities for political action. These changes need to be assessed from new vantage points, vantage points that need to be both transdisciplinary and critical. Critical studies of cultural e-governance should therefore attend to citizenship practices in networks and the power relations that govern such practices and networks. As critical scholars we have to bring power into the discussion of governance, not only how citizens are constituted by networks and society, but also how citizens are constituted

by themselves, together with, and through overlapping, private, professional and self-selected (semi)public networks. This is the reason why governance is such a useful point of departure, by its way of comprising agency both from an individual as well as from a collective perspective. The concept of networked individualism is helpful in studies of governance since it links the self to different collectives in digital late modernity. Such processes of identification are connected to our perceptions of others and ourselves as citizens, and this takes us beyond deliberative and instrumental measures for understanding and assessing participation and governance. Instead, we should investigate which nodes are important when negotiating and maintaining our selves in networks and how we move between different networks of political communities. New forms of governance in today’s networked societies and digital late modernity highlight the ways in which forms of power and authority can secure order even in the absence of hierarchical state activity (Bevir, 2009, p. 3). The question governing this chapter concerns how to understand being governed but at the same time being free in an increasingly complex, dynamic, digital and late modern world (see also Bang 2003, p. 2). Studies of governance contribute with a way of combining rule-structures with agency, theorizing the frameworks within which both citizens and officials act and where political participation occurs (Kjaer, 2004, p. 10). And this is where I believe we need to add to the argument that identifications connected to our perceptions of others and ourselves as citizens are important for understanding being governed and free at the same time (see also Coleman, 2010). In late modernity, political authority identifies forms of governance where self-reflexivity and self-expression are gaining an ever more prominent place (Bang, 2003, p. 9). Hence political authority is no longer associated with relations of subordination and one-way control, but also with a set of more flatly operating networks of political communities, where institu-

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tions and individuals are interlocked in multiple, reciprocal relations of autonomy and dependence (Bang, 2003, p. 8). Indeed, the choosing, deciding, shaping human being who aspires to be the author of his or her own life, the creator of an individual identity, is the central character of our time (Bang, 2003, p. 10). In other words, how do people and networks create new identities and new forms of self- and co-governance, and how do they use these forms to understand themselves as autonomous individuals in late modernity as well as members of a political community (Bang, 2003, p. 3)? The issues at stake are citizenship identifications and the construction of civic identities. Following this line of arguing, mechanisms governing citizenship perceptions and identifications become pivotal for the study of power and its relations in democratic societies. Hence we need to study networks of political communities to identify what governs citizenship perceptions, identifications and how this is done. This is an article written from a Western, maybe even Scandinavian, perspective. Individualism, reflexive biographization, expressive rationality is something mostly an elite middle class in the northwest are privileged enough to be preoccupied with. But in connected societies, the Internet is increasingly considered and used as a new arena for political participation and action, both by established political communities (see Anduiza, 2009), as well as by activist communities (see Oostveen, 2009), resulting in lowering the threshold for participation and action, with new and different forms for engaging in politics, sometimes with the political even popping up in other non outspokenly political communities all over the socio-cultural landscape (Graham, 2009; Hermes, 2006; Svensson A., 2010). Convergence, predicting a loss of control of old media institutions, together with bottom-up perspectives on political participation and municipal deliberative experiments, all suggest more possibilities for ordinary citizens to express themselves and organize group action, in a sense implying that

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everything is in the hands of the connected user. However, we need to be aware that processes of governance sometimes preserve existing power relations and we also need to be aware of the ways commercial interests are increasingly monetizing on the information we generate about ourselves on for example social networking sites (see Andrejevic, 2007). Hence it is important not to put the issue of power aside, since communication in networks will be unequal, divisive and stratifying, with certain nodes in the networks of online communities being more important than others (Dobson, 2003, p. 19). My aim has been to contribute to the academic discussion with a theoretical framework useful for studying cultural e-governance. Critical empirical studies of governance in digital late modernity should address what and who is governing power relations in the network(s) of political communities. By doing this, I believe we need to acknowledge the importance of values and norms to study and understand power and governance in these communities and networks. We are all constrained by cultural values and norms setting up boundaries of appropriate behaviours. Within these boundaries we choose among permitted actions, using a logic of consequentiality (Kjaer, 2004, p. 8). However, norms and values rarely give us specific guidelines as to which exact action to take. Within the rules in which we find ourselves, we can choose between various courses of action. This is being free and ruled at the same time. In digital late modernity and network society, what formal and informal rules, behavioural codes and norms set up boundaries of appropriate actions? This is what studies of critical cultural e-governance should look into. The focus on social networking sites and techno-cultural processes in late modernity has changed the focus of citizenship and participation, giving priority to processes of identification, selfrealization and expression. Thus digital media not only consists of hardware and software, but also meaningware. Meaningware draws attention to

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expressive forms, textuality and meaning-making (Liestöl, 2007), implying an expressive rationale in the use of digital media. People now have access to several digital tools that let them share expressive contents such as writing, images and video. Hence ‘e’ in e-governance signifies not only electronic but also points towards the expressive. Arenas where users can express themselves are created and people are encouraged to share their thoughts and points of view.

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Castells, M. (2000). Informationsåldern. Ekonomi, samhälle och kultur.: Vol. 1. Nätverkssamhällets framväxt (2nd ed.). Göteborg, Sweden: Daidalos. Castells, M. (2001). The Internet galaxy: Reflections on the Internet, business and society. Oxford, UK: Oxford University Press. Cohen, J. (1996). Procedure and substance in deliberative democracy. In Benhabib, S. (Ed.), Democracy and difference of the political. Princeton, NJ: Princeton University Press.

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Coleman, S. (2010). Making citizens online. From virtual Boyscouts to activist networks. In Olsson, T., & Dahlgren, P. (Eds.), Young people ICTs and democracy. Theories, policies, identities and websites. Göteborg, Sweden: Nordicom. Cruikshank, B. (1999). The will to empower: Democratic citizens and other subjects. Ithaca, NY: Cornell University Press. Dahlgren, P. (2006). Civic identity and Net activism: The frame of radical democracy. In Dahlberg, L., & Siapera, E. (Eds.), Radical democracy and the Internet. London, UK: Palgrave MacMillan. Dahlgren, P. (2009). Media and political engagement. Citizens, communication, and democracy. New York, NY: Cambridge University Press. Dobson, A. (2003). Citizenship and the environment. New York, NY: Oxford University Press. Donath, J., & boyd, D. (2004). Public displays of connection. BT Technology Journal, 22(4). doi:10.1023/B:BTTJ.0000047585.06264.cc Dryzek, J. (2000). Deliberative democracy and beyond. Liberals, critics, contestations. Oxford, UK: Oxford University Press. Ekelin, A. (2007). The work to make eparticipation work. Blekinge Institute of Technology Doctoral Dissertation Series No 2007: 11. Karlskrona, Sweden: Blekinge Institute of Technology. Engelen, B. (2006). Solving the paradox: The expressive rationality of the decision to vote. Rationality and Society, 18(3). Foucault, M. (1994). Power. Essential works of Foucault 1954-1984 (Faubion, J. D., Ed.). Vol. 3). London, UK: Penguin Books. Frau-Meigs, D. (2007). Convergence, Internet governance and cultural diversity. In Storsul, T., & Stuedahl, D. (Eds.), Ambivalence towards convergence. Digitalization and media change. Göteborg, Sweden: Nordicom.

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Giddens, A. (1991). Modernity and self-identity: Self and society in the late modern age. Cambridge, UK: Polity Press. Graham, T. S. (2009). What’s wife swap got to do with it? Talking politics in the Net-based public sphere. PhD Dissertation, Amsterdam School of Communication Research: University of Amsterdam. Habermas, J. (1996). Kommunikativt handlande: Texter om språk rationalitet och samhälle (2nd ed.). Göteborg, Sweden: Daidalos. Hall, C. (2005). The trouble with passion. Political theory beyond the reign of reason. New York, NY: Routledge. Harré, R., & Moghaddam, F. (2003). The self and others: Positioning Individuals and groups in personal, political and cultural contexts. Westport, CT: Praeger Publishers. Hermes, J. (2006). Hidden debates: Rethinking the relationship between popular culture and the public sphere. Javnost-The Public, 13(4). Hindess, B. (1988). Choice, rationality and social theory. London, UK: Unwin Hyman. Hindman, M. (2009). The myth of digital democracy. Princeton, NJ: Princeton University Press. Hofstede, G. (1991). Organisationer och kulturer. Om interkulturell förståelser. Lund, Sweden: Studentlitteratur. Isin, E. F., & Turner, B. S. (2002). Handbook of citizenship studies. London, UK: Sage. Kies, R. (2010). Promises and limits of Web-deliberations. New York, NY: Palgrave MacMillan. doi:10.1057/9780230106376 Kjaer, A. M. (2004). Governance. Cambridge, UK: Polity Press. Lasch, C. (1991). The culture of narcissism. American life in an age of diminishing expectations. New York, NY: W. W. Norton & Company.

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Leet, M. (1998). Jurgen Habermas and deliberative democracy. In Carter, A., & Stokes, G. (Eds.), Liberal democracy and its critics. Cambridge, UK: Polity Press. Liestöl, G. (2007). The dynamics of convergence and divergence. In Storsul, T., & Stuedahl, D. (Eds.), Ambivalence towards convergence. Digitalization and media change. Göteborg, Sweden: Nordicom. Loader, B. D. (2007). Young citizens in the digital age: Political engagement, young people and new media. New York, NY: Routledge. Mayntz, R. (2003). New challenges to governance theory. In Bang, H. (Ed.), Governance as social and political communication. Manchester, UK: Manchester University Press. McGuigan, J. (2005). The cultural public sphere. European Journal of Cultural Studies, 8(4). doi:10.1177/1367549405057827 Micheletti, M. (2006). Communication and political understanding as political participation. In Eduards, M., Linde, C., & Segerberg, A. (Eds.), State of welfare: Politics, policies and parties in the post-national welfare society. Stockholm, Sweden: Stockholm University. Mueller, D. (1989). Democracy: The public choice approach. In Brennan, G., & Lomasky, L. (Eds.), Politics and process: New essays in democratic thought. Cambridge, UK: Cambridge University Press. doi:10.1017/CBO9780511528156.005 Muhlberger, P. (2006). Lessons from the Virtual Agora Project: The effects of agency, identity, information, and deliberation on political knowledge. Journal of Public Deliberation, 2(1). Norris, P., & Curtice, J. (2006). If you build a political website, will they come? The Internet and political activism in Britain. International Journal of Electronic Government Research, 2006(2).

Olsson, T., & Dahlgren, P. (2010). Young people ICTs and democracy. Theories, policies, identities and websites. Göteborg, Sweden: Nordicom. Oostveen, A. (2009). Citizens and activists: Analysing the reasons, impact and benefits of civic emails directed at a grassroot campaign. Paper presented at the Mediated Citizenship conference, University of Leeds, 17-18 September 2009. Pröitz, L. (2007). Mobile media and genres of the self. In Storsul, T., & Stuedahl, D. (Eds.), Ambivalence towards convergence: Digitalization and media change. Göteborg, Sweden: Nordicom. Roberts, B. (2009). Beyond the networked public sphere: Politics, participation and technics in Web 2.0. FibreCulture, 14. Shirky, C. (2009). Here comes everybody: How change happen when people come together. London, UK: Penguin Books Ltd. Sörbom, A. (2002). Vart tog politiken vägen? Om individualisering, reflexivitet och görbarhet I det politiska engagemanget. Stockholm, Sweden: Alquist & Wiksell International. Sörensen, E., & Torfing, J. (2008). Theories of democratic networked governance. New York, NY: Palgrave MacMillan. Stokes, G. (2005). Critical theories of deliberative democracy and the problem of citizenship. Paper presented at the Institute for Citizenship and Globalisation seminar, Deakin University, Burwood, Australia. Svensson, A. (2010). Young men, ICTs and sports. Fan cultures and civic cultures. In Olsson, T., & Dahlgren, P. (Eds.), Young people ICTs and democracy. Theories, policies, identities and websites. Göteborg, Sweden: Nordicom. Svensson, J. (2008a). Kommunikation, medborgarskap och deltagardemokrati. En studie av medborgarutskotten i Helsingborg. PhD Dissertation. Lund Studies in Media and Communication 10. Lund: Medie- och kommunikationsvetenskap. 125

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Svensson, J. (2008b). Expressive rationality: A different approach for understanding participation in municipal deliberative practices. Communication, Culture & Critique, 1(2). doi:10.1111/j.17539137.2008.00019.x Svensson, J. (2011). (Forthcoming). Theorizing citizenships in late modern ICT societies. Triple, C. Terranova, T. (2004). Network culture: Politics for the information age. London, UK: Pluto Press. Thörn, H. (2002). Nya sociala rörelser och politikens globalisering. Demokrati utanför Parlamentet? In Anmå, E., & Ilshammar, L. (Eds.), Den gränslösa medborgaren. En antologi om en möjlig dialog. Stockholm, Sweden: Agora. Walther, J. B & Van Der Heide, B. & Kim, S. & Westerman, D., & Tong, S. T. (2008). The role of friends’ appearance and behavior on evaluations of individuals on Facebook: Are we known by the company we keep? Human Condition Research, 34.

ADDITIONAL READING Andrejevic, M. (2009). Critical media studies 2.0: An interactive upgrade. Interactions. Studies in Communication and Culture, 1(1). Bang, H. (2003). Governance as social and political communication. Manchester, UK: Manchester University Press. Beck, U. (1992). Risk society: Towards a new modernity. London, UK: Sage. Carey, J. W. (1992). Communication as culture. Essays on media and society. New York, NY: Routledge. Castells, M. (1996 and 1997). The information age. Economy, society and culture, vol. 1and 2. Malden, MA: Blackwell.

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Cruikshank, B. (1999). The will to empower: Democratic citizens and other subjects. Ithaca, NY: Cornell University Press. Donath, J., & boyd, D. (2004). Public displays of connection. BT Technology Journal, 22(4). doi:10.1023/B:BTTJ.0000047585.06264.cc Ekelin, A. (2007). The work to make eparticipation work. Blekinge Institute of Technology Doctoral Dissertation Series No 2007: 11. Karlskrona, Sweden: Blekinge Institute of Technology. Giddens, A. (1991). Modernity and self-identity: Self and society in the late modern age. Cambridge, MA: Polity Press. Hindman, M. (2009). The myth of digital democracy. Princeton, NJ: Princeton University Press. Isin, E. F., & Wood, P. (1999). Citizenship & identity. London, UK: Sage. Kies, R. (2010). Promises and limits of Web-deliberations. New York, NY: Palgrave MacMillan. doi:10.1057/9780230106376 Lasch, C. (1991). The culture of narcissism. American life in an age of diminishing expectations. New York, NY: W. W. Norton & Company. McGuigan, J. (2005). The cultural public sphere. European Journal of Cultural Studies, 8(4). doi:10.1177/1367549405057827 Micheletti, M. (2006). Communication and political understanding as political participation. In Eduards, M., Linde, C., & Segerberg, A. (Eds.), State of welfare: Politics, policies and parties in the post-national welfare society. Stockholm, Sweden: Stockholm University. Shirky, C. (2009). Here comes everybody: How change happen when people come together. London, UK: Penguin Books Ltd. Storsul, T., & Stuedahl, D. (2007). Ambivalence towards convergence: Digitalization and media change. Göteborg, Sweden: Nordicom.

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Svensson, J. (2008b). Expressive rationality: A different approach for understanding participation in municipal deliberative practices. Communication, Culture and Critiques, 1(2). Terranova, T. (2004). Network culture: Politics for the information age. London, UK: Pluto Press.

KEY TERMS AND DEFINITIONS Citizenship: Citizenship consists of three components: membership, political participation, rights and duties. The components stand and fall together, but participation is dominant. Membership and participation are tied to a political community. Rights and duties are attached to this community together with the possibility of free and equal participation in the community’s political processes. Cultural Governance: Governance concerns how to govern, and culture implies both a way of life as well as affective modes of communication through media and popular culture. Cultural governance thus addresses issues of everyday life and how we are governed through norms, values and more reflexive processes of identification provided to us through our environments, upbringing, media and popular culture. Expressive Rationality: Behavioral motivation through identity expression, identity maintenance or identity negotiation. Political participation for example is motivated by meaningful and possible ways/ loci for expressing, maintaining and performing relevant identities. Civic apathy can be understood as a lack of meaningful possibilities to perform, express and maintain identities, or simply a lack of relevant identities for making participation meaningful. Late Modernity: Our time is often labelled late modern by sociologists and refers to a lacking a sense of social belonging and a growing sense of personal autonomy, together with increasing pluralization, fragmentation and nichification of

society along lines of ethnicity, media consumption, cultural interests, life styles, interests and tastes. Network: A group of actors and the relationships between them, often used within governance studies indicating a type of social coordination and organization different from hierarchies and markets. When society’s dominant processes and functions are organized more and more as networks, it becomes a social morphology influencing everything from processes of production to experiences, power and culture. Networked Individualism: Networked individualism is used to describe an important form of sociability emerging beyond/between societies, individuals and technologies. This sociability is marked by both increasing dominance of networks, and increasing individualization in late modernity. Political Community: Community is a group of people bounded by common interests and/ or with a set of shared values, beliefs, norms or ideas, and the political deals with how society should be structured, how to divide its common goods equally. Political community is then an ensemble of people addressing the organization of society and making sense of this address in a similar way. Political Participation: Political participation and citizenship are tightly interlinked and are best understood as practiced in relation to an authority. When people participate and act upon shared meanings, address issues of the structure of society in relation to an authority, they enter into the practice of citizenship. In this way we can distinguish between political participation from other kinds activities. Power: Power occurs when A imposes will, or shapes the wants, needs and wishes of B. Process of Identification: A communicative process through which a social actor links him/ herself to society and understands him/ herself, an understanding that provides the social actor with meaning.

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Chapter 7

A Systems Theory Approach to Electronic Voting Complexity Dimitrios Zissis University of the Aegean, Syros, Greece Dimitrios Lekkas University of the Aegean, Syros, Greece Argyris Arnellos University of the Aegean, Syros, Greece

ABSTRACT Information and Communication Technologies are being evaluated as an efficient and effective way to modernize the electoral process. These initiatives have initially been met with skepticism, as a number of affecting fields operate in concert, to structure what is perceived as the dimensions of electronic voting. This chapter adds to the existing body of knowledge on e-voting, while attempting to exorcise complexity and reevaluate under a perspicacious vision, the conflictual issues, by adopting a methodology with the ability to tackle highly unstructured problem settings. For this, systems theory is employed to provide a framework for perceiving and analyzing highly complex systems in an interdisciplinary method, as well as for designing within and for them. In this context, electronic voting is identified as a ‘soft’ illstructured human activity system, and soft systems thinking is applied to bring about improvement by resolving complex issues and providing a clearer perspective of related interdependencies.

INTRODUCTION The end of the twentieth century saw the economic market emerge as a mechanism for the regulation of complex social systems through decentralization and anonymity. The theory of exchange, put economic relationships onto the center stage of DOI: 10.4018/978-1-4666-0116-1.ch007

international affairs, replacing military relationships of the past; no longer did politics govern society, but the market instead. This faceless governor, appeared immune to corruption but was apparently profoundly damaged to the core. The financial crisis, which has led to global recession, in turn led to losing confidence in the system of governance, projecting the necessity of redefining methods of participation in sovereignty. In the

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A Systems Theory Approach to Electronic Voting Complexity

midst of a global economic crisis, institutions of sovereign are being reevaluated under perspicacious vision, as calls are being made for increased openness and transparency of transactions. In exploring methods of evolving participation in democracy, Information and Communication Technology (ICT) takes central status (Fraser, 2006), as electronic participation channels present a bidirectional communication channel between the “people” and their elected representation Fuchs, 2006; Won, Yeo, Lee, & Arabi, 2007). Over recent years, countries and states globally have attempted to alleviate problems of bureaucracy and improve administrative services by providing their citizens with electronic services. Recognizing the benefits offered by electronic solutions, political parties are using popular information systems to mobilize their core supporter groups and attract younger voters, hoping to alleviate the low voter turnout problems and demonstrate a versatile evolutionary profile. Empowered by timely information and by deliberations of the discursive community, citizens may participate effectively in decision making processes, by making use of e-participation solutions. Voting is the most vital citizen participation process in democracy, as it can inherently facilitate the expression of general will. Viewed as the ultimate goal for all electronic government attempts, is the digitalization of this process, so as to offer citizens with a timely, location independent and transparent mean of participation in sovereign. Furthermore, it offers great advantages to the public bodies responsible for election administration; ballots can be provided in any language, made fully accessible for individuals with disabilities (i.e. through large fonts or the use of audio files) and in versatile formats of varying content, as the situation arises (Frith, 2007). E-voting administration is also simplified, since the number of steps involved (i.e. the distribution, the voting itself, vote collection and the counting of ballots) can all be accelerated (EU Recommendation Rec (2004) 11,2004).

The field of electronic democracy and especially electronic voting is mostly undiscovered territory and its dimensions are still unexplored, as debates on the matter are still conflictual. Concerns are often voiced on security issues, but also sociological and political implications, that may be raised from the introduction of this technology. Digitalizing communications between governments and the “people” is a process necessary to be viewed within a wider framework. It is crucial to view issues involving electronic democracy in clear perspective and bear light on their true nature. Electronic voting is a social and political project much more than a technical project. It is seen as bringing a social improvement in it by widening the circle of citizens involved in politics and political decision-making (Republique Et Canton De Geneve, 2009).Unmistakably an examination of e-democracy, and evidently e-voting cannot be performed in vitro; in isolation from other scientific and academic fields, as a purely technological approach would lead to sterile “engineering” results, as a number of affecting fields operate in concert, to structure what is perceived as the field of electronic voting. For this it is necessary to adopt a transdisciplinary methodology with the ability to tackle highly unstructured problem settings. A more suitable theoretical guideline can be found in the aspects of systems theory that deal with high-risk technologies. Systems theory provides a framework for describing, modeling, analyzing, and designing social systems; developing and institutionalizing changes to social systems; and managing systems and system change (Moynihan, 2004). Senge (Senge, 1990) ties a systems approach to organizational learning, to understanding complex, recurring interrelationships through feedback loops and directing purposeful change. In this chapter, systems thinking is adopted to illuminate the quandaries of electronic voting; a Soft System Methodology (SSM) is adopted to identify and define the true dimensions and implications involved in the adoption and development of an optimal information system.

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PARTICIPATION IN AN ELECTRONIC DEMOCRACY Since the publication of “the nerves of government” (Deutsch, 1963), ICT has been considered vital for political systems. Information and communication technologies were recognized to have tremendous administrative “potential” (Yildiz, 2007), ICTs could help create a networked structure for interconnectivity (McClure, 2000), service delivery (Bekkers & Zouridis, 1999), efficiency and effectiveness (Heeks, 2001), interactivity (DiCaterino & Pardo, 1996), decentralization, transparency (La Porte, DeJong, &Demchak, 1999), and accountability (Ghere& Young, 1998; Heeks, 1998, 1999). E-government is defined as “utilizing the Internet and the World-Wide-Web for delivering government information and services to citizens” (UN & ASPA, 2001). It may also include using other ICT’s in addition to the Internet and the Web, such as “database, networking, discussion support, multimedia, automation, tracking and tracing, and personal identification technologies” (Jaeger P.T., 2003). Electronic Democracy is identified as the electronic representation of democratic processes (Von Lucke, 2004), which in turn are divided into the sub processes (Parycek, 2003): • •

Information acquisition, Formation of an opinion and expressing the decision itself.

Internet can be perceived as an evolution of current communication linkages between political representatives and citizens. Using ICT to engage the public in the democratic processes is named electronic participation. E-Participation can be understood as technology-mediated interaction, between the civil society sphere and the formal political sphere, and between the civil society sphere and the administration sphere (Sanford, 2007). The task of e-Participation is to empower people with ICT, so as to be able to act in bottom-

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up decision-making processes and to develop social and political responsibility. Therefore, e-Participation is a means of empowering the political, socio-technological, and cultural capabilities of individuals; allowing the opportunity for people to involve and organize themselves in the information society (Fuchs, 2006). The DEMO-NET research report (Fraser, 2006), funded by the European Community and prepared in collaboration with member states, aimed at structuring and documenting the use of ICT to enhance e-participation. It resulted on the schema bellow to express the level of engagement in e-Participation •

•

•

•

e-Informing refers to a one-way channel that provides information from either government such as official websites or Citizens such as ePetitions. e-Consulting is a limited two-way channel where official initiatives by public or private agencies allow stakeholders to contribute their opinion, either privately or publicly, on specific issues. e-Collaborating is a more enhanced twoway channel. It acknowledges an active role of all stakeholders in proposing and shaping policy – although the responsibility for the final decision rests with officials. e-Empowering refers to the placement of the final decision in the hands of the public. The participation areas have been identified as:

•

•

•

Information Provision: ICT to structure, represent and manage information in participation contexts Community building / Collaborative Environments: ICT to supporting individuals who come together to form communities, to progress shared agendas and to shape and empower such communities Consultation: ICT in official initiatives by public or private agencies to allow stake-

A Systems Theory Approach to Electronic Voting Complexity

•

•

•

• • • • •

holders to contribute their opinion, either privately or publicly, on specific issues Campaigning: ICT in protest, lobbying, petitioning, and other forms of collective action (except of election campaigns, see electioneering as participation area) Electioneering: ICT to support politicians, political parties and lobbyists in the context of election campaigns Deliberation: ICT to support virtual, small and large-group discussions, allowing reflection and consideration of issues Discourse: ICT to support analysis and representation of discourse Mediation: ICT to resolve disputes or conflicts in an online context Spatial planning: ICT in urban planning and environmental assessment Polling: ICT to measure public opinion and sentiment Voting: ICT in the context of public voting in elections, referenda or local plebiscites

Recent global policies and initiatives are targeting at improving collaboration in e-government, by increasing business interoperability and citizen participation. Electronic voting is viewed as a critical constituent for improving citizen collaboration, considered as a means to further enhance and strengthen the democratic processes in modern information societies(EU Recommendation Rec, 2004). Electronic voting is viewed as having the capacity to engage citizens in a wider spectrum than what is currently available in a conventional electoral process, as it provides citizens with a means to express their timely opinion on civil affairs such as legislation, representatives and such. Currently a universally acceptable definition for e-voting is lacking. The term is being ambiguously used for a variety of IS’s with a wide spectrum of tasks; ranging from vote casting over electronic networks to electronic voter registration. In general, two types of e-voting can be identified (Buchsbaum, 2004):

•

•

e-voting supervised by the physical presence of representatives of governmental or independent electoral authorities, like electronic voting machines at polling stations or municipal offices, or at diplomatic or consular missions abroad; remote e-voting within the voter’s sole influence, not physically supervised by representatives of governmental authorities, like voting from one’s own or another person’s computer via the internet (i-voting), by touch-tone telephones, by mobile phones (including SMS), or via Digital TV, or at public open-air kiosks - which themselves are more venues and frames for different machines, such as; PCs or push-button voting machines, with or without smart card readers.

E-voting is believed to provide a macro economical cost efficient method for increasing election accuracy and efficiency (Clark, 2005; Hof, 2004; Prosser, 2003). Additionally, having the capacity to escalate usability and accessibility (EU Recommendation Rec(2004)11). These Information Systems, attempt to increase election turnout while benefiting transparency and openness in democracy. Numerous governments are currently in the process of evaluating electronic voting solutions, by holding a succession of trials and pilots to determine the benefits and drawbacks offered by their deployment. As an increasing number of countries and states have been approaching this issue (including the United States, France, United Kingdom, Estonia, Switzerland, Canada India, Brazil, the Netherlands and others), electronic voting has become an all-important subject, as concerns over privacy, confidentiality, efficiency but also sociological, legal and political impacts, have been raised. Frequently, traditional approaches to designing highly complex human centered information systems miss their design goals. The difficulty within the design process, lies within the con-

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cept of capturing a “complete and correct set of requirements (Davis, 1985, pg 474) for an IS development sweeps away the multiple perspectives and ambiguities of organizational life and hides them under the carpet of the mechanistic metaphor” (Checkland, 1997, pg 73). Experience has shown that even well-assembled information systems for ‘soft’ human activity systems have collapsed, because their shortcomings became apparent during their operation (Iivari, 1991).Given the high consequences of election failures, a more suitable theoretical guideline can be found in the aspects of systems theory, that deals with high-risk technologies. Systems thinking has been defined as an approach to problem solving, by viewing “problems” as parts of an overall system, rather than reacting to specific parts, outcomes or events and potentially contributing to further development of unintended consequences. This chapter views the problem situation of electronic voting as a ‘soft’ ill-structured human activity system, and applies soft system thinking to illuminate its vast dimensions and interrelationships.

in most dictionaries it is defined within the context of biological or medical connotations; as a condition is described as being systemic if it pervades the body as whole. Systemic is more accurately defined as “of or concerning a system as whole”. The concept itself, begins with the most basic idea of systems thinking, namely that a complex whole may have properties which refer to the whole and are meaningless in terms of parts which make up the whole. Systems ideas constitute one particular set of intellectual constructs, one particular notation, which may be used to make descriptions which can then be tested against reality itself. “Systems thinking enables you to grasp and manage situations of complexity and uncertainty in which there are no simple answers. It’s a way of ‘learning your way towards effective action’ by looking at connected wholes rather than separate parts. It’s sometimes called practical holism.”(Open University, 2008). According to Senge (Senge, 1990):-

Systems Thought

“Systems thinking is a framework for seeing interrelationships rather than things, for seeing patterns rather than static snapshots. It is a set of general principles spanning fields as diverse as physical and social sciences, engineering and management”.

Nowadays it is becoming increasingly important, that we are able to consider not just of the simple processes, but gain knowledge of complex systems (Washington 1977). Professor J. Stiglitz, winner of the Nobel Prize in Economics, recently emphasized on this point when referring to the reasons that led the global economy into the recent financial crisis, stressing on the lack of a “systemic” view of the risks and challenges taken on by the involved stakeholders (Stiglitz, 2010, pg 149). Most literate individuals would raise an eyebrow on hearing the adjective ‘systemic’, as the most popular adjective of the noun ‘system’, is ‘systematic’. Systemic, is an adjective closely related to the school of systems thought, although

Systems thinking is used to address complex problems and the design of complex, mainly human-centered systems. It is a trans-disciplinary practice that can be applied to any field of science. Its origin can be traced back 2,500 years at least, when the idea of holism was first developed in ancient Greece. The crucial problem that science faces, is its ability to cope with complexity. Complexity in general and social phenomena, pose difficult problems for traditional scientific examination methods. Descartes’ second rule for properly conducting ones reason, i.e. dividing up the problems being examined into separate parts, the principle most central to scientific practice, assumes that

SYSTEMS THINKING

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this division will not distort the phenomenon being studied. But if we move beyond the physical regularities of the universe to apparently more complex phenomena; such as those of human society, how to make the separation, and how to know whether in the end it is legitimate to do so, are much harder questions to answer. If the investigation is to concern heat transfer, then it is not difficult, to draw boundaries round the area of investigation and to design experiments; if however the investigation is to be into, say, the phenomenon of voting, these things are much less clear; how to separate the phenomenon, what to leave in, what to leave out, are much harder to define (Checkland, 1999). The assertion that this viewpoint of traditional science is often too narrowly inclined towards reductionism, led to the development of systems thinking and General Systems Theory, in an effort to complement traditional science. General Systems Theory was originally proposed by biologist Ludwig von Bertalanffy in 1928 and soon became the hallmark of systems thinking. GST is defined as the scientific exploration of wholes (Systimata) or wholeness. Broadly speaking, GST and Theory of systems can be distinguished as “systems science”, i.e. scientific exploration and theory of systems in the various sciences and general system theory as doctrine of principles applying to all systems (Skyttner, 2002). Von Bertalanffy stated that “The notion of a system may be seen as simply a more self-conscious and generic term for the dynamic interrelatedness of components” (Bertalanffy, 1976). Since its original conception General Systems Theory has evolved as new conceptions, and mathematical models have been developed such as cybernetics, automata theory system analysis and others. Currently, properties which together comprise general systems theory of open systems include system interrelationships and interdependence of objects and attributes, system holism, system entropy, hierarchy, differentiation and others.

The notion of systems thinking was approached by engineers, which required solving problems of designing and implementing controllable complexes of equipment, rather than simple components. Systems’ thinking, defines two distinct types of problems with separate analytical approaches, ‘hard and ‘soft’. In hard systems analysis, the concept is that there is a system to be engineered and that this occupies an unequivocal place in a manifest hierarchy of systems. In soft systems, which include most human activity systems, considered at a level higher than that of physical operations, there shall always be many possible variation of the system to be engineered or improved, and system boundaries and objectives may well be impossible to define. In soft problems, the designation of objectives is itself problematic. Hard systems analysis of a weapon system, will always produce a definition of a weapon system; “soft” analysis might suggest disarmament, or political negotiation.

Soft System Methodology To deal with complexity in such soft fuzzy ill-defined problems, Soft System Methodology(SSM) was introduced (Checkland, 1999). SSM is an approach to solving complex unstructured human problem situations based on holistic analysis and systems thinking. SSM is a methodology that aims to bring about improvement in areas of social concern by activating the people involved in the situation into a learning cycle which is ideally never ending. The learning takes place through the iterative process, using systems concepts to reflect upon and debate perceptions of the real world, taking action and again reflecting upon the happenings using system concepts. The reflection and debate is structured by a number of systemic models. These are conceived as holistic ideal types of certain aspects of the problem situation rather than as accounts of it. It is given, that no objective and complete account of a problem situation can be provided. Therefore, systems thinking and,

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in particular, the soft systems approach are used for (a) identification and understanding of the problem(s), and (b)identification, understanding, and formulation of the knowledge relevant to these problems (knowledge elicitation) (Darzentas, 1993). In IS development, this need for extension is more apparent when problem understanding at higher conceptual levels is required, where the problem is usually identified within ill-defined systems (Darzentas & Spyrou, 1993). The soft systems approach, when applied to information systems (Checkland & Scholes, 1999; Wilson, 1984) offers the potential for developing operational models which accommodate different perceptions of the problem at higher levels. In a conventional approach, a primary objective of an IS’s analyst, in order to design a formal IS, is the construction of a reliable operational model of the situation. This is usually feasible when facing ‘hard’, well-structured problems but not for ‘soft’, ill-structured, human activity systems. Experience has shown that even well-assembled information systems for ‘soft’ human activity systems have collapsed because their shortcomings became apparent during their operation (Iivari, 1991). Figure 1. SSM methodology in summary

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As Checkland points out: “SSM was developed because the methodology of systems engineering, based on defining goals or objectives, simply did not work when applied to messy, ill-structured, real-world problems.” Using the methodology within its systems thinking process, the analyst has to formulate root definitions, to assemble the minimum amount of necessary activities and to structure activities into conceptual models. Here the use of several relevant systems is suggested in order to stress the different viewpoints and beliefs of the actors involved, and thus express the subjective nature of SSM. SSM accommodates different interests and initiates debate. This accommodation is represented by the systemically desirable and culturally feasible proposed changes. The debate about changes is structured by the comparison of the conceptual models against the participants’ perceptions of the part of the real world under examination. The methodology is conceptualized in Figure 1. To do systems thinking is to set some constructed abstract wholes (referred to as systems models) against the perceived real world, in order to resolve complexity. The purpose of doing this may range from engineering some part of the

A Systems Theory Approach to Electronic Voting Complexity

world perceived as a system, to seeking insight or lamination. Applying SSM to our identified problematic area will lead to the production of conceptual models, rich pictures and root definitions to help exorcise complexity. Making rich pictures to indicate the many elements involved in any human situation is something which has characterized SSM from the start. Its rationale lies in the fact that the complexity of human affairs is always the complexity of multiple interacting relationships and pictures are a better medium than linear prose for expressing relationships. Rich pictures are Ad hoc drawings and do not have a formal syntax. They serve as a vehicle to help users explain their domain to developers. They do this by making use of symbols and diagrammatic conventions to represent a particular situation in a manner that is explicit and understandable by users. They give users the opportunity to identify important aspects of their work, missing elements and incorrect terminology (Darzentas, & Spyrou, 1994).

SSM FOR ELECTRONIC VOTING The E-Voting System An increasing number of countries and states throughout the world are currently in the process of evaluating electronic voting solutions, by holding a succession of trials and pilots to determine the benefits and drawbacks offered by their deployment, as concerns have been raised over the privacy issues, usability, cost and overall effectiveness of the technology. It is a common fact, that back-end computers are already an integral part of almost all elections held internationally. Even in countries not officially exploring electronic voting, back end computer systems are most possibly introduced at some stage of the electoral process, either for ballot counting or for voter list generation. These back-end “uncertified” computers may hold more dangers than an efficiently designed and protected

electronic voting system. The basic question in electoral administration no longer focuses on whether new technology developments are acceptable in electoral processes, but rather on what kind of technology is suitable for a specific country, taking into account its political and social culture, level of technological infrastructure, and its electoral system (Maaten & Hall, 2008). Systems thought, approaches Information Systems, as social systems, which have Information Technology embedded inside them. According to this classification, it is not possible to design a robust, effective information system, incorporating significant amounts of technology, without treating it as a social system. Within this scope, e-Voting is identified as a ‘soft’ ill-structured human activity system; as ICT is used to support the social process of voting. In accordance to SSM, the initial step to building a model of a concept of a complex purposeful activity, requires a clear definition of the activity involved. Using the methodology within the systems thinking process, the analyst has to originally formulate root definitions to assemble the minimum amount of necessary activities and to structure activities into conceptual models. The complexity and ambiguity surrounding electronic voting is apparent from this initial step, as no universally acceptable definition of an electronic voting system exists. Definitions of electronic voting systems differ widely throughout the fields literature; for example in Switzerland, evoting is meant to include not only the casting of electronic votes during elections, but ultimately also the giving of ‘electronic signatures’ for initiatives, referendums and candidates proposals for membership to the National Council. The term in general is used to represent a broad variety of processes, ranging from voter registration, to remote vote casting. From these a number of initial root definitions (views) can be derived to represent e-voting. Root Definition 1: An IS system that requires voters to use a keyboard or touch screen to mark

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their votes on a computer terminal, directly connected to a stand-alone, polling-stationlocated computer. Root Definition 2: A system to electronically support a voting process, which enables voters to cast a secure and secret ballot over a private network or the internet, either from ATM like machines situated in kiosks, or remotely from any computer or digital device. Root Definition 3: An electronic democracy IS to support elections by mechanizing the process of voter registration and vote casting, which may lead to reductions of costs and increase in speed. Root Definition 4: An electronic support system, offering optional, universal, accessible, voting channels, to all individuals, who have difficulties attending regular elections. Root Definition 5: An government owned edemocracy IS, aimed at supporting the expression of general will during elections, through the implementation of remote vote casting over ICT (as an optional channel), in order to enhance democratic processes by providing a cost effective and universally accessible solution. Various diversities on the role of IT in the electoral process are reflected in the significant differences and semantic distance existing amongst the root definitions, such as: • • • •

Methods of vote casting(Remote or Local) Supervised or sole vote casting Electronic voting offered as an optional channel Electronic voting offered as an option to individuals with difficulties in attending general elections

Present research, following the iterative process within SSM throughout the research, recursively concludes on the root definition that seems to most accurately define electronic vot-

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ing in accordance with most literature references, with the ability to achieve the greatest identified benefits from the introduction of this technology with a reduced amount of costs. I. Method of vote casting: remote vote casting. E-voting systems have the potential to be more usable than paper, especially for people with disabilities such as visual impairment or reduced motor control. Indeed, paper voting systems are not free of usability problems (Jonathan, 2001; Mcgaley, 2008). We often seem to turn a blind eye to the inequalities that exist in the voting apparatus at present. Individuals with disabilities are often unable to perform their electoral duties unaided and in most cases require help during vote casting. Entering the voting kiosk with a member of personnel denies them the right to privacy during the vote casting phase, making this group a target to a number of threats, coercion etc. Offering these individuals the opportunity to perform their electoral duties over electronic channels from remote locations, bridges such discriminations. Remote e-voting links the possibility of quick and reliable counting, to that of voting outside of polling stations and traditional polling times, as well as to the possibility of voting from abroad, irrespective of locations of diplomatic and consular mission. Internet voting is both most globally and convenient to use as well as most challenging with respect to legislation, technology and operation, and to understanding and trust by the electorate. (Buchsbaum, 2004) Remote electronic voting offers the same advantages as poll-site electronic voting while adding the following benefits (Brown, 2003): •

Economies of scale, with respect to the size of the electoral roll, (i.e. an increase in the size of the electoral roll does not increase the expenditure of the election linearly). Research has stated that an On-Line voting system could actually cut the cost per voter in half. (META Research Group, 2001)

A Systems Theory Approach to Electronic Voting Complexity

• •

Allows geographic independence of the voters, resulting in convenience of use. Facilitates increased electoral participation.Studies led by the Centre for Research on Direct Democracy (c2d) showed that remote voting is not merely a complement to postal voting, but that it reached a new category of citizens, voters that do not often participate in elections.

II. Optional Channel-As long as e-voting is not universally available, it should not replace the traditional way of casting a paper ballot in a polling station, it should remain an optional and additional channel. (Remmert, 2004). In the current context electronic voting systems should be considered as a complimentary means to traditional election systems (Gritzalis, 2002).This gives citizens an “additional” channel to perform their electoral duties which evidently can only minimize any disparities that exist in the electoral public. If citizens are unable to perform their electoral rights from a personal computer at home, the option to perform it locally is always available and vice versa. Recent legal amendments are moving towards this direction, as during 2008, due to increasing social concerns regarding the insecurities surrounding the use of electronic voting technology, US Congressman Holt, submitted a bill to Congress called the “Emergency Assistance for Secure Elections Act of 2008” (H.R.5036, 2008), stating that the General Services Administration would reimburse any state with the extra expenditure if they choose to provide paper ballots to citizens, and would cover the additional outlay in hiring extra people to count them. This bill ultimately provides the public with the choice to vote manually, if they do not trust the electronic voting machines. III. Universally Accessible Solution- The technological approach taken towards electronic voting in necessary to be implemented making use of design methodologies which will avoid introducing additional accessibility or usability issues.

IV. Government owned- It is necessary that the electronic voting system is government owned and maintained to protect election integrity and security, against fraud and manipulation. The government must protect against permitting private interests from gaining an “information advantage” over the public which could lead to black mail or even extortion. Within the above described context electronic voting is defined as “A government owned edemocracy IS, aimed at supporting the expression of general will during elections, through the implementation of remote vote casting over ICT, as an optional channel, in order to enhance democratic processes by providing a cost effective and universally accessible solution.”

Dimensions of Electronic Voting Critiques on electronic voting are often projected as engineering problems, omitting to apprehend the sociopolitical context, within which, electronic voting solutions exist. Academic and research literature attempts to approach the issue from a wider viewpoint, avoiding concentrate on a single field of knowledge, but incorporating into the field of electronic democracy, not only the technological or legal questions, which determine the design of an application, but also politics and society’s influence. E-Voting, as proposed by Prosser and Krimmer (Prosser & Krimmer, 2004) differentiates four separate dimensions: (i) Politics, (ii) Law, (iii) Technology, and (iv) Society. In the available literature, requirements are usually identified as falling among the above mentioned fields, which are included in the design process in the form of conditions that the system should meet (e.g. “the system shall allow online-voting from home”). Given the preliminary thinking expressed in the root definition and viewing, electronic voting systemically within a wider environment, a low level model is conceptualized (Figure 2). A number of relevant systems are identified, which in concert operate on an electronic voting system

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Figure 2. A lower-level conceptual model of the e-voting system

as enablers and contributors to its effectiveness. There is an immediate and identifiable dependency between systems, projecting the interrelationships of such an IS. These in turn, can be represented as ‘Systems’ with interrelationships and coordinated dependencies on an electronic voting system, which in turn can be identified as a subsystem of electronic democracy. The political system is identified as an allimportant enabler for electronic voting. The political system supports, defines and controls the implementation of electronic democracy, but also electronic voting, defined through the official attitude towards e-voting, but also from initiatives commenced from a wider system, if one should exist, e.g. EU Initiatives. Without strong political support and clear political farsightedness, throughout the implementation and operation of electronic voting systems, failure is eminent. In 2004, the Irish government undertook plans to introduce a nationwide electronic voting system, spending approximately €52 million on electronic voting

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machines (DRE). The Irish government immediately came under increased pressure, public scepticism and social opposition, over the purchase of a controversial electronic voting system, which was highly criticized as failing to meet user requirements, so the Irish government dropped its political support, evidently leading to project failure, which in turn led to storing the e-voting machines in the closet. The recursive pressures from identified systems are evident at this stage, as technological decisions, political influence and social acceptance are entwined in the implementation of the system When considering electronic elections through a political scope, it is important to take into account the context of the political format which the IS system shall support. The requirements which voting procedures have to meet differ accordingly to the election context, with respect to dimensions of scale, election cycles, etc. Switzerland has been considering electronic voting for a number of years, (trials have been held as early as 2001),

A Systems Theory Approach to Electronic Voting Complexity

as due to the political context, the country was projected as an ideal candidate. At least four times a year there are popular elections held in Switzerland on national, cantonal and communal levels, for which currently remote electronic voting is seen as a viable option. Political official attitude towards e-government and overall technological progress is decisive for the success of electronic voting, as such a system cannot be dealt with as a single one-off solution. A country’s technological progression and overall macroeconomic investment in ICT infrastructure, has to play a highly crucial role in the political agenda, for the enablement of electronic voting to be accepted. A good communications infrastructure, voters’ high e-readiness, the widespread use of the national ID card, have all been decisive prerequisites in countries that have successfully implemented electronic voting systems, such as Estonia. Enabling Electronic voting is not limited to technical infrastructure. “In most countries to use remote e-voting channels, laws or even the constitution have to be changed, which makes remote e-voting very unlikely to happen on the go. It needs a strategic intention of the government for this” (Krimmer, Triessnig, & Volkam, 2007).The Political System has the dependency to affect the Legal System. It is a fact that technology often moves at a faster pace than the legal system, but for electronic voting to meet with social acceptance, the legal regulation needs to be in accordance with technological innovation. Electronic voting needs to comply with the legal and regulatory framework of the country in which the system is being implemented. For E-Voting to achieve successful implementation, the existing legal principles for elections are exceedingly decisive in the way E-Voting should (could be) implemented and at which stage. “Before introducing electronic voting, member states should have reviewed and secured all the legal matters in order to avoid conflicts during the process of an e-enabled election.” (GGIS (2010) 5 E)

Along these lines, the requirements of an electronic voting system, considered as design principles must comply with the legislation framework. Often legal issues arise in the cases of trials and pilots. In the case of a pilot scheme where the test results of the vote are not binding, there is probably no need to establish a legal basis. However, conducting such a voting experiment with official, binding results probably requires a change to the legislation. This new legislation could take three different forms (Caarls, 2010): • • •

A temporary law permitting e-voting experiments; A change in the existing electoral law or in the implementation of existing legislation; A temporary law on e-voting followed by changes in the existing electoral law.

In most cases, legislation permitting experiments with e-voting is subject to a specific time limit or is geared to one or more specific elections (for example, experiments may only be conducted during local elections). The advantage of a temporary law is that existing electoral legislation does not have to be amended, which would probably take more time and thus slow down the process (Caarls, 2010). It is also critical to define how legal aspects constitute security requirements on a technical level and refine the security requirements on the design level to corresponding security requirements of the resulting system (Volkamer & Hutter, 2004). Common standards on e-voting, reflecting and applying the principles of democratic elections and referendums, to the specificities of e-voting, are key to guaranteeing the respect of all the principles of democratic elections and referendums when using evoting, and thus building trust and confidence in domestic e-voting schemes. (Remmert, 2004). In this respect, technological developments but also legal regulations should be reviewed, ensuring their overall contribution to society.The core message of

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the CoE recommendation (EU Recommendation Rec(2004)11, 2004) is that e-voting must respect all the principles of democratic voting, and must be as reliable and secure as non-electronic voting. The constitutions of most countries require that general elections respect Generality, Freedom, Equality, Secrecy and Directness; reflecting all essential voting design principles. On the other hand, the legalized framework must protect, but also enable vote casting electronically, by regulating specific “policies” and technologies (e.g. digital signatures). Political will, through a number of initiatives can normalize the legal framework to support technological advances. In Figure 3, the subsystems are described in more detail, via relevant identified activities. The activities are at an operational level, where the characteristics and imposed peculiarities of the IS begin to take form. As electronic voting targets at increasing social collaboration, achieving social acceptance is critical. Electronic voting IS systems, need to

provide a voting channel with the ability to overcome any existing inequalities, or at least avoid introducing any additional ones; as an electronic voting election system may itself enforce unequal access to the electoral process, through the unequal ownership of IT and related knowledge. The Digital Divide is a widely used concept that is defined as disparities in computer ownership and Internet access, based on income (Neu, 1998). The divide refers to an imbalance in physical access to hardware and in the necessary knowledge that enables a digital citizen to participate in electronic democracy and in e-voting. Digital Divide is discussed to hold in the context of socioeconomic, racial and geographic differences. The digital divide is often referred to as the primary socio-political issue (Hoffman L.J., 2000) leading to inequality of citizens votes in the context of e-voting. It is argued that while Information and Communication Technologies (ICTs), hold the potential to improve the democratic process, expand citizenship and empower the people, they

Figure 3. A second-level conceptual model of the e-voting system

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also have the ability to perpetuate or exacerbate existing inequalities and other divides. It is a matter of democracy, equality, and equity to guarantee that the traditional and the e-voting technologies are at least equivalent, with respect to ease and opportunity of access (Mitrou, Gritzalis, & Katsikas, 2002). Political initiatives are required to overcome any sociological inequalities while not amplifying any discriminations. At this point, the interdependency between the political and the social system is clearly identifiable. Through political support, in the form of campaigns, policies and initiatives, differences in

computer ownership, but also computer knowledge, can be overcome. Specific policies should be adopted towards attaining this end (Figure 4) and through the implementation of information policies, directed towards bridging the gap. Information campaigns and political initiatives, can also target overcoming societal differences effectively. In this context, initiatives such as e-Inclusion and One Laptop Per Child, but also overall funding of ICT infrastructure development, will present opportunities to overcome economic distinctions and geographical differences in society, steering towards an all inclusive platform.

Figure 4. A higher-level conceptual model of the e-voting system

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A wider political system, the European Union, has adopted three key actions: a) to adapt the existing regulatory framework to communication industry needs in the Internet, b) to boost competition in local access networks, so as to encourage widespread Internet take-up and high-speed Internet access in Europe, and c) to ensure a high standard of user rights and privacy protection. In addition, some have stated that as technology’s primary goal is to become user friendlier; it is believed that the information gap will eventually disappear. A lack in capturing a complete set of social needs represented through the design features of an e-voting system will ultimately lead to an unusable system. In recent French electronic elections, e-voting machines were criticised of humiliating a great number of electors, fuelling social opposition. According to some e-voting satisfaction polls, the fact was explained that at least 5-10% of the electors were not at ease with the electronic voting system. These citizens could be publicly humiliated by their difficulties in voting or the number of the citizens not coming to vote could actually grow.” (Digital Civil Rights in Europe, 2007). According to a separate study, carried out by Paul Verlaine - Metz University, the voting equipment also “creates huge accessibility problems to the sight impaired, being a true discrimination source for them”. In addition the study estimates that, with these machines, 25% of the electors run the risk of mistaking their proposed candidate, or of not finalising their vote. Since the 2000 Presidential election in America, a number of problems with voting systems in Florida stemmed from usability and defective ballot design. An extensive list of user requirements, taking into consideration the social sphere of influence needs, should guide the design process..To achieve optimum design and guarantee that design choices overcome accessibility and usability inequalities, a methodological user-centered design (UCD) needs to be adopted, incorporating design principles and theories such

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as Design for all’(DFA) and the Principles of Universal Design(UD). In accordance with these, an extensive list of Technical Requirements, addressing issues of reliability, accuracy, efficiency, integrity, security, and equality, need to be established to guarantee electronic voting’s successful implementation. Recently, electronic voting trials were abandoned in Ireland, the Netherlands and the UK, while concerns have risen in Germany and France, when a published report illustrated that purchased systems were highly insecure. These systems purchased from the same manufacturer required ultimate trust, since source code was undisclosed and claims of security could not be verified. It is essential to the success of electronic voting that federal standards are implemented to validate and guarantee system effectiveness through regulation. In December 2005 the US Election Assistance Commission, unanimously adopted the 2005 Voluntary Voting System Guidelines, which significantly increase security requirements for voting systems and expand access, including opportunities to vote privately and independently, for individuals with disabilities. Empowering federal testing laboratories to verify and guarantee that systems comply with initial requirements and standards is crucial. Essentially, the accredited test labs will look at programming completeness, consistency, correctness, modifiability, structure, and traceability, along with its modularity and construction. These should include functionality testing, hardware testing and extensive software evaluation. The fields’ literature identifies, but does not limit technical requirements for electronic voting to: Availability refers to the property of a system being accessible and usable upon demand by an authorized entity. In the context of electronic voting systems, this property refers to legitimate voters provided with the means to cast their vote. Confidentiality refers to data and voter preferences remaining private. An election is private,

A Systems Theory Approach to Electronic Voting Complexity

if neither the election authorities nor anyone else can link any ballot to the voter who cast it, and no voter can prove that he or she voted in a particular way. Integrity refers to data and system precision, accuracy and consistency. Votes must be recorded correctly and safeguards must ensure that votes cannot be modified, forged or deleted, without detection. Authenticity refers to ensuring that the involved data, transactions, communications or documents (electronic or physical) are genuine. In elections it is vital that only registered voters are permitted to cast a vote. The voting counts must be protected from external reading during the voting process. Voter identity and preferences must be secret. Accountability refers to information, selectively kept and protected, so that actions affecting security can be traced back to the responsible party (audit). Corrupt voters or personnel, may attempt to modify votes/count or the system. The property of permitting an external auditing entity to verify that the votes have been counted correctly and a voter to determine if a vote was counted accurately, is crucial. All internal operations must be monitored, without violating voter confidentiality. Monitoring must include votes recorded and votes tabulated, and all system programming and administrative operations such as pre- and post-election testing. All attempted and successful changes to configuration status (especially those in violation of the static system integrity requirement) must be noted. Monitoring and analysis of audit trails must themselves be non-tamperable. All operator authentication operations must be logged. To guarantee that these requirements are met, a systemic approach is necessary across the wider e-democracy system, as these design features need to be supported by all enablers and stakeholders. A pervasive infrastructure foundation has to be designed to ensure security throughout electronic government transactions and electronic voting. “Internet voting will become fully electronic (from registration to tallying) only when a secure

and uniform Public Key Infrastructure for digital signatures becomes available” (Burmester & Magkos, 2003). A technological approach needs to accurately Assess Relative IS systems and needs (Appreciate Related Subsystems) across the electronic democracy platform to achieve interoperability. Additionally, creating a database of eligible voters is in fact a prior step, vital for any poll or election which seeks to meet the minimum safety requirements. The digital electoral roll is usually constructed by means of a voter registration system that compiles voter data either in person or remotely. In many countries, Public Key Infrastructure (PKI), digital signatures, and the existing process of authentication have served as absolute prerequisites for the creation of an efficient e-country. Security is not restricted purely to the technological approach taken, but also to the procedures and standards that are put into place to overcome technological security shortcomings (Mohen, 2001; Williams, 2004; Xenakis, 2004). This is represented by an interdependency, Figure 4, between the technical sphere and the legal sphere; legal basis policies, must be laid out, encompassing all issues of electronic voting, but also detailed contingency plans must be in place in case a failure should occur. Through this iterative process it is apparent that electronic voting requires a number of factors to be present before System Implementation can be achieved. •

Technology ◦◦ existence of roll of registers or infrastructure to create roll by electronic registration ◦◦ Information Society Context ◦◦ Degree of the informatization in the public administration ◦◦ existence of a wider e-id security infrastructure based on PKI ◦◦ e-Voting federal standards

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•

• •

Government Support ◦◦ initiatives ◦◦ policies ◦◦ campaigns E-Voting Conforms with constitutional requirements Social Acceptance ◦◦ minimize digital divide though initiatives, policies and campaigns targeting at bridging the gap ◦◦ support internet penetration ◦◦ increase country’s readiness. E-readiness is the “state of play” of a country’s information and communications technology

In the process of SSM, comparing conceptual models to reality, points to the need of understanding the pre-requisites in adopting electronic voting. SSM is a methodology that aims to bring about improvement in areas of social concern by activating the people involved into a situation or learning cycle, which ideally is never ending. The learning takes place through the iterative process, using systems concepts to reflect upon and debate perceptions of the real world, taking action in the real world and again reflecting upon the happenings. The reflection and debate is structured by a number of systemic models. Comparing the systemic models presented through the SSM methodology against the perceived real world, in order to resolve complexity, leads to the conclusion that electronic voting should be avoided in cases which lack the prerequisites previously identified. Electronic voting is not identified as a one off solution, as it requires a systemic approach ranging across numerous dimensions, and requires properties existent throughout the interrelationship of the present systems.

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Designing within the e-Voting System The purpose of employing System theory is twofold. First, it is employed to provide a framework for perceiving and analyzing highly complex systems, and secondly, for designing within and for them. Traditional information systems, design methods and engineering techniques often lack the capacity to capture IS’s complexity in a holistic manner, resulting in a largely unmanageable, unscalable, error prone, single task oriented and insecure software systems. Information system architectures currently contain numerous dynamically interacting components, each with their own thread of control which engage in complex interactions over distributed environments. Several important aspects of the General Systems Theory (GST) are employed to provide an insight within an electronic voting system. Throughout the iterative process, which is systems thinking, the system as a “whole”, can be conceptually broken into smaller subsystems, presenting the system hierarchy, but also component and object interdependency holistically. Complex systems are organized in hierarchies wherein each level is made up of several integrated systems. In complex systems, specialized units perform specialized functions (differentiation principle). Focusing within the system of electronic voting, still to be designed, a number of essential components but also their interrelationships on objects and attributes are identified (Figure 5) as interdependencies on wider systems. As electronic voting is identified as a sub system of the wider supra system of electronic democracy, within this scope, interrelationships and interdependencies can be identified. E-voting needs to be viewed as a component of a coherent whole and that it makes use of the overarching infrastructure and its components that perform specialized tasks, (this is identified in diagram 4, as appreciate related subsystems, which led to the

A Systems Theory Approach to Electronic Voting Complexity

Figure 5. Designing within the featured e-voting system

identification of requirements existence of a wider e-id security infrastructure based on PKI). In the process of defining design principles for achieving the required openness and flexibility, it is crucial to view security and auditability through the above perspective. To achieve this goal, two systems are identified, the Audit System and the Security System, with a number for interdependencies and feedback loops (Figure 5).The audit system is an e-democracy sub system, which allows the actual behavior of the electronic voting system to be monitored as a single and coherent whole. Audit is an independent process for obtaining evidence and evaluating performance according to a number of criteria. These criteria are set by a wider technical committee, in accordance with the legal framework and political support; presenting an additional interdependency between the e-voting system and the wider political and legal

systems as regulation can be evaluated through previously identified Federal standards, performed by federal test labs. The purpose of Security subsystem is to monitor the e-voting system as a single operational unit, and provide a horizontal security infrastructure throughout the system, but additionally to the wider e-democracy system. This system requires flexibility, while providing the essential features of authentication, identification and cryptographic features. During the vote casting process a number of users, including Voters, Members of the Electoral board and Administrators are required to interact with the e-voting system. These users are able to interact with the system through the available software/hardware agent used for vote casting. After votes are successfully cast, votes are stored in the electronic ballot box software

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module. Following this phase, results are tallied using the tallying software component which is used to calculate the result. System thinking is able to guide design and provide insight on some of the essential characteristics and elements of an e-Voting IS. Disclosability is a critical issue for e-voting that often inaugurates debates on security, as it refers to the system software, hardware, microcode, and any custom circuitry being open for random inspections (including examination of the documentation by appropriate evaluators), despite demands for secrecy from the system vendors (Neumann, 1993). In contradiction to system vendors, information security experts and cryptographers often quote the term “security through obscurity”, meaning that some sort of secrecy or obfuscation is a part of the security model and the failure aspect of many IS. Security through obscurity provides a false sense of security though limited verifiability, which evidently leads to the vulnerabilities being known by the wrong people. This principle in IS security engineering, seems to be confirmable by one of the most fundamental principles of systems thinking, that openness and feedback loops are able to achieve negative entropy for open systems. Entropy is an important part of the second law of thermodynamics, and is a measure of how disorganized a system is. Closed systems are believed to attain an equilibrium state with maximum entropy (death or disorganization); referring to the tendency of closed systems to progress to a state of greater disorganization, break down, deteriorate, lose organization, and eventually dissolve. Addressing and reversing entropy is one of the primary processes of Systems Thinking. Systems thinking, relies heavily upon openness and feedback loops to achieve negative entropy—a process through which systems can become more organized and enhance their ability to transform themselves through new inputs, energy, and resources from the environment. Evidently election source code openness leads to improved software, that has passed stricter

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evaluation, is more transparent and accountable (Wagner, 2007), such as, publicly publishing voting machine software under a free software license, as is done in Australia. Systems theory has identified numerous principles (also common to the field of study of cybernetics) many of which can be applied to IS design and incorporated into the implementation process. In addition to openness and feedback, complementary laws of system thinking, can guide system design to incorporate important features corresponding to the security infrastructure. The ‘Requisite Variety Law’ (Ashby, 1964) states that “if a system is to be stable, the number of states of its control mechanism must be greater than or equal to the number of states in the system being controlled.” Identified as the control mechanism of an e-Voting system, is its Security Infrastructure. Systems thinking, translated into security engineering terms, dictates that for the security infrastructure to be able to counter attacks on the system, a crucial minimum set of controls must be implemented, as the identified vulnerabilities on the system. An essential Systems Principle states that “fundamental variables must be kept within certain “physiological” limits if the organism is to survive” (Cannon, 1932) Within the context of IS design this can be translated into systems reliability terms and stated that to achieve reliability an IS’s critical variables must be identified and maintained over a required threshold. It is crucial to periodically asses these variables with audits and take action. Overall, we can apply a number of GST principles to the design process of IS, • •

• •

ISs need to be designed as open systems Feedback loops through periodical assessment, necessary process to reduce disorder in ISs Reliability is achieved through the maintenance of certain variables All IS have a hierarchical structure

A Systems Theory Approach to Electronic Voting Complexity

FUTURE WORK AND DIRECTIONS In this case, the application of SSM as an interpretive learning approach, makes it possible to gain new insights into real-world activities, through their comparison with those that are desirable in systems terms. It is apparent, that electronic voting implementation requires the support of a number of fields, which operating in concert can digitalize the electoral process. Cross nation interoperability is gaining momentum in electronic democracy policies and initiatives. A systemic approach to electronic democracy across states, within a wider framework, is crucial to achieve such goals of wider collaboration. In addition, a systems approach can provide important benefits if applied to “business to government” electronic systems. Evaluating specific IS characteristics and design decisions through the viewpoint of General Systems Theory can lead to efficient and effective system design, disengaged from the hype of seasonal technological innovations. Future work should be focused in this direction. We are currently in the process of evaluating and validating technical requirements, while generating a complete set of design principles for e-government IS’s, which stem from GST.

CONCLUSION The essential question about electronic voting seems to be not whether there should be some form of electronic voting, but when and where it should be used in the electoral process. All of the above factors indicate the need for consideration and changes in the approach taken towards the implementation of an ‘e-Voting System’. A wider interdimensional approach is necessary to gain knowledge and understanding of the true dimensions of e-voting. This chapter attempts to demystify the complexity surrounding electronic elections by adopting such a methodology based

on systems thinking and particularly, Soft Systems Methodology. In general, a systems theory approach is employed to provide a framework for perceiving and analyzing highly complex systems in a transdisciplinary method, as well as, for designing within and for them. Within this context, electronic voting is identified as a ‘soft’ ill-structured human activity system, and a number of systems and their interdependencies have been identified. Through this iterative process, this chapter has attempted to resolve complex issues and provide a clearer perspective of related interdependencies. As a result of this process an electronic voting system has been conceptualized in a way that interdependencies, characteristics and imposed peculiarities of the IS take form. SSM was employed to help us with the formulation of the problem, space, and our attempt to gain a holistic understanding, (a rich picture) of the problems. A potential critique of SSM processes, as they have been applied in certain cases, is that they become too constrained by organisational and other takenfor-granted structures, leading to solutions that solve immediate problems, but leave the situation that gave rise to the problems essentially unchanged. Additionally, a number of researchers and practitioners regard SSM as a form of action research. SSM places more emphasis than most action research models on understanding the situation in which intervention is desired and on formulating the action to be taken, while being less explicit about on-going research, reflection and the overall cyclic nature of the process. Taking this approach allows an overall action research / SSM-based methodology to be adopted, which is appropriate for a specific situation, and lets it be adapted as work progresses. In this chapter we have attempted to apply SSM and evidently systems thinking in a comprehensive and inclusive manner, which through iterative cycles of the methodology itself, will reveal the quandaries and resolve the complexity of the issues at hand. Evidently supplementing SSM with other design methodologies can further enhance 147

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the design process of such an IS. Systems thinking as understood and presented in this chapter led to the identification of specific prerequisites and constraints, necessary for the deployment of electronic voting systems. Additionally, as GST provides a framework for perceiving and analyzing complex systems, but also for designing within them, this methodology led to the generation of a set of essential system design principles necessary for the implementation of e-voting.

REFERENCES Ashby, R. (1964). An introduction to cybernetics. London, UK: Chapman and Hall. Bekkers, V. J. J. M., & Zouridis, S. (1999). Electronic service delivery in public administration: Some trends and issues. International Review of Administrative Sciences, 65(2), 183–196. doi:10.1177/0020852399652004 Bertalanffy, L. V. (1976). General system theory: Foundations, development, applications. George Braziller. Buchsbaum, T. M. (2004). E-voting: International developments and lessons learnt. In Prosser, A., & Krimmer, R. (Eds.), Electronic voting in Europe Technology, law, politics and society (pp. 31–42). Bonn, Germany: Gesellschaft für Informatik. Burmester, M., & Magkos, E. (2003). Towards secure and practical e-elections in the new era. In Gritzalis, D. (Ed.), In Secure electronic voting (pp. 63–76). Berlin, Germany: Springer. doi:10.1007/978-1-4615-0239-5_5 Caarls, S. (2010). E-voting handbook- Key steps in the implementation of e-enabled elections. Strasbourg, France: Council of Europe Publishing. Cannon, W. (1932). The wisdom of the body. New York, NY: Norton. Checkland, P. (1999). Systems thinking, systems practice: Includes a 30-year retrospective. Chichester, UK: Willey. 148

Checkland, P., & Scholes, J. (1999). Soft systems methodology in action. Chichester, UK: Wiley. Checkland, P. S. H. (1997). Information, systems and Information Systems: Making sense of the field. Chichester, UK: Willey. Christian Fuchs, R. B.-R. (2006). Broadening e-participation: Rethinking ICTs and participation. Association of Internet Researchers, Internet Research 7.0. Brisbane. Clark, A. S. (2005). Revolutionizing the voting process through online strategies. Online Information Review, 29, 513–530. doi:10.1108/14684520510628909 Darzentas, J. (1993). Knowledge systems for island problems: Using systems thinking and knowledge formalisms for eliciting and representing task knowledge. Systemic Practice and Action Research, 6(5), 541–548. Darzentas, J., Darzentas, J., & Spyrou, T. (1994). Defining the design “decision space”: Rich pictures and relevant subsystems. AMODEUS Project Document TA/WP 21. Darzentas, J., & Spyrou, T. (1993). Information Systems for primary health care: The case of the Aegean Islands. European Journal of Information Systems, 2, 117–127. doi:10.1057/ejis.1993.20 Davis, G., & Olson, M. (1985). Management Information Systems conceptual foundations, structure and development. New York, NY: McGraw-Hill. Deutsch, K. W. (1963). Nerves of government. Free Press. DiCaterino, A., & Pardo, T. A. (1996). The World Wide Web as a universal interface to government services. Retrieved from http://www.ctg.albany. edu/resources/ abstract/itt96-2.html Digital Civil Rights in Europe. (2007, April 25). E-voting in France - After the first round of presidential elections. Retrieved 10 1, 2010, from http://www.edri.org/book/export/html/1167

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C. Fraser, N. L. (2006). DEMO-net: Deliverable 5.1 Report on current ICTs to enable participation. DEMO-net Consortium. Frith, D. (2007). E-voting security: Hope or hype? Network Security, 11, 14–16. doi:10.1016/S13534858(08)70041-2 GGIS. (2010). Guidelines on transparency of e-enabled elections. Directorate General of Democracy and Political Affairs, Directorate of Democratic Institutions. Project “Good Governance. In The Information Society”. Strasbourg: Council of Europe. Ghere, R. K., & Young, B. A. (1998). The cybermanagement environment: Where technology and ingenuity meet public purpose and accountability. Public Administration and Management: An Interactive Journal, 3(1). Retrieved from http:// wfww.pamij.com/ gypaper.html Gritzalis, D. (2002). Principles and requirements for a secure e-voting system. Computers & Security, 21(6), 539–556. doi:10.1016/S01674048(02)01014-3 Heeks, R. (2001). Building e-governance for development: A framework for national and donor action. The University of Manchester, Institute for Development, Policy and Management Information, Systems, Technology and Government: Working Papers Series, Number 12/2001. Heeks, R. (2001). Understanding e-governance for development. The University of Manchester, Institute for Development, Policy and Management Information, Systems, Technology and Government: Working Papers Series, Number 11/2001. Hof, S. (2004). E-voting and biometric systems? In A. Prosser, & R. Krimmer (Eds.), Electronic voting in Europe - Technology, law, politics and society, (pp. 63-72). Lake of Constance, Austria. Hoffman, L. J., & Cranor, L. (2000). Internet voting for public officials. Communications of the ACM, 44(1), 69–85. doi:10.1145/357489.357510

H.R. 5036. (2008). H.R.5036 - Emergency Assistance for Secure Elections Act of 2008. Retrieved October 10, 2010, from http://www.opencongress. org/ bill/110-h5036/show Iivari, J. (1991). A paradigmatic analysis of contemporary schools of IS development. European Journal of Information Systems, 1, 249–272. doi:10.1057/ejis.1991.47 Jaeger, P. T. (2003). The endless wire: E-government as a global phenomenon. Government Information Quarterly, 20(4), 323–331. doi:10.1016/j. giq.2003.08.003 Janssen, D. (2003). Electronic government - Design, applications, and management. Information Policy, 8(3-4). Krimmer, R., Triessnig, S., & Volkam, M. (2007). The development of remote e-voting around the world: a review of roads and directions. Lecture Notes in Computer Science-Proceedings of the 1st International Conference on E-Voting and Identity, (pp. 1-15). La Porte, T. M., De Jong, M., & Demchak, C. C. (1999). Public organizations on the World Wide Web: Empirical correlates of administrative openness. Retrieved December 2, 2010, from http:// www.cyprg.arizona.edu/ publications/correlat.rtf Lehrer, J. (2009). How we decide. Houghton Mifflin Co. Lehrer, J. (2010, May 2). Lost in the details-How breaking everything down to particles blinds scientist to the big picture. Wired Magazine. Maaten, E., & Hall, T. (2008). Improving the transparency of remote e-voting: The Estonian experience. Lecture Notes in Informatics-3rd International Conference on Electronic Voting 2008, (pp. 31-43). Castle Hofen, Bregenz, Austria. McClure, C. R., & Bertot, J. C. (2000). The Chief Information Officer (CIO): Assessing its impact. Government Information Quarterly, 17, 7–12. doi:10.1016/S0740-624X(99)00021-0 149

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McGaley, M. (2001). E-voting: An immature technology in a critical context. Doctoral Dissertation. Department of Computer Science. National University of Ireland, Maynooth. Mellor, S. (2009). Foreword. In Spinellis, D., & George, G. (Eds.), Beautiful architecture. O’Reilly Media. META Research Group. (2001). META group models an Internet-based “E-vote system. Retrieved October 10, 2010, from http://www.allbusiness. com/specialty-businesses/ 1043440-1.html Mitrou, L., Gritzalis, D., & Katsikas, S. (2002). Revisiting legal and regulatory requirements for secure e-voting. Proceedings of the 16th IFIP International Information Security Conference (IFIP/SEC-2002). Egypt. Mohen, J. A. (2001). The case for Internet voting. Communications of the ACM, 44, 72–85. doi:10.1145/357489.357511 Moynihan, D. P. (2004). Building secure elections: E-voting, security, and systems theory. Public Administration Review, 64(5), 515–528. doi:10.1111/j.1540-6210.2004.00400.x Neu, C. A. (1998). Email communication between government and citizens: Security, policy issues and next steps. Neumann, P. (1993). Security criteria for electronic voting. National Computer Security Conference Baltimore, Maryland. Open University. (2008). Open University. Retrieved June 28, 2010, from http://www.open2. net/management_organisation/ systems/thinking/ introduction.html Parycek, P. S. (2003). Electronic democracy: Chances and risks for municipalities. In A. K. Prosser, E-democracy: Technology, right and politics. Vienna, Austria: OCGOCG Publication #174.

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Prosser, A., & Krimmer, R. (2004). The dimensions of electronic voting technology, law, politics and society. In Prosser, A., & Krimmer, R. (Eds.), Electronic voting in Europe - Technology, law, politics and society (pp. 21–28). Constance, Austria: Lecture Notes in Informatics. Prosser, R. K. (2003). Deploying electronic democracy for public corporations (pp. 234–239). Electronic Government Proceedings. Recommendation Rec, E. U. (2004)11. (2004). Legal, operational, and technical standards for e-voting. Strasbourg, France: EU Recommendation Rec(2004)11 adopted by the Committee of Ministers of the Council of Europe. Remmert, M. (2004). Towards European standards on electronic voting. In Prosser, A., & Krimmer, R. (Eds.), Electronic voting in Europe - Technology, law, politics and society (pp. 21–28). Constance, Austria: Lecture Notes in Informatics. Republique Et Canton De Geneve. (2009). History and results of the tests and official ballots. Retrieved 10 10, 2010, from http://www.geneve. ch/evoting/ english/historique.asp Rosanvalon, P. (2006). Democracy past and future. New York, NY: Columbia University Press. Sanford, C., & Rose, J. (2007, December). Characterizing e-participation. International Journal of Information Management, 27(6), 406–421. doi:10.1016/j.ijinfomgt.2007.08.002 Senge, P. M. (1990). The fifth discipline: The art and practice of the learning organization. New York, NY: Doubleday. Skyttner, L. (2002). General systems theory-Ideas and applications. World Scientific Publishing. Stiglitz, J. E. (2010). Freefall, America, freemarkets and the sinking of the world economy. New York, NY: Norton & Company, Inc.

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UN. (2004). Global e-government readiness report-Towards access for opportunity. United Nations. UN & ASPA. (2001). Benchmarking e-government: A global perspective. Assessing the Progress of the UN Member States. Volkamer, M., & Hutter, D. (2004). From legal principles to an Internet voting system. In Prosser, A., & Krimmer, R. (Eds.), Electronic voting in Europe - Technology, law, politics and society (pp. 111–120). Constance, Austria: Lecture Notes in Informatics. Von Lucke, J. R. (2004). Speyerer Definition von Electronic Government. Wagner, D. (2007). Written testimony before the committee on house administration, elections subcommittee. Washington, USA. Wand, J. N., Shotts, K. W., Sekhon, J. S., Mebane, W. R. Jr, Herron, M. C., & Brady, H. E. (2001). The buttery did it: The aberrant vote for Buchanan in Palm Beach County, Florida. The American Political Science Review, 95(4), 793. Williams, B. J. (2004). Implementing voting systems- The Georgia method. Communications of the ACM, 47, 39–42. doi:10.1145/1022594.1022620 Wilson, B. (1984). Systems: Concepts, methodologies and applications. Chichester, UK: Wiley. Won, S.-K., Yeo, E.-H., Lee, B.-S., & Arabi, A. (2007). CMPC (Computer mediated political communication) and its impact on the political process in Korea. The Journal of Communication, 1(1). Xenakis, A. A. (2004). Procedural security in electronic voting. In 37th Hawaii International Conference on System Sciences. Hawaii. Yildiz, M. (2007). E-government research: Reviewing the literature, limitations, and ways forward. Government Information Quarterly, 24, 646–665. doi:10.1016/j.giq.2007.01.002

ADDITIONAL READING Checkland, P. (1999). Systems thinking, systems practice: Includes a 30-year retrospective. Chichesterm, UK: Willey. Checkland, P., & Scholes, J. (1999). Soft systems methodology in action. Chichester, UK: Wiley. Gritzalis, D. (2002). Secure electronic voting. Springer. Kersting, N., & Baldersheim, H. (2004). Electronic voting and democracy: A comparative analysis. New York, NY: Palgrave Macmillan. doi:10.1057/9780230523531 Lekkas, D. (2003). Establishing and managing trust within the public key infrastructure. Computer Communications, 26(16), 1815–1825. doi:10.1016/S0140-3664(03)00077-X Peponi, K., Arnellos, A., Spyrou, T., & Darzentas, J. (2009). Analysis and comparison of systemic methodologies for organisational design. In the 5th National & International Conference of the Hellenic Society for Systemic Studies: From Systems Thinking to Systems Design & Systems Practice, Xanthi. Peponi, K., Arnellos, A., Spyrou, T., & Darzentas, J. (2009). A new way of classifying and comparing systemic methodologies. In the 23rd European Conference on Operational Research, EURO XXIII, Bonn Zissis, D., & Lekkas, D. (2009). The security paradox, disclosing source code to attain secure electronic elections. 9th European Conference on e-Government, (p. 741). London, UK. Zissis, D., Lekkas, D., & Papadopoulou, A. E. (2009). Competent electronic participation channels in electronic democracy. Electronic Journal of E-Government, 7(2), 195–208.

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Educational and Democratic Potential of Digital Games in e-Government Erkki Patokorpi IAMSR, Åbo Akademi University, Finland Sami Leppimäki IAMSR, Åbo Akademi University, Finland Franck Tétard IAMSR, Åbo Akademi University, Finland

ABSTRACT Digital games have, or can be made to have, certain characteristics that make them suitable for education, communication, and the promotion of civic skills in e-Government: hypertextuality, interactivity, reusability, updateability, object-likeness, reprogrammability, personalizability, multimodality, and so forth. From the citizens’ point of view, the functions of societal games can be divided into learning support and the enhancement of participation in society. Enlightened participation in the civic society requires both. Learning by games should promote the understanding of complex social issues and their mutual relationships. For learning to act as a springboard to informed action, one would also have to understand the consequences of actions and events. Consequently, learning by playing serious games is best understood as reasoned practical action in a virtual world.

INTRODUCTION The Internet has generally been seen as a potential means of widening democratic participation in civic affairs (see e.g. Grossman, 1995). On the other hand, some writers have voiced scepticism DOI: 10.4018/978-1-4666-0116-1.ch008

about the Internet’s ability to do so, and claim for instance that the Internet is no different from the radio and television which by now have been efficiently subsumed under the control of traditional political actors. It will not take long before the political elite learn how to utilize the new media as well to their own advantage (Ferber et al., 2008). Today, professional politicians are

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routinely using blogs, Facebook and twitter, for instance. Admittedly, the emergence of new media and access to it by the man of the street alone does not solve all problems of civic participation and good, democratic governance. However, the new media, especially the web 2.0 technologies, which by definition are more difficult to be controlled from above, provide all sorts of new collaborative and engaging tools, including games, which may be used to promote a more egalitarian society. The chapter at hand investigates how digital games (i.e. computer games, online games, mobile games) are nowadays and could in the future be utilized in promoting civic skills as well as used as a tool for education and communication in e-Government. Digital games have, or can be made to have, certain characteristics that make them suitable for this sort of educational purposes: hypertextuality, interactivity, reusability, updateability, object-likeness, reprogrammability, personalizability, multimodality, and so forth (Patokorpi et al., 2007). From the citizens’ point of view, the functions of societal games can be divided into learning support and the enhancement of participation in society. Learning by games should promote the understanding of complex social issues and their mutual relationships. For learning to act as a springboard to informed action one would also have to understand the consequences of actions and events. Enlightened participation in the civic society requires both of the above-mentioned things. The use of games is not limited only to societal issues, like for instance to explain taxation. They can also be used to illustrate natural or ecological events and developments (e.g. floods). Games have several benefits in the context of e-Government. First, games are easily intelligible to citizens, suited especially to illuminate complex, ill-structured issues. Second, games are a cost-effective way to give information about economic, ecological and social issues. Third, games enable the use of real information in real time. In addition, games free their users from geographical, spatial and temporal

constraints, although games can equally well be made context-aware, exploiting the information emerging in a particular place, time and situation. Therefore games are a suitable tool for interaction between the authorities and the citizens. Games also lower the threshold for citizens to be more active members of the civic society. The chapter gives a rough conceptual assessment of game technology development and adoption, discusses the general role of forms of reasoning and incentives to action or contemplation in playing, and presents a social and cultural rationale for the use of games by citizens in terms of social capital. Also, some examples of existing game applications for e-Government from around the world are briefly presented. The role of game-like applications will be assessed from the government’s (e.g. cost-effectiveness and interactivity) and the user’s point of view (e.g. updateability and personalizability). We avoid using the term simulation because it easily leads to begging the question of what takes place in the player or group of players, and between them and the digital world. Instead, we build on a general idea of learning as, in essence, an inferential process, and a conception of practical reasoning derived from C.S. Peirce’s logical writings. Thus it will be argued that an analysis of the playing of digital games could benefit from seeing it in terms of learning as reasoned action. A comprehensive empirical showcase of this method applied to the design and playing experience of digital games is beyond the scope of the present chapter.

BACKGROUND Game Industry The rapid development of the Information and Communication Technology (ICT) and related infrastructure has given rise to digital games and gaming as part of our way of life. Although the global game industry as a business is roughly in

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the same league as the film industry, it is still not fully recognized as an independent part of the economy. The position of game industry in the ICT sector and more broadly in the economy as a whole is somewhat ambiguous. Only recently digital games as products and game industry as an industry branch have increasingly been considered to be essential components of the emerging so-called creative economy. Besides being a substantial multinational business, the significance of digital games and the development efforts of the industry have increased also from the technological point of view. Today, it is believed that the game industry is a forerunner in some technology fields and applications (Snellman and Magnusson, 2006; Tekes, 2007). From the endusers’ and consumers’ point of view digital games have today a very important role especially in the sphere of leisure and entertainment. However, also other roles for digital games, like education, learning and policy making have gradually appeared (Eskelinen, 2005). The term “serious games” has been coined to mean “games used for training, advertising, simulation or education” (Susi et al., 2007, p. 3). Zyda (2005, p. 25) defines a serious game as “a mental contest, played with a computer, in accordance with specific rules, that uses entertainment to further government or corporate training, education, health, public policy, and strategic communication objectives”.

Games and e-Government The term e-Government is used to describe the e-business of the state. The same ICT infrastructure, hardware and software are applicable in both e-Government and e-Commerce. The main benefits for using ICT in the interaction between the government and the citizens come from the technological re-engineering of public services with the use of the Internet and enhancing the access to and delivery of government services to citizens. By using ICT it is possible to increase the efficiency, effectiveness, transparency and

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accountability of informational and transactional exchanges within government, as well as between a government and the citizens (Tambouris et. al., 2001). In this way e-Government is an essential part of the development towards a true knowledge society. One of the new aspects of e-Government is the usage of digital games in the interaction between government authorities and citizens. Especially in the context of European Information Society development digital games have been regarded first and foremost as a form of entertainment and therefore as part of popular culture. It has been suggested that the information society development in Europe has been somewhat elitist, focusing on rational thinking and fueled mostly by technological development. In this context digital games have for years been associated with entertainment alone. Therefore the opportunities of digital games in fields like education, learning and policy making, have been in many cases ignored (Eskelinen, 2005). However, in these fields digital games could have many advantages since they could be used as a tool to lower the threshold for citizens to be more active members of the civic society. In addition, the digital games are also a way to offer a well established and well adapted interface to the users, i.e. the citizens. Therefore digital games are applicable also to the more serious uses than pure entertainment. It is also suggested that digital games could also move the focus of e-Government related innovation from the technological one to the societal and cultural domains (Eskelinen, 2005). Consequently, the utilization of digital games in e-Government could lead into the discovery of some whole new forms of interaction between government authorities and citizens. Playing digital games requires a certain degree of computer literacy. The young and even middleaged people in countries where the information society is already at a highly advanced stage of development presumably have a very low threshold when moving from playing games for fun to

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playing serious games for e-Government purposes. The older generation, and the people in developing countries as well as socially marginalized young people in industrialized countries (Livingstone and Helspers, 2007) will find it more of a struggle to engage in civic affairs through serious games. Apart from the affluent part of the older generations in industrialized countries, these digital have-nots will need resources and support from the government to give them access to digital networks in the first place (Kam et al., 2008; Sipior and Ward, 2005). Owning or having access to a computer or a smart mobile phone is virtually a basic right in today’s information society. Thanks especially to the fact that serious, digital games can be made to retrieve real information in real time in a real context and together with many other people at the same time, the sense of taking part in common affairs can be heightened. It is up to the government officials and various democratic organs to decide how much transparency, involvement and close encounter with the citizens they dare to allow. The potential of digital games in eGovernance is increasingly recognized in different countries around the world. From the government’s perspective, digital games have many advantages as a tool for eGovernance. For example, the European Union considers games as one of the technologies with a great potential for engaging the public in democratic processes and fostering public participation. Although digital games are already a natural part of the leisure time of younger generations, games technology still rarely appears in the European Union’s e-Government plans. Electronic governance is actively promoted in the European Union but there are still many barriers for more extensive use. The digital divide has been identified as one of the barriers (e-Government Unit, DG Information Society and Media European Commission, 2007). In the developing countries the potential of games in the e-Government seems somewhat grimmer. There are severe impediments, like illiteracy and inadequate infrastructure, hindering the evolve-

ment of e-Government. However, there is also an abundance of opportunities for serious use of digital games in the developing world. For example, there are positive experiences of using digital games as an educational tool in highly demanding environments like the urban slums and rural areas of India. It seems that the benefits, like for instance an improved enjoyment of the learning experience and resulting spontaneous adoption, will overcome the barriers (Kam et. al., 2008).

Examples of Games in e-Government The examples of games presented here illustrate the variety of existing societal games. For each game, general information and a brief introduction is given. A short description of the game experience from the player’s perspective is also included. Finally, the educational, interactive and participatory aspects of each game are analysed. The Budget Hero1 is one of the several online games published and administrated by the American Public Media which is a nationwide radio producer in the USA. The Budget Hero exemplifies a relatively popular genre of the American societal games, i.e. budget games. There are several similar games in the USA for city, state and federal level. The Budget Hero’s idea is to present a simplified model of the US federal budget for the public to evaluate and modify at will. Thereby, the main purpose of the game is to clarify the underlying fiscal mechanisms of the budget and related economic policy options. At the beginning of the game session basic information concerning the structure of the budget is presented to the player. Subsequently the focus areas of fiscal decision making reflecting the player’s individual value preferences are chosen. The player’s task and the main content of the game is the fiscal decision making, i.e. controlling the expenses and revenues of the federal government in relation to time. As the game progresses the consequences of the player’s actions are illustrated in the form of indicators like deficit/surplus ratio, size of

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government, and budget bust year and debt % of GDP ratio. After the actual game experience the result sheet presenting the consequences of the chosen policy options can be printed out. It should be noted that the Budget Hero is a societal game published and maintained by a media corporation not a governmental organization. In this sense it is a third party contribution to the communication relationship between citizens and authorities. It is not clear to the outsider how objective the information and the policy options presented in the game are. However, Budget Hero has relatively strong educational aspect incorporated as it clarifies the complexities of the fiscal policy in a way that is easy for the general public to comprehend. Consequently, it is assumable that the game also raises general awareness among the citizens concerning the economic policy. The interactive and participatory aspects of the Budget Hero are not explicit as it does not offer any automated information channel between citizens and government authorities. It is merely offering a simple tool for the citizens to simulate economic decision making. However, it could easily be updated to highlight the topics of the most current public discussions. Thereby, it is easy to iterate and vary different situations of decision making in the game. Presumably games like Budget Hero are useful in stimulating the public discussion concerning the key issues of economic policy. Stocholmsspelet2 is a game published by the city of Stockholm. It is an educational game targeted to elementary school level pupils. The purpose of the game is to illustrate the decision making of the authorities in the city of Stockholm. The basic idea of the game is that children put themselves in the role of the city mayor for one 4-year term. When acting as the mayor the children are facing problems related to the infrastructure of the city and ultimately the well-being of its citizenry. In the game the mayor has to be able to make swift monetary decisions, but also to understand their consequences and make choices. The success of the mayor is measured by the happiness of the

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citizens and city budget balance. Thereby, the game gives children a chance to see the results of their policy making. The game portrays the city level decision making as a very democratic process where the authorities and citizens are in close communicational relationship in decision making. In this way the game has a strong democratic aspect to it. With a frequent possibility for updating the Stockholmsspelet could be a good platform to present current economic and social problems and relevant key issues of the city region to the children. Still, in its current form the game seems to be a static application without this kind of real life and real time features. As the Stocholmsspelet is closely linked to the city of Stockholm it is presumably used mostly in Swedish schools. However because the language of the game is Swedish, it could be utilized also for the teaching of language. In fact it is used for this purpose for example in Finnish schools. Matkalla Suomen kaupungeissa (i.e. Travelling in Finnish cities)3 is a game where players can travel within selected chosen cities in Finland. Players can choose different means of transportation (car, bicycle, foot, public transport network). After players have ended their travel, they get information about how much time, money, and energy was used and how much CO2, NOx and fine particle emissions was produced. Information about noise level of different transportation modes and impacts on the player’s shape (e.g. if a bicycle is chosen as a transportation mode) is also given. Players can also compare different means of transportation and their respective effects on the environment. The game is relatively intuitive and it has features that enable some degree of personalization. Ekotallaaja4 is a game where players can measure their consumption habits in terms of ecological sustainable land use. After answering several questions, players can get information about how much resources they use, and their impact on the environment. The game as such is more of a simple calculator than a real game experience.

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However, it summarizes a lot of information and delivers compact personalized results of the size of the player’s ecological footprint. Förivisa5 is an online trivia game about the city of Turku in South Western Finland: players have to answer questions about the city of Turku, its history, its inhabitants, and so forth. By answering right to the questions within a short time, players get points and are listed on the “hall of fame” of the game. Förisuunnistus is a game where players have to navigate through an itinerary within the city of Turku by identifying places of interests with the help of clues (e.g. pictures)6. Turku-peli7 is a game where players have to identify places of interests in Turku based on a given clue. Together these three games highlight different characteristics of the city. As a group the games may have different usages and roles. To the ordinary traveller they function as an interactive introduction to the city of Turku, but to the residents they offer the opportunity to know their surroundings better.

SERIOUS GAMES FOR LEARNING WHAT TO DO Serious Games: Characteristics, Impacts, and Issues Susi et al. (2007) point out that a quick review of existing literature seems to give several definitions of the term “serious games”, though the term is a fairly established concept. The concept of serious games is related to other concepts such as e-learning, edutainment, and game-based learning. While it is possible to find several tangency points between these concepts, it should be noted that it is not possible (and certainly not purposeful) to try to define strict borders between those concepts (e.g. according to Susi et al., game-based learning is a branch of serious games, but not all games used in game-based learning are serious games). A study by van Eck (2006) claims that the serious games market reached $20 million in 2006

– in a global digital gaming market of $10 billion. The application areas of serious games are many: government, defence, healthcare, marketing and communications, education, corporate, industry, and so on. Serious games can serve many purposes: health (e.g. games about occupational safety), training (e.g. games for employee training), education (e.g. games for continuous adult education), advertising (e.g. games for recruitment), science and research (e.g. opinion research), production (e.g. product design), work (e.g. command and control). Serious games can be defined and classified according to their characteristics. As there are many definitions of serious games, their distinctive characteristics or features have been a subject of debate among researchers. Generally, it can be said that serious games cover one or several aspects or learning: training, teaching, and informing. Therefore, the inclusion of a pedagogical framework, with clear learning outcomes, seems to be an important feature of serious games, compared to normal video games. However, according to Zyda (2005), pedagogy is subordinate to the game story. Several pedagogical approaches can be applied to games. The current trend is to apply forms of constructivist, collaborative and situated learning in order to promote knowledge construction and skills development. We are far from old-time approaches based on behaviourist learning and pure fact acquisition, which led to the failure of edutainment in the 1990s. According to Sawyer and Smith (2008), serious games borrow many characteristics and features from normal games. Serious games make use of technologies, techniques, structures and tools, borrowed from the video game industry. Hardware independence is a debatable issue: while normal games can be developed and optimized to run on specific hardware (e.g. because of hardware manufacturer’s exclusive rights to a given game), serious games should be ideally hardware independent in order to reach their audience and minimize accessibility issues.

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It has also been discussed whether serious games are games as such or rather simulations. The issues of fun and player engagement are closely intertwined with that discussion. According to many researchers, there is a contradiction in making education content fun to use as it tends to divert the attention of the learner from the learning objectives. The motivational aspect is recognized as important in learning, and it has been recognized that the “story” is an important element to engage learners in their learning activities. There is an extensive body of literature on the positive and negative impacts of gaming (in the broad sense of gaming). Susi et al. (2007) outline that serious games support the development of a number of different skills: analytical and spatial skills, strategic skills and insight, learning and recollection capabilities, psychomotor skills, and visual selective attention. They also point out that games can have several negative impacts such as: health issues, psycho-social issues, and effects of violent computer games. There is a consensus about the benefits of serious games among the proponents of games in education. However, as van Eck (2006, no pagination) puts it: “research has focused on efficacy rather than explanation”. In other words, research is needed in terms of (i) why games are engaging and effective in learning, and (ii) how to integrate games and learning processes to maximise their learning potential. In order to be accepted by their potential users, serious games have to reach the same level of quality as normal games in terms of graphics, appeal, and playability. However, serious games developers do not necessarily have the resources needed to reach the same quality level as normal games. Zyda (2005) mentions some stumbling blocks to further development: lack of resources, slow learning curve, lack of standards, expensive proprietary technology, and increased complexity of game designs. Thus the future of serious games seems to lie in how the following issues will be addressed:

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Hardware and software infrastructure: due to the limitations mentioned above, the hardware and software infrastructure issues must be solved. Developers need to get access to a technology base (both hardware and software) that is reusable, opensource and extensible. Cognitive aspects: developers need to learn how to effectively integrate pedagogical approaches within the story of games. Immersion: developers need to capitalize on recent developments in the field of human-computer interaction Business and revenue models: serious games do not use the same revenue models as commercial games. Appropriate revenue models must be developed for the actors of the serious games sector.

Playing as Learning through Reasoning What to do Interpreting the playing of digital games in terms of simulation and information processing alone would miss perhaps the most salient aspect of it, which comes close to learning by doing, and which we call learning by reasoned action. Playing digital games involves perception, action and interaction with objects, which can be interpreted as involving conscious and unconscious inferential processes (i.e. reasoning of some sort). Reasoning, in turn, may be seen as a learning process, and vice versa, learning as reasoning. Reasoning, in turn, is here seen as practical reasoning under uncertainty in a situation, triggering action. By playing digital games players learn through inferential processes (reasoning) in interaction with a virtual environment (and context) which calls for an action or decision. According to Charles Sanders Peirce (1934–63; CP 2.623), there are three basic forms of logic: induction, deduction and abduction. Peirce sees these three basic forms as complementing each other in everyday thought. Abduction’s job is to

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come up with hypotheses or guesses which would explain a surprising observation or fact. In other words, abduction looks for reasons or causes for things or events. Abduction needs to be followed by deduction, whose job is to logically derive the consequences of a cause or reason. Finally, induction’s job is to empirically test the predicted consequences, which have been obtained by deduction (CP 6.469; CP 7.220; Hoffmann, 1997; Patokorpi, 2006; Pückler, u/d; Rizzi, 2004). The mutual order of these forms of reasoning varies according to the task at hand, but what is important to bear in mind is that in all good reasoning (everyday reasoning included) we tend to use all three basic forms of reasoning in tandem. For instance, let us assume that I suddenly feel dizzy, that is, I feel that I am passing out, fainting. Previously when I have felt dizzy I have had trouble with my inner ear. This is an inductive inference, generalizing from past individual instances. But then I detect that this time there is something different in my feeling of dizziness. Previously I have had a feeling of the world around me starting to spin, but now it goes dark before my eyes. This is an abductive inference, focusing on differences and seeking reasons or causes for them. My first guess was that I have trouble with my inner ear, but, because of the differences I detected, now I have to start looking for another reason. Let us assume that I have read somewhere that the feeling of the world turning dark before my eyes is a symptom of heart trouble or trouble with blood circulation. Now deduction kicks in. By deduction I conclude that having trouble with my inner ear (affecting my sense of balance) is not something I should be alarmed about but need only to sit down for a moment. In case of heart trouble I should perhaps consult a doctor. Consequently, wise decisions and sensible action in everyday life frequently require the use of all three forms of reasoning combined. There are indications that abduction is a central form of reasoning that users resort to in digital environments or the Internet (see esp.

Cunningham, 1998; Patokorpi, 2006; Turkle, 1996). Generally speaking, people naturally seem to resort to abduction under uncertainty in a situation. Patokorpi (2006, p. 74; 2007, p. 172) lists nearly twenty different forms of abductive reasoning, giving many examples. Three forms of abductive inference are of particular interest in this context: quasi-automatic, species-specific abduction, doxastic abduction, and manipulative abduction. As a form of qualitative reasoning, abduction is, as was mentioned earlier, operative in perception, action and interaction with objects. The perceptual phenomena studied by Gestalt psychology in which we automatically round up perceptions fall within quasi-automatic, speciesspecific abduction. An example of a doxastic abductive inference is when we hit the brakes (an action as a conclusion) upon seeing red lights in traffic. The use of geometrical auxiliary figures by hand in geometrical analysis is a case of manipulative abduction (Bertilsson, 2004; Eco, 1983; Magnani, 2004; Patokorpi, 2006). Consequently, abduction, as a form of everyday reasoning, involves perception, action and interaction with (real or virtual) objects. Playing digital serious games is an interactive process of doing and reasoning in the virtual world, in which the reasons and causes inferred by abduction can be followed to their consequences (by deduction) and put to test (by induction). As Naomi Waldron (2007) rightly observes, games give us a chance to make mistakes, even in situations that in a real world would be critical, and learn from them. Paying close attention to the design of the clues that function as reasons and causes for the player, the designer may elevate the game experience above that of trial and error. When the dynamic structures of the game world are in harmony (whatever that means) with their counterparts in the real world, the inferential processes going through the mind of the player should be close to what goes on in the mind of a person in a similar situation in the real world.

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Distributed Intelligence Button (2008) accuses cognitive scientists, who use the term distributed cognition for purposes of bridging social and cognitive aspects of human behaviour, of merely rephrasing social phenomena in cognitive parlance. To translate, says Button, things taking place in our socio-cultural world in the cognitive language of ‘plans,’ ‘memory,’ ‘processing,’ and so forth does not add anything of substance to the sociological analysis. We agree, and steer clear from reinterpreting joint action and thought in the real world in “the arcane language of cognitive science and a computational model of mind” (Button, 2008, p. 89). Also, we do not adhere to the computational model of the mind. Notwithstanding, we claim that there is joint (distributed) thought (cognition) as well as externalized support for individual and joint (social, distributed) action in the form of artefacts. In the wake of Magnani (2004a; 2004b), we prefer to call this externalized support in the form of artefacts “epistemic mediators”. A similar suspicion as that of Button’s above seems to exist about digital games and their epistemic mediators, which are thus seen as cases of illusory shadow boxing. Yet the virtual is not a product of the digital world alone but virtual artefacts have been used ever since perception and consciousness emerged in life. Button is right in stating that in many cases a reference to inner mental representations does not explain what people are doing because action (and meaning) is, as a rule, in so many ways tangled with and constituted by complex social practices (and public, shared meanings). But to conclude that inner mental representations and thought in general do not add to our understanding of human (individual as well as social) behaviour would be wrong. We have access to our own as well as other’s inner mental representations through introspection, mind reading, and indirectly through behaviour interpretation by reasoning from external behaviour to reasons for action (Camerer et al., 2004; Camerer et al., 2005; Selart and Patokorpi,

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2007; Singer and Fehr, 2005). Furthermore, we still have language and communication that are so central to our species; people can tell others what goes on in their mind. Inner mental representations, which also include reasons (hypotheses) reached through some forms of abductive inference, cannot be thrown overboard. The arcane and superfluous cognitive jargon instead could be thrown overboard, as ordinary language often is quite sufficient for explaining social (coordinated) action. A model of practical reasoning which is not tied to the computational model of the mind nor to the traditional concept of information (e.g. representationalism), allows one to bridge social and cognitive analyses of human action.

Social Capital There is a TV series called “Faking it” in the UK. “Faking it” falls in the gender of reality TV, and the idea is to coach, in a period of few weeks, a completely ordinary person to do the job of a professional (professional dog trainer, sailor, symphony orchestra conductor, and so forth). The MTV show “Made” might be more relevant to American readers. Though the show, “Made,” is slightly different because it tends to focus on teaching an individual a skill, like dancing, that could be considered more of a hobby than becoming a professional. More often than not these people succeed in conning the experts evaluating their performance. Given that their performance is convincing, why are these people seen as faking it? After all, they have acquired the skills and often do, at least momentarily, perform on a par with real professionals. The answer is: because they do not have the social and cultural underpinnings that should go with a skill, talent or performance. One may know how to sing but it does not make one a singer. Pierre Bourdieu (1985) speaks about social and cultural capital, which has to be properly appropriated through inheritance or authorized schooling in order to the skill, talent or knowledge to be acknowledged in society. It does

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not mean that social and cultural capital is something imaginary, quite the contrary. Bourdieu’s point is that these two forms of capital are guised by economic capital, that is, economic capital can be exchanged into cultural (e.g. skills) and social capital (e.g. connections). Thus economic inequality reproduces itself as cultural and social inequality. Free digital games for e-Government purposes could be a short cut to skills and knowledgeability in a variety of walks of life. Digital games and other game-like applications seem to have the capacity to quickly raise novices close to the level of skilful and knowledgeable actors. Moreover, we all will be winning if more and more people would be given a chance to acquire civic skills and knowledge as well as participate more in democratic decision making.

Solutions and Recommendations Playing digital games is a sort of doing that at its best deeply engages, on both emotional and intellectual levels, the person playing. This type of learning can be characterised as learning by doing. Although the playing field is not real but virtual, what goes on in the head of the player may bear close resemblance to what goes on in the mind of a person performing a similar task in the real world. The mainstream view on logic, which focuses on the so-called higher intellectual processes like deductive reasoning, cannot accurately and comprehensively enough catch the perceptual and mental processes and their connection to action and interaction to allow a useful analysis of the processes of the mind. A Peircean view on logic does. Abductive logic in particular could provide a means of analysis because abduction is an inferential process that cuts across perception, action and interaction (interaction with digital objects as well as with other players). The Peircean approach is a world apart from a behaviourist approach that severs perception sharply apart from thought and reasoning. It also differs from a narrower understanding of pragmatism which does not fully

appreciate the central role of the virtual also in the real world outside of any digital technologies. We largely live in a human-made world, which is turning into more and more digital. Some things that we nowadays do in the real world are more dependent on virtual elements than real ones; a fighter pilot has for instance to trust the gauges more than what her body tells her. Clues are the stuff that abductions are made of, and the clues that surround us and on which our life depends in today’s knowledge society are increasingly virtual. Detailed empirical studies of what goes on or is likely to go on in a player’s head, and, based on this knowledge, how to design a good, purposeful game seem a feasible way of finding out what makes good educational games good. Practical reasoning in general and abductive reasoning in particular are the tools of the man in the street, although there hardly is any hard and fine line between professional and amateurial reasoning. A some sort of understanding of issues that concern all of us (i.e. civic affairs) is always better than no understanding at all. Serious games may help us gaining at least a better understanding of things. And, if we have ways of predicting, designing and testing what kind of understanding and skills a given game promotes, the professionals of the given field should be able to check whether the players have a fighting chance to learn useful and truthful things. Finally, knowing things like how society works, and the rights and responsibilities of the members of that society, in a word, civic skills, is the kind of social capital whose distribution by the means of digital games can hardly have other than good consequences in a democratic society.

FUTURE RESEARCH DIRECTIONS An obvious topic for further research is a detailed empirical study of how digital games for e-Government purposes function in terms of everyday reasoning and practical reasoned action. In other words, do the serious digital games enhance our

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ability to make informed decisions and act in a reasonable way in the real world or is it so that social capital simply cannot be exchanged into digital currency. In this chapter we have developed a preliminary theoretical argument for the former alternative, levelling the way for detailed and comprehensive empirical studies of the topic in the future. This sort of research falls under the label of ecological rationality that has recently been applied for instance in behavioural economics. Many open questions round the digital divide still remain. In today’s information society, access to digital networks and repositories should be a basic right for all. However, not only the developing countries but also the so-called information societies have their digital have-nots. More research into the situation of digital haves and have-nots in both developing and industrialized countries is called for. What kind of obstacles do developing countries as compared to industrialized countries face? What can game developers and government officials do to bridge the digital divide? Also, empirical studies on both successful and failed serious games projects for e-Government purposes are required. Little has been done to compare game-learning to other mediums of learning. It is common knowledge that different individuals have different personal learning styles. For instance, some individuals prefer visual information wheras others are auditory learners. It would also be interesting to know how different personal learning styles affect game-based learning. Does one size fit all or are there individuals who for some reason do not benefit from serious games?

CONCLUSION As the economic importance of the creative industries as a whole has increased, also the economic potential of games is beginning to be more fully appreciated. Nowadays digital games are in the forefront of technological development, but the

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application and use of games and game design for other than entertainment purposes – especially for e-Government purposes – has been modest. Games for e-Government purposes are usually called serious games. Serious games differ from games for entertainment purposes alone mainly in that their design incorporates some sort of a pedagogical framework. Instead of pedagogical approaches based on behaviouristic and straightforward information acquisition that were popular in the early years of educational games, constructivist approaches to learning are now in mode. Serious games should be hardware independent in order to make them more widely accessible to citizens, which requirement makes the work of serious games developers harder. However, the greatest problem from the point of view of game design and especially research is how to explain what makes serious games effective and engaging in learning. When serious games are used for e-Government purposes, the questions of effective and engaging learning are related to issues like informed participation in democratic decision making and transparency of governance. The subsection on examples of games in eGovernment gives an inkling about the scope of issues already rendered in a gamelike form. Concepts like interactivity, cost-effectiveness and updateability that are used there to describe the games are general features which at best help finding some common ground between technical design and the pedagogical framework. However, it does not suffice if one is to find out what makes a particular game good or bad in terms of its educational and democratic potential. It is possible to make a bad game even if one had utilized all the features listed there. A sharper tool for assessing educational games for governance is required. We suggest a Peircean view on practical logic as a means of analysing the learning process and outcome of digital games. This suggestion is discussed in some detail in the subsection on solutions and recommendations above, and will not be repeated here. The chapter at hand is con-

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fined to presenting a general argument in favour of seeing online playing as a process of reasoned action in the possible worlds of digital games. A comprehensive empirical study is required to test the general theoretical claim made here.

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Wellman, B. (2001). Physical place and cyber place: The rise of personalized networks. International Journal of Urban and Regional Research, 25(2), 227–252. doi:10.1111/1468-2427.00309 Westera, W. (2008). Serious games for higher education: A framework for reducing design complexity. Journal of Computer Assisted Learning, 24(5), 420–432. doi:10.1111/j.1365-2729.2008.00279.x

Serious Games: Games designed for purposes other than merely entertainment, that is, to educate, train, investigate, inform, or advertise. Social Capital: The contacts that a person has with other people are seen as having value analogical to for instance how physical objects have value. Societal Games: Games pertaining to matters related to a group of interdependent individuals.

KEY TERMS AND DEFINITIONS

ENDNOTES

Abduction: A form of practical reasoning typically used under uncertainty in a context. Distributed Intelligence: The mind seen as not only restricted to what is inside the head but also including objects and other minds as external sources. e-Government: The use of new information and communication technologies in order to enhance all kinds of interaction between citizens and government officials for the purposes of governance, business and civic engagement. Practical Reasoning: To engage oneself in deliberation on what to do in a context or situation.

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Chapter 9

Managing Interactional Performance in E-Government Françoise Simon Research Center on Mediations, University of Haute-Alsace, France

ABSTRACT Currently, citizen-users show a noticeable preference for in-person communication, over Internet-based delivery channels. As a result, governmental agencies still face high numbers of contacts via more traditional service channels such as phone and desk. This chapter deals with the issue of interactional performance in public e-service delivery. It offers a conceptual framework built on the literature of media choice and the theory of perceived justice. As such, it examines the interplay of service complexity, media richness, and social cues on individual media preferences. In addition, it presents key factors which lead citizen-users to the perception of a sense of equity through electronic communication. Finally, this chapter concludes by highlighting a number of possible directions for future action.

INTRODUCTON Since the early days of e-government, there have been many predictions that e-government will metamorphose the delivery of government service for citizen-users. As a matter of fact, the primary reason why people actually use e-government is to collect information from public websites and to file tax forms (Ebbers, Pieterson & Noorman, 2008; Reddick, 2005). This is in concordance with the ways in which the government use of the Information and Communication Technologies (ICTs) has been framed in the mid-1990s, DOI: 10.4018/978-1-4666-0116-1.ch009

promoting e-government primarily as a method to create an electronic face for the government and outline the policy of government agencies (Chadwick & May, 2003; Mahler & Reagan, 2006). Currently, citizen-users show a marked preference for in-person communication, over Internet-based communication options when they perceive their request as being rather complex (Ebbers et al., 2008; Gagnon, Posada, Bourgault & Naud, 2010; Streib & Navarro, 2006). Similarly, their views on the value of e-government services may not correspond with factors classically associated with the digital divide, such as race and income (Streib & Navarro, 2006). As a result, studies from various countries show that governmental

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agencies still face high numbers of contacts via more traditional service channels, i.e., phone and desk (Ebbers et al., 2008). Keeping in mind the citizen-users’ preferences for traditional channels when interacting with the public sector, that may be irrespective of digital divide, this chapter offers a conceptual framework to explain how to get satisfaction and commitment from users in making up for the lack of relational cues which does characterize the electronic medium. Our rationale is based on the analyses conducted both in the fields of services marketing and information systems management, in order to improve the organizations’ performance through interaction in itself, especially when service situations are inherently complex. In so doing, this paper presents a critical overview of literature on media choice which highlights the relevance of social presence to mediated environments as well as that of the media richness theory with regard to the ambiguity of citizen-users’ requests. It argues also for a more systematic approach to trust breakdowns which generally result in citizen-users being more sensitive to the issue of perceived justice. The results of a survey related to public complaint handling in a French context are conducive to identify major antecedents of the sense of equity which may be perceived through interaction. Finally, this chapter concludes with recommendations for improving interactional performance.

BACKGROUND From a global perspective, electronic government can be defined as including all ICTs supporting government operations, engaging citizens, and providing government services. Advanced stages of public e-service delivery development usually involve two-way interactions as well as full online transactions, including delivery and payment (Layne & Lee, 2001). According to the conceptual framework proposed recently by Dawes (2009) for considering the future, e-government can further 168

be defined as a “dynamic socio-technical system encompassing interactions among societal trends, human elements, changing technologies, information management, interaction and complexity, and the purpose and role of government” (p. 257). As outlined by Dawes, human elements go far beyond the notions of human–computer interaction to include some key aspects as identity, personal choice, privacy, trust, adjustment and learning, and acceptance of change. This perspective introduces at least two dimensions which underlie the public e-service delivery interactional performance, which is the level of satisfaction reached by the organization’s partner in communication during their interaction. In the first instance, it somehow reflects the tension which does exist between personal media preferences and adjustment to imperative communication technologies when interacting with public organizations. In the second instance, it highlights the importance of trust which refers to the potential outcomes in terms of commitment to the organization as well as the mechanisms needed to build and maintain trust in e-government processes and services. However, much of the existing work on the development of e-government has explored it from a supply-side perspective. In addition, the demand-side explanation has been relatively unexplored beyond the initial stages of cataloguing information on the Web (Reddick, 2005). Furthermore, the lack of understanding of the potential of technologies by many officials (e.g., Jaeger, Paquette & Simmons, 2010) and the tendency to use e-government primarily as a way to make information available and distribute the views of government agencies (e.g., Mahler and Regan, 2006) have somewhat promoted websites which are not “designed to be centred on the need of users” (Jaeger & Bertot, 2010, p. 3) and hindered the potential interactional effects of e-government. As a consequence, there is a need to focus on the way in which public e-service delivery through interaction in itself leads to users’ satisfaction and trust building.

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MEDIA PREFERENCES OF CITIZENUSERS: A CONTINGENT APPROACH Customers or citizen-users’ media preferences in service delivery are likely to result from the interplay of individual and situational factors, and such a premise argues in favour of a contingent approach of media preferences. Indeed, communication research as well as studies in the information systems field highlight that users elaborate attitudes toward media according to affective and cognitive factors, which are related to individual perceptions of media social presence and richness. From a cognitive point of view, the media richness theory (Daft & Lengel, 1984, 1986) posits that individuals are likely to choose or prefer a media according to how well its perceived richness matches the complexity of the task they have to perform. Since public services may be intrinsically complex, the media richness theory is appropriate to explain how citizen-users elaborate media preferences whenever they need interacting with public organizations. Grounded on the rational-experiential theory of the psychologist Epstein (1994), an additional cognitive view is to consider the influence of cognitive style on media preferences and the interplay of cognitive style and task complexity. From an affective point of view, individuals seek to capture social presence, that is a sense of “being together with another” (Biocca, Harms & Burgoon, 2003, p. 459) when they interact with organization representatives, whatever the nature of the medium. This is why a better understanding of how to enrich the users’ perceptions of electronic channel socialness is of key interest to improve the e-government.

The Media Richness Theory Relevance in the Context of Public E-service The Media Richness Theory (Daft & Lengel, 1984, 1986) attempts to describe the conditions under which a specific medium is chosen for com-

munication. The theory builds on a contingency approach in that it hypothesizes on the relationship between task perceived analysability and media choice. Task analysability refers to the degree to which tasks involve the application of objective and well-understood procedures that provide predetermined responses to potential problems. An unanalysable task requires individuals to think about, create, or find satisfactory solutions to problems outside the domain of facts, rules or procedures. Media Richness Theory assumes a rational selection process that matches situational media preference with levels of uncertainty and equivocality. Uncertainty refers to a state of mind experienced by an individual when information is insufficient. Uncertainty leads individuals to search for additional data. Equivocality refers to the ambiguity inherent to the information itself as a result of differences between frames of references. Equivocality may be reduced through the exchange of subjective views between communication partners in order to define the problem and the key aspects of the topic. Thus, the mere provision of data does not necessarily reduce equivocality. Furthermore, uncertainty and equivocality tend to strongly reduce task analysability. In the Media Richness Theory, the primary feature of an information medium is its richness, which is defined as the ability for the information to change the understanding of the partner within a certain time interval. Daft and Lengel (1984, 1986) suggested that media differ in the amount of “rich” information they can convey. Richness in this context is a function of four factors: the capability of a medium (1) to provide immediate feedback, (2) to transmit verbal and non-verbal communication cues, (3) to provide a sense of personalization and (4) to simulate the variety of meaning that can be conveyed by natural language. Research studies, which have been primarily used to study intra-organizational communications (e.g., Daft, Lengel & Trevino, 1987), ranked communication media according to their richness. Face-to-face communication was found

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to be the richest medium followed by telephone, email, written addressed documents as memo or letter, Web sites and unaddressed documents. Indeed, face-to-face communication allows rapid mutual feedback; conveys non-verbal cues such as gestures, tones, and eye movement; and gives both parties increased personal attention. Thus, face-to-face communication is the baseline for describing media richness since the message can be adjusted, clarified, and reinterpreted instantly. At the core of the Media Richness Theory is the rational shaping of individuals as cognitive optimizers: individuals rank different tasks by their equivocality, then rank media according to how well their richness matches that equivocality, then choose the match that maximizes the effective performance of the task. The theory contends that effective communication reduces ambiguity levels by achieving a good match between media and the level of equivocality (rather uncertainty) in a message. This rational claim was supported in a large number of studies examining managers’ hypothetical media choice (Fulk & Collins-Jarvis, 2001). Other empirical researches have been applied to study the use of electronic mail (see for example Lee, 1994) and online stores (Brunelle, 2009) as well as the impact of media on the perceived quality of a service (Froehle, 2006). As Carlson and Zmud (1999) and King and Xia (1997) pointed out, the media richness theory was generally supported when tested on so-called traditional media, such as face-to-face meetings, telephone calls, letters, and memos. However, inconsistent empirical findings have resulted from the introduction of new media such as electronic mail. These inconsistencies have encouraged a reconsideration of the media richness theory to handle new media. As a result, an extension of the theory has been formulated: the channel expansion theory (Carlson & Zmud, 1999). The channel expansion theory suggests that past experiences influence how an individual develops a richness perception for a given channel. This theory identifies certain experiences as

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important in shaping how an individual develops a richness perception for a given channel. Four experiences are identified as being particularly relevant: experience with the channel, experience with the topic of the message, experience with the organizational context, and experience in communicating with the co-participants. Empirical research demonstrated that the acquisition of relevant experience in each of these domains by partners in communication leads to develop associated knowledge bases that may be used more effectively both to encode and decode rich messages on a channel (Carlson & Zmud, 1999). Thus, individuals whose experiences build such knowledge bases will perceive the channel as becoming increasingly rich. Alternatively, participants who do not develop these knowledge bases will not develop capabilities for engaging in richer communication and will therefore have a relatively stable perception of the channel’s richness. In the context of a public service encounter, task analysability may be low due to the objective complexity of topics and to the perceived ambiguity of texts and procedures for citizen users. In addition, the ignorance of public organizations contributes to increase the level of task equivocality from the citizen user’s point of view. In such situations, the citizen-user has difficulty in defining his or her problem and elaborating cognitive ways to think about solutions. Besides, e-service delivery generally occurs with higher levels of anonymity reducing the opportunity to acquire experience with communication partners. On the whole, it seems that regardless of the user’s experience of the medium, public e-service delivery is likely to promote high levels of task equivocality which can not be alleviated by experience and familiarity with public service representatives. If we now consider experience with the medium involved in public e-service, that is generally electronic messaging or website, e-service delivery deserves a more nuanced appraisal beyond the digital divide. Indeed, websites consultation and electronic messaging are largely used by families

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in developed countries as shown by statistics on e-commerce or the most recent surveys on this topic. The European Interactive Advertising Association reported in April 2008 that almost three-quarters (73%) of European people living with children are logging on to the internet each week. In January 2006, according to the same source, 80% of German internet users had made at least one online purchase in the previous six months, which is to be compared with a 60% average for the whole of Europe. To sum up, the Media Richness Theory leads us to consider that when a citizen user logs on to the internet on a regular basis, the more experience he or she has with public organisations and different topics of interest, the more likely he or she is to perceive public websites or electronic messaging as being rich media and to consequently elaborate consistent media preferences.

The Interplay of Individual Rational-Experiential Style and Service Complexity As reported by Simon and Usunier (2007), the cognitive-experiential self-theory (Epstein, 1994) proposes the assumption that people have two fundamentally different but parallel modes for processing information: A. A “rational” system in which the person operates primarily at the conscious level. It is intentional, analytical, verbal, and relatively affect free. B. An “experiential” system that is more automatic, pre-conscious, holistic, and “associanistic,” according to the term coined by Epstein (1994). It is also primarily nonverbal and intricately associated with affect. A basic assumption in the cognitive-experiential self-theory is that all human behaviour is simultaneously influenced by both systems, with their relative contribution varying according to the

situation and the person (Epstein, Pacini, DenesRaj & Heier, 1996). From a situational point of view, the cognitive-experiential self-theory predicts that interpersonal interaction relates to the experiential system, whereas reasoning and problem solving mobilize the rational system. From an individual point of view, the theory posits that people differ in the degree to which they characteristically rely on one system rather than the other. As such, rational-experiential thinking styles are relevant in explaining attitudes toward automated self-service because service users anticipate and actually make much of a mental effort when using it instead of being supported by the organization’s representatives. Automated self-service broadly refers to automated kiosks using selfscanning, online ordering and payment, website information searching or online complaining. As pointed out by Simon and Usunier (2007), automated self-service involves more cognitive effort than traditional interactions with service personnel for two basic reasons. In the first place, users often experience difficulties in navigating the interface of self-service technologies due for instance to the low visibility of information, the system resistance to change initiated by users, the cognitive effort required to meet particular goals, or the premature choices imposed upon users. In the second place, the unique features of a faceto-face communication cannot be duplicated in an automated service. In contrast to automated interaction, face-to-face communication promotes the transmission of pragmatic and non-verbal messages which help interpret propositional content. In addition, the organization’s representatives can provide their experiences and personal opinions while being asked questions by the users. Answers from service personnel provide immediate feedback to consumers and enable them to verify and adapt information that was explicitly stated in the interaction, this statement being highlighted by the media richness theory.

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In summary, face-to-face communication requires a lower level of cognitive effort than using communication technologies to understand service content. As a consequence, service users high in rational style are more likely to prefer to engage in the search for structured information involving conscious cognitive tasks, such as those required for self-service technology. By contrast, consumers high in experiential style tend to rely on service employees (or other customers) to make up their minds about service options and obtain service delivery, rather than use ICT. This claim was supported in an empirical research investigating the attitudes toward several automated services, the services varying in their analysability levels (Simon & Usunier, 2007). Besides, service complexity, which is the degree of ambiguity and uncertainty involved in the provider-user interaction processes and consequences (Daft et al., 1987), was found to moderate the influence of cognitive styles on preference for service technology. Thus, the more likely a user is to perceive a service as intrinsically complex, the more his or her cognitive style is likely to influence his or her attitude toward self-service technology. Consequently, when public service is anticipated to be complex, individuals with respectively high experiential or low rational style will tend to avoid e-service delivery and require face-to-face communications.

The Social Presence as a Stable Propriety of the Medium Presence has been recognized as a key performance goal for many information systems. Different media may generate different levels of presence, which is broadly defined as the perceptual illusion of nonmediation. Several researchers (see for a review Biocca et al., 2003) have presented presence as consisting of two interrelated dimensions: telepresence and social presence. Telepresence, also known as physical presence, describes the illusion of being physically present in the setting

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simulated by the medium whereas social presence captures the sense of being together with another. The theory of social presence has been largely used to describe and understand how people socially interact in online environments. The most widely used conceptualization of social presence is proposed by Short, Williams & Christie (1976), where social presence is defined as “the degree of salience of the other person in the interaction and the consequent salience of the interpersonal relationships” (p. 65). As pointed out by Biocca et al. (2003), their approach has roots in symbolic interactionism (Blumer, 1969) and social psychological theories of interpersonal communication. Symbolic interactionism has emphasized that symbolic representations were central to social phenomena, contributing to our conceptualizations of the social realm and helping form the self. This theoretical framework guided the emphasis of social presence theories on: (a) the awareness of and the representation of the other, (b) the “socialness” of the medium and, (c) the presence or absence of verbal or non-verbal cues in mediated communication. Besides this widely used conceptualization, the early presence research also has proposed a variety of definitions to highlight the different aspects of social presence. In particular, the sensorimotor approach (Biocca et al., 2003) views social presence as the sensory awareness of others often achieved through self-presentation features such as signatures, avatars, and personal profiles. Indeed, the other is frequently embodied by some agent or simpler representational device in mediated interactions (Cassell, Sullivan, Prevost & Churchill, 2000). Another approach extends social presence to include behavioural engagement (e.g., eye contact, nonverbal mirroring, and turn taking), this conceptualization of social presence being especially relevant to high-bandwidth media applications such as immersive virtual reality and computer games (Biocca et al., 2003). In the final analysis, Short et al. (1976) posited that communication media differ in their degree

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of social presence and conceptualized social presence primarily as a quality of the communication medium. From their perspective, a medium with a high degree of social presence is seen as being sociable, warm, and personal, whereas a medium with a low degree of social presence is seen as less personal. Most research in the information systems field adopted this conceptualization and measured social presence as the extent to which a person perceives a medium as unsociable/sociable; insensitive/sensitive; cold/warm; and impersonal/ personal. In other words, social presence denotes stable properties of the medium and allows comparing different media. For instance, face-to-face interaction is seen as having a high social presence, whereas computer-mediated communication is considered low in social presence since nonverbal and relational cues are filtered out. In the context of e-service delivery, the sensorimotor approach suggested by Biocca and his colleagues points outs that representational devices, by embodying organizations’ representatives, may enrich the social presence of electronic messaging.

The Hyperpersonal Perspective in Electronic Communications Recent findings suggest that the user’s behaviours which are used to make up for the cues that are filtered out, matter as much as the medium’s supposed ability to create a sense of social presence in computer-mediated and online environments. For instance, participants in online discussions, using text alone, are able to project their personalities into online discussions and create a social presence (Swan & Shih, 2005). Most of these researches are built on the theoretical framework proposed by Walther (1992) in the Social Information Processing theory. Walther developed this model in response to previous theories which assumed that the absence of non-verbal cues led to a quasiabsence of sociability and failed to acknowledge that just as cues are filtered out, other cues are filtered into computer-mediated communication

(Walther, 1996). Walther (1992) argued that the human’s social nature is the same in computermediated communication and in face-to-face environments, the communicators being motivated to develop impressions and relations despite the hindrances that electronic media may impose. As a major issue, Walther (1995) demonstrated that, given enough time, users in computer-mediated communication are able to develop the same level of intimacy as in face-to-face communication. Walther (1994) also found that the possibility of a future interaction positively influences the degree to which people socially interact online. In addition, the way partners used emoticons was shown to influence interpersonal communication online (Walther & D’Addario, 2001). Thus, emoticons fill the part of clarifying textual messages which is similar to how non-verbal displays work in a face-to-face context. In some cases, computer-mediated interactants may exhibit a greater proportion of more direct and intimate uncertainty reduction behaviours than unmediated participants do, and demonstrate significantly greater gains in attributional confidence over the course of the conversations (Walther, 1996). In other words, computer-mediated communication may surpass the levels of affection and emotion of parallel face-to-face interaction, encouraging “hyperpersonal” communication. Such phenomena not only take place in contexts devoted to social or recreational interaction such as games or chat systems, but also in decisionmaking groups. In the hyperpersonal perspective, senders select and express communication behaviours that are more stereotypically desirable in achieving their social goals without fear of contradiction. At the other end, the receivers construct idealized images of their partners and relationships, resulting in an over-attribution of similarity (Spears & Lea, 1992) and, through reciprocation, they confirm these idealized images. These processes may be further enhanced when the interaction is also asynchronous, allowing communication

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partners to relax time constraints. As noted by Walther (1996), “In asynchronous interaction, one may plan, contemplate and edit one’s comments more mindfully and deliberatively than one can in more spontaneous, simultaneous talk” (p. 26). To sum up, Walther’s social information processing theory argues that given the same investment of time and involvement, people will find ways to compensate for any cues that are filtered out, allowing relation quality in computer-mediated communication to be the same or even higher as in face-to-face communication. Such an assumption is highly relevant to e-service delivery since it points out how imperative the addition of extended time is when communicating through electronic messaging.

Websites Socialness Perceptions As noted by Wang, Baker, Wagner & Wakefield (2007), a growing body of research supports the contention that in human–computer interactions, people treat the computer as a social actor rather than only as a medium. The basis for this argument is the social response theory (Moon, 2000), which states that people apply social rules to respond to computers when computers possess humanlike attributes, or social cues. Thus, people treat computers as social actors even though they are aware that they are interacting with machines. Researchers suggest that mindlessness is the reason for these responses (Nass & Moon, 2000), which occur as a result of unconscious attention to contextual cues (e.g., human characteristics) on the computer screen. These cues trigger the individuals’ various scripts and expectations in accordance with their prior experiences. When a computer possesses human-like cues, people tend to respond automatically to the computer with their own oversimplified social scripts including reciprocity behaviours. In this respect, Steuer and Nass (1993) suggest that four cues are particularly relevant to eliciting social responses: language, human voice, interactivity, and social role.

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Moon (2000) demonstrates that humans and computers may engage in intimate self-disclosure exchanges when the language on the computer is entirely text based. As a second cue, voice (or human-sounding speech) is likely to encourage the use of rules associated with human–human relations since humans are uniquely capable of speech. Steuer and Nass (1993) find that people respond to different voices on the same computer as if they were different social actors and that people respond to the same voice on different computers as if it was the same social actor. Qiu and Benbasat (2005) conducted a laboratory experiment to empirically test the effects of textto-speech voice on consumer trust toward service representatives. In this study, text-to-speech voice was implemented to deliver answers aloud. The results demonstrated that the presence of a voice significantly increases the consumers’ trust toward the service representatives. Interactivity is a third social cue whose main facets are two-way communication and synchronicity. Synchronicity refers to the degree to which the users’ input into a communication and the response they receive from the communication are simultaneous, which is considered immediate feedback. Two-way communication and immediate feedback are key characteristics in interpersonal communication. Indeed, all websites have some degree of interactivity due to the nature of Web browsing (Hoffman & Novak, 1996). Finally, as a social role cue is derived by observing the roles the entities perform, it could be filled simply by giving a label to an entity. People tend to take labels at face value because doubt requires greater cognitive effort (Steuer & Nass, 1993). Research has demonstrated that people perceive computers as filling roles and then respond accordingly simply by physically labelling or referring to the computers by their role (e.g., “tutor”) (Steuer & Nass, 1993). So far the most prevalent communication modality in online environments has been text. Thus, E-mail, instant messaging, and discussion

Managing Interactional Performance in E-Government

forums have been widely used to facilitate communication between online shoppers and vendors. Although voice channels also are available through some websites, most small- and medium-sized vendors cannot afford dedicated call centres and service staff (Qiu & Benbasat, 2005). With the help of emerging multimedia technologies, private or public organizations can now use computergenerated voice and humanoid avatars to embody customer service representatives, thus enriching the interactive experiences of their customers. For instance, in keeping with the social response literature, Wang et al. (2007) used in their experiment an avatar designed to include a social role, a human voice, language and interactive expressions through interactive web pages, in order to render high-social a travel website. Thus, the website contained a graphically represented female character in the form of a tour guide to be consistent with the travel theme of the website. The tour guide character was designed to exhibit appropriate employee-like attributes, such as a friendly attitude, a professional-looking appearance, customized assistance, and greetings. The research demonstrated that this high-social website induced perceptions of socialness, leading to increased pleasure and arousal, both of which positively influence hedonic and utilitarian value, and patronage intentions. Another way to enrich the users’ interactive experiences in many websites is through welcoming the user by name as he or she enters the website and making website and subsequent e-mail communications personalized. Recommendations and consumer reviews are also acknowledged as significant features of a website contributing to a higher social presence (Kumar & Benbasat, 2006). Websites such as Amazon.com generate recommendations by using methods that indirectly infer, based on clickstream data, information about a customer’s needs and preferences. Users perceive recommendation agents that provide advice by specifically focusing on their needs for using the product or service (rather than asking them

to specify the attributes that they would like the product or service to have), as more personalized and social (Komiak & Benbasat, 2006). Thus, a website utilizing a recommendation system generates customized web pages in response to a user’s query, creating the impression of being engaged in a one-on-one dialogue with that user. This gives a sense of personal connection with the website, resulting in a higher social presence emanating from the medium. On the whole, the social response theory provides a useful framework to improve public organizations’ websites in highlighting the contribution of social cues such as avatars, human-sounding speech, interactivity and virtual human roles. In particular, a stronger sense of social presence in mediated environments is likely to reduce avoidance behaviours from users whose cognitive style is highly experiential in terms of the psychologist Epstein (1994).

Relational Consequences of Social Presence in an Online Environment A growing body of research supports the contention that in human–computer as well online interactions, social presence contributes to the user’s trust and interactional satisfaction. For instance, empirical studies have found that e-mail adoption is influenced by the perceived social presence of the medium (Gefen & Straub, 1997) and that the sense of social presence contributes to the customer’s trust and satisfaction with e-commerce websites (Kumar & Benbasat, 2002). Some researchers have found that trust is likely to be affected by the media richness. Bos, Olson, Gergle, Olson, & Wright (2002) studied the emergence of trust in four different communication situations: face to face, video, audio, and text chat. They found that the first three richer situations were significantly more advantageous than text chatting. Similarly, Greenspan, Goldberg, Weimer, & Basso (2000) used a controlled experiment to study prospective homebuyers who selected houses using three me-

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dia, which were website, telephone, and a system combining telephone and television. Their results demonstrated that the telephone and the telephonetelevision system, which are richer media than website according to the media richness theory, can lead to higher levels of trust.

INTERACTIONAL JUSTICE IN E-GOVERNMENT Grounded on the social justice theory (Adams, 1965; Blau, 1964), the concept of perceived justice has been widely used in the context of services, to account for users’ satisfaction with service handling. Since public service results in many opportunities for a fairness breakdown from the citizen-user’s point of view, perceived justice appears to be a valuable concept to explain both public interactional performance and some relational outcomes such as satisfaction and commitment. We draw on a survey related to public complaint handling in a French context to show that empathy and the organization’s efforts are key antecedents of interactional performance. In so doing, we also examine the influence of a service channel on perceived justice, keeping in mind the task equivocality issue.

Perceived Justice as a Valuable Concept to Explain Public Service Users’ Perceptions Social justice theory views social interaction as a reciprocal exchange governed by a norm of justice, in which individuals seek to maximize outcomes and minimize inputs (Adams, 1965; Blau, 1964). When a person perceives that he or she is not being treated fairly, this person feels distressed and seeks restoration. The assessment of how equitable the exchange is depends on the individual’s view of the value and the relevance of the exchange partners’ inputs and outcomes. The inputs are the contributions to the exchange,

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whereas the outcomes are defined as the positive or negative consequences that occur as a result of the exchange with the partner. Inequity exists when an individual perceives that his or her output/ input ratio is unequal to his or her referent’s ratio. Seiders and Berry (1998) suggest that perceived justice is particularly salient in the context of services, because intangible benefits can be difficult to evaluate for users especially when the service complexity is high. In service encounters, customers or citizen-users often participate in the service production and are directly exposed to the organization’s operating systems, practices, and policies (Lee & Rao, 2009), resulting in many opportunities for a fairness breakdown from the user’s point of view. In addition, public service delivery is concerned with the implementation of governmentally mandated restrictions which are likely to involve fairness considerations. In marketing literature, the impact of perceived justice was examined in the context of service failures and subsequent recovery. Taking into account the public service perceived complexity and the regulatory restrictions it is associated with, the concept of perceived justice appears highly relevant when explaining citizen’s satisfaction with public service, and further with public e-service. Besides, service handling involves perceptions of justice at different levels (Bies & Shapiro, 1987; Greenberg, 1996). Thus, the users’ interaction with the organization’s representatives, the procedures an organization uses to handle service and complaints, and the outcomes of service all generate perceptions of justice. Consistent with work in social and organizational psychology, service research has consequently taken a threedimensional approach to perceived justice thus including procedural, interactional, and distributive justice (e.g., Smith, Bolton & Wagner, 1999). Distributive justice is concerned with a distribution of resources, which affects the individual’s wellbeing. It describes the fairness of the complaint or service outcome as the customer or citizenuser perceives it. Procedural justice reflects the

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perceived fairness of the service-handling policies and procedures. In particular, procedural justice refers to the methods the organization uses to deal with the problems arising during service delivery, in aspects such as accessibility, timing/speed, process control, and flexibility to adapt to the citizen-user’ s recovery needs. Interactional justice refers to the perceived fairness of the behaviour that employees exhibit toward the organization’s users. Interactional justice is defined as the customers’ perception of the extent to which they have been treated with justice, honesty, and courtesy in their personal interaction with the organization’s representatives in charge of the service (Maxham & Netemeyer, 2002).

Satisfaction and Trust as Positive Outcomes of Perceived Justice Researches analyzing the effects of recoveryrelated justice on emotions show that low levels of perceived justice correspond to high levels of negative emotions and low levels of positive emotions (Varela-Neira, Vazquez-Casielles & Iglesias-Arguelles, 2008). As demonstrated by DeWitt, Nguyen and Marshall (2007) within the hospitality industry, when a customer experiences a good recovery, he or she tends to perceive a high level of justice that, in conjunction with positive emotions, creates a positive attitude toward the service provider and increases the likelihood of future patronage. In contrast, customers who experience poor service recovery perceive low levels of justice and are likely to exit the relationship with the service provider. Other findings are that perceived justice is strongly correlated to the satisfaction with the service encounter, which positively affects trust and commitment toward the organization (Maxham & Netemeyer, 2002 ; Vazquez-Casielles, Alvarez & Diaz Martin, 2010). Each dimension of perceived justice may vary in importance depending on the context analyzed, which refers to the type and characteristics of the service delivered, as well as the features of the

service failure. For instance, in a bank industry research that captured the customers’ perceptions over time following a service failure and a recovery attempt, Maxham and Netemeyer (2002) found that procedural and interactional justice are more influential in forming an overall satisfaction with the organization than distributive justice. Besides, Karatepe (2006) found in a hotel industry study that the effect of interactional justice on a complainant’s satisfaction was stronger than that of distributive and procedural justice. In summation, public service-related perceived justice is likely to positively affect attitude as well as trust and commitment toward the organization, interactional justice contributing specifically to such relational effects.

Empathy and Organization’s Efforts as Key Antecedents of Interactional Performance As mentioned above, interactional justice refers to the extent to which service users perceive they have been treated with justice, honesty, and courtesy in their personal interaction with the organization’s employees. Since public service offers many opportunities for a fairness breakdown due to perceived service complexity and regulatory restrictions, we state that interactional justice strongly contributes to the extent to which a public organization provides satisfaction to its users through service interaction, that is interactional performance. In this respect, most of the researches pertaining to the interactional justice and interaction related-service quality identified empathy and efforts as key antecedents of interactional performance in addition to courtesy (e.g, Tax, Brown, & Chandrashekaran, 1998; Homburg & Fürst, 2005). Following Parasuraman, Zeithaml and Berry (1988), many scholars highlight that empathy is among the most important features of service quality and further, interactional performance. In a broad sense, empathy is defined as the phe-

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nomenon that connects two otherwise isolated individuals to each other (Davis, 1996). This construct includes identification and emotional contagion and involves understanding the internal states of others (Preston & de Waal, 2002). As such, empathy refers to caring, attentiveness and understanding the customer’s needs when providing services. As the second important antecedent of interactional performance, effort refers to the force or energy with which work is accomplished (Brown & Peterson, 1994). Therefore, interactional efforts can be conceptualized as the amount of positive energy spent by the organization’s representatives in delivering service and solving problems in favor of customers or citizen-users (Karatape, 2006). In recent years, the concept of perceived efforts has indirectly received an increasing interest through theories about reciprocal behaviours (e.g., Palmatier, Jarvis, Bechkoff & Kardes, 2009; Tsang, 2006). In this latter perspective, the organization’s investment in the relationship and interactional efforts generate customers’ feelings of gratitude, which lead to gratitude-based reciprocal behaviours, resulting in enhanced trust and commitment (Palmatier et al., 2009).

A Survey of Public Complaint Handling in a French Context Since empathy as much as interactional performance were studied empirically only in the context of face-to-face or phone interactions, additional research is needed to understand the effects of both empathy and perceived efforts on interactional performance, whatever the nature of medium (face-to-face, telephone, email). With this objective in mind, we conducted a survey in a French context in which mystery customers lodged a complaint against private companies as well as public organizations, and assessed their responses. The mystery customers were voluntary students specifically trained up in playing roles as well as in the use of psychometric scales used

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to objectively measure their perceptions. On the whole, 439 interactions were performed which encompassed 101 public organizations and 338 private companies. Public transport, social services, payment of taxes, lost objects, recycling bins and water supply accounted for the largest share of public services. Taking into account the channels effective availability according to the features of the organization and the complaint, the available channels were randomly allocated for each interaction. In this way, the mystery customers were confronted with a channel irrespective of their own preferences. As a result, the distribution of the channels in the case of public (respectively private) organizations was the following one: 30% (36%) for the telephone, 57% (45%) for the e-mail and 17% (19%) for the letter. All the variables examined in the study were measured with reliable scales. We used multiple linear regressions in which scales were summated, to assess the validity of hypothesized relations between variables. We found that perceived efforts and empathy contributed significantly and strongly to interactional justice, explaining 78% of the variance of the dependant variable. This model remained accurately adjusted whatever the nature of the medium (face-to-face, telephone, email) and the organization’s type (public versus private). Consistent with media richness and social presence theories, task equivocality moderated the relation between interactional justice and both independent variables (empathy and perceived efforts), the influence of empathy being significantly stronger when equivocality was high. Other moderators were experience variables such as experience with the channel, experience with the messaging topic and experience with the organizational context, as suggested by the channel expansion theory. When considering the single issue of e-service recovery in the context of public organizations, we obtained results in line with previous data. Perceived efforts and empathy explained 82% of the variance of the e-

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interactional justice which in turn accounted for 89% of the satisfaction with complaint handling. In summation, this research examined interactional performance in service recovery in the case of French public organizations. As expected, interactional performance was mainly explained by perceived empathy and efforts, this being valid for the electronic channel. Besides, the influence of empathy was all the greater since equivocality was high. This result suggests that people manage task equivocality by requesting a support that will provide a thorough understanding of their needs.

STRATEGIES FOR IMPROVING INTERACTIONAL PERFORMANCE IN PUBLIC E-SERVICE DELIVERY Based on the previous analysis of causal factors in perceived interactional performance, it is possible to envision a range of methods which specifically address three major aspects of mediated interaction in the public sector, that is to say, citizen-users’ experience in regard to service complexity, electronic text adjustment with respect to empathy issues, and social cues involving representational devices as well as virtual roles and electronic messaging extended time.

Increasing Citizen-User’s Experience to Make up for Service Complexity As service complexity is a main hindrance to interactional performance in e-governement, a comprehensive plan for reducing this complexity would minimally bring improvements to the organization’s website by including: •

Tools for helping users visualize service systems with interactive mapping techniques which would be displayed on the organization’s website and inform them about service process steps and the range of options available.

•

Information allowing the user to better understand the organization and management structure of the service provider as well as the topics related to the service. In particular, key terms have to be systematically defined and written in an user-friendly style. An additional solution is to show detailed testimonials from people who used the organization’s services.

Adapting Texts to Support Empathy As non-verbal cues are filtered out in electronic messaging, text remains the only cue for the message to express the extent to which the organization‘s representative intends to understand the user’s needs and internal state. As a consequence, the public sector’s employees have to make sure that their emails contain formulas of courtesy and express their interest in the citizen-user’s situation in an elaborate way. In the same vein, electronic messages must include some inducement to renew contact in case of necessity.

Developing Social Presence in Mediated Environments As an indispensable solution to reduce technology avoidance behaviours, the development of social presence in mediated environments which are offered by public organizations encompasses three major recommendations. In the first place, websites design should include embodied cues such as avatars and human-sounding speech. As a second type of social cues, virtual roles have to be defined and actually filled by avatars. Finally, public sector employees have to be made aware of and accept the necessity of extended time in electronic messaging.

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FUTURE RESEARCH DIRECTIONS As the above strategies mean to apply to the public sector some of the solutions tested in service companies, additional research is needed to empirically evaluate to what extent these recommendations lead to improve users’ satisfaction with e-service delivery as well as under what conditions they should be implemented. For instance, the addition of an avatar in the form of a public organization’s representative to a public website deserves further researches pertaining to its social role definition as well as to the adequate methods to test it and the key factors explaining the users’ acceptation. In the same vein, exploratory researches in the public sector have to be conducted in order to find discursive approaches grounded on pragmatic language to fine-tune the adaptation of texts in electronic messaging. Furthermore, the coming extension of customer relationship management to the public sector (King, 2006) offers opportunities for investigations into the potential of this management approach to improve interactional performance in e-government. Indeed, customer relationship management, which is enabled by ICTs, seek to develop deep customer insight through numerous interactions in order to predict future customer needs and to steer them towards appropriate services. In this respect, the tradeoffs between privacy issues and personalized e-government services including personal profiles as well as recommendation agents, deserve greater attention to enhance satisfaction through interaction in e-service delivery.

CONCLUSION According to the terms of the media richness theory, equivocality encompasses a large part of the requests and consultations which are filled by citizen-users when interacting with the public sector. As a result, citizen-users tend to prefer face-to-face interactions through phone or desk

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channels, especially when having a highly experiential cognitive style, since they perceive that the electronic channels may be lacking a sense of social presence. In this respect, the literature of media choice indicates valuable ways to enrich electronic communications via social cues including extended time for electronic messaging, adapted texts as well as embodied representational devices. Thus, our conceptual framework builds in a large part on issues related to media preferences from which we infer how to make up for the absence of non-verbal cues and finally, how to curb the impact of service complexity. In so doing, we neglected the literature on technology acceptance (Davis, 1989) which notably emphasizes how both the ease of use and the functionality of mediated interfaces will benefit the adoption of ICTs. Even though the usability as well as the usefulness of public websites remains a challenge (Bertot & Jaeger, 2006), we believe that such an issue fails to specifically address the public organizations’ deficiencies in making electronic communications more social. By contrast, the concept of interactional performance which is embedded in the theory of perceived justice, allows organizations to remain focused on the relational benefits of the interaction whatever the medium. The extent to which government agencies reckon with this form of performance and measure its progress in delivering e-services will be a major issue through the course of e-government.

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KEY TERMS AND DEFINITIONS Empathy: The phenomenon that connects two otherwise isolated individuals to each other. It includes identification and emotional contagion and involves understanding the internal states of others.

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Equivocality: The ambiguity of information due to the existence of multiple interpretations about a given situation. Interactional Performance: The way in which the organization manages to get social benefits and consequent satisfaction from its user through the interaction with the organization’s representative, which may be a human or a machine (automated kiosk, website, computer, …). Media Richness: The ability for a medium to carry various cues of information. Perceived Justice: The perception of how equitable the exchange is depending on an individual’s view on the value and relevance of the inputs and the outcomes of the exchange partner. Social Presence: Captures the sense of “ being together with another”. Task Analysability: The degree to which a task involves the application of objective and wellunderstood procedures that provide predetermined responses to potential problems.

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Chapter 10

Social Networks, Civic Participation, and Young People:

A Literature Review and Summary of the Educational Challenges Sonia Lara University of Navarra, Spain Concepción Naval University of Navarra, Spain

ABSTRACT The latest report from the Pew Research Center (2010) shows that 93% of American teenagers and young adults use the Internet, and that 73% of them have their profile on a social network site. In the UK, data from Ofcom (2010) has come up with similar results. Citizen participation has traditionally been determined by demographic and socio-economic factors. Accordingly, the citizens who participate most actively are middle-aged and have a high socio-economic and educational level. By contrast, it is young people of low socio-economic status and educational level who participate the least. Some reports show modest signs that the use of the Internet could be another means to promote participation both online and offline. The main purpose of this chapter is to review the research literature concerning how social networks contribute to social participation.

INTRODUCTIONI A large number of recent studies have addressed the prevalence of the use of social networks among young (and not so young) people (see, amongst other publications Bringué & Sádaba, DOI: 10.4018/978-1-4666-0116-1.ch010

2009; Davies & Cranston, 2008; DCLG, 2008; Ofcom, 2008, 2010; Smith, Schlozman, Verba & Brady, 2009; Sylvester & McGlynn, 2009; Taylor & Keeter, 2010; Wildbit, 2005). Such media are attributed a significant role in fostering socialization and a sense of belonging to a community, although the results of research to date are divided as to whether these social networks

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Social Networks, Civic Participation, and Young People

contribute in a real way to the development of greater civic involvement (see, amongst other studies, Boulianne, 2009; Jenkins, Purushotma, Clinton & Robison, 2009; Jenning & Zetner, 2003; Smith et al., 2009; Ofcom, 2009). The key issue that arises in the context of these research studies, and which is to be addressed in this chapter, can be framed in terms of the following set of questions: How may the use of social networks affect civic behaviour and attitudes among citizens? Does such use foster real civic participation or, in contrast, does it lead to isolation from the real world as a result of engagement in online activities? Are there generic, quantitative and/or qualitative differences between offline and online social and civic participation? Exactly what types of activities are carried out through social networks? Can such activities be described as involving real civic participation? Do such activities foster participation in real life activities in a verifiable way? What conclusions may be drawn from the use of social networks in encouraging participative behaviours? And last but not least, can networkers be educated in their use of social networks so as to foster greater participation in civic life (or Society), both on- and offline? Our aim is to respond to these questions by providing a review of the recent literature on this issue, including reports published in the US and the UK, as well as academic studies in the field. First of all, we will take a look at the concept of civic participation in general, focusing in particular on young people, before considering the use and consumption of social media among young citizens when compared with the habits and behaviour of citizens in other age groups. Thirdly, we will analyze the current influence of social network use on different types of civic participation, both online and offline. Finally, and by way of conclusion, we will try to provide some guidelines on how to encourage participation.

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CIVIC PARTICIPATION: A GENERAL FRAMEWORK Participation is a complex and widely debated concept (Livingstone & Markham, 2008), which also has multiple dimensions that are difficult to assimilate (Norris, 1999; Scheufele & Nisbet, 2002; Pattie, Seyd & Whitele, 2004). Indeed, we may distinguish as many aspects of participation as the realities to which it is applied, and moreover, taking into account the diversity of forms it assumes in function of the spatial-temporal coordinates in which it materializes (Haste, 2004). Furthermore, there is as yet no general agreement regarding the definition of participation, or how to measure it, which makes it an even more complicated issue to address. Participation is defined in the Cambridge Dictionary as “when you take part or become involved in something”. Etymologically, we can discern its meaning in an active sense in the Latin verb participare, “to take part,” and in a causative sense, “to make (someone/something) take part,” which completes the action of giving with that of receiving in terms of participation. As such, another meaning for the term arises, that of “impart, announce, communicate” (Naval & Altarejos, 2000; Redondo, 1999). Thus, the notion of commonality is implicit in all the definitions of participation as the result of participation is “having something in common”. Hence, if what we call community arises from the union of individuals who have something in common, participation turns out to be an inseparable dimension of community. Certainly, there is no community without participation and it is precisely participation which makes it possible to constitute a community (Redondo, 1999, 163). A true community is impossible if there is no sharing in something which is common to its members, in other words if there is no participation. For various reasons, participation is an element that is characteristic of all democratic institutions. One of these is its

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full realization in the form of communication. During participation an essential dimension of communication – giving - is evident, but without this implying any loss on the part of the person who gives. “That which is specific to communication is precisely this: giving without becoming impoverished. One who communicates does not relinquish what is being given, nor does he relinquish himself (...). It is precisely for this reason that communication cannot be defined without referring to the concept of participation, which expresses this idea of ‘making something extend’ to another, which is the essential constitutive element of communication” (Redondo, 1999, 178). But here we refer to a specific aspect of participation, to civic participation which is based on two fundamental aspects of the citizen´s interaction with civil society, namely: communication and cooperation. Civic participation is also called political participation by some authors and which looks specifically at questions such as: participation in elections (voting), interest in political issues (not only in relation to political parties) and participation in actions which seek to find answers to social problems, in other words commitment to the search for solutions (Livingstone & Markham, 2008). The first problem that must be addressed is the need for consensus on a theoretical framework to understand and define civic participation. A second problem, which is more specific to young people, is the discontinuous pattern of activity in the public sphere, and the absence of clear and predictable patterns of civic behavior. Thus, in addition to considering who participates and how, it is important to consider the motivations involved and the context in which participation occurs (Benedicto & López, 2008). It is commonplace to hear that we are witnessing a decline in civic participation, which does not make it any less important or serious. Indeed, special emphasis is usually placed on the fact that this issue is more worrying among the young. Without denying this reality –the importance of

the lack of participation among young people-, it is clear that this problem exists amongst the young and adults in our contemporary society. The evident lack of social trust affects all of us and in a range of different environments: from the family to other social situations. In line with this point of view, and from the perspective of a social capital model, Putnam (Putnam, 2000; Pattie, Seyd & Whiteley, 2004) highlights an issue that is of special transcendence for civic action: the importance of social or interpersonal trust in order to promote voluntary participation at the local level. This type of trust also strengthens community relationships and it fosters civic commitment (Livingstone & Markham, 2008, 353). However, we should not forget certain positive aspects that can also be perceived. For example, some forms of social action or participation have been seen to increase in recent decades, such as the involvement in voluntary programmes or more generically, more informal forms of social participation (Power Inquiry, 2006; Bromley, Curtice & Seyd, 2004). This is the opinion of Bennett (1998), who points out that this increase in voluntary work is related to an increase in social trust, civic participation and political commitment (Fine & Harrington, 2004; Cohen, 1999; Eliasoph, 1998). There are many social and political factors that directly influence civic participation or its absence, such as social expectations and political efficiency (Inglehart, 1977; Haste, 2004), political trust (Bromley, Curtice & Seyd, 2004), the ability to discuss social problems or issues (Eveland, 2004; McLeod & Becker, 1974; Dahlgren, 2003), social capital, etc. However, since we are going to focus on young people, we will first briefly introduce them. We feel that through education we can exert a positive influence and thus encourage the more committed civic participation.

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Young People We focus on young people for two reasons. Firstly, they have their whole lives ahead of them and thus have much to contribute to society. Secondly, given our educational perspective, we feel that young people, like infants, are at a stage in their lives at which education can have a great impact on their future development. In order to understand the social commitment of the young, it would be a good idea to first explore, albeit briefly, what young people are like today, what their vital experiences are, and how they live and feel about the world around them. In this way, we will be in a better position to understand their relationship with the social and political world (Martín, 2007; Naval, Repáraz & Ugarte, in press). In general, and in terms of the fundamental concerns of citizens, we can say that political issues take a second place in the list of young people’s priorities. We currently live in a markedly individualistic society. Accordingly, the issues that worry us most are related to employment, housing and health, as well as leisure, and hence, civic or communal matters concern us much less. Furthermore, substantial differences are not seen amongst young people from different Western countries (Bonet, Martín & Montero, 2007). As for the actual life experiences of the young (Benedicto, 2008; Naval, Repáraz & Ugarte, in press), we can consider that they find themselves at the crossroads of four paradoxes: integration and autonomy; dependence and independence; vulnerability and tenderness; continuity and rupture. However, in this chapter we will concentrate more on our particular interests and thus, when we talk about civic and political issues, what do young people understand them to mean? Essentially, they refer mainly to solidarity and respect for social norms as the basis for civic life. For the vast majority of young people being a good citizen is to show solidarity with the people of one’s own country and the rest of the world, and to

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comply with established regulations (obeying laws and not evading taxes). Keeping oneself informed and participating in associations take priority over politically more explicit obligations, including voting (Jover & Thoilliez, 2009), while ecological consumption falls somewhere between the two. The final position in this ranking is occupied by military service (Benedicto & López, 2008). When trying to understand the young people of today, we need to remember that they were born and live in a world full of new technologies, screens and advertising (Naval, Sádaba, Bringué & Pérez, 2003; Loader, 2007). They have at hand new technologies and possibilities for consumption that were unknown to previous generations, although sometimes they lack the “primary experience” required for proper cognitive and social development. This refers to the experience life instils in them as a result of social interaction, as well as the development of most of their emotional and social skills, which constitutes a real educational challenge. In conjunction with these issues concerning civic participation and young people, we will need to take into account a third element that will be addressed in this paper: information and communication technologies and more specifically, social networks and the role they can play as facilitators or obstacles to civic participation.

THE USE AND CONSUMPTION OF SOCIAL MEDIA AMONGST YOUNG PEOPLE In educational circles we are currently engaged in an important debate about how to educate a new generation known as “digital natives,” the “Net generation,” the “Google generation” or “millennials” (Oblinger & Oblinger, 2005; Prenskey, 2001; Tapscott, 1988; Strauss & Howe, 2000). This new generation is comprised of young people who have either grown up or are growing up in constant contact with the media. They were born in the

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digital era, which started in 1981, and they are said to be born consumers of technology: they rapidly assimilate multimedia information in the form of images and videos, just as well or better than if it were textual; they consume data simultaneously from different sources; they expect instantaneous answers; they are permanently online and create their own digital materials. As active creators of a new digital culture, they are developing their own Web sites, diaries and blogs. They form part of a new participative culture (Jenkins et al., 2006). There are numerous and recent studies that describe the penetration of the use of social networks amongst young and not so young citizens. Some of the most significant results from these studies will be considered below. The Pew Research Centerii has been conducting a series of studies to learn more about the next generation of Americans, who they call “millennials,” and in these studies they compare this generation with previous generations. The peculiar and interesting thing about these studies is that, starting from the year 2010, they enable us to compare the young people of today with previous generations when they were young. Accordingly, we can differentiate four groups in these studies: Millennials (born after 1981), Generation X (born from 1965 to 1980), Baby Boomers (born from 1946 to 1964) and the Silent Generation (born between 1928 and 1945). Now, in 2010, Millennials are less than 30 years of age, Generation Xers are 30 to 45, Baby Boomers are 46 to 64 and members of the Silent Generation are aged 65 to 82. The differences we encounter in these new young people may be due to three overlapping effects, and Keeter & Taylor (2009) warn us to bear these in mind when we analyze the data. The life cycle effect: young people today are very different to adults, although when they grow up, they will almost certainly be quite similar to their counterparts when they are their age. The age group effect: the differences that are found may be due to the intrinsic characteristics of ado-

lescence and youth, a period in which there is a greater need for the affirmation and development of personal identity. The historical period effect: specific circumstances (wars, social or scientific movements, or technological changes) can have a more pronounced impact on young people during a period in which their values and habits are less consolidated than when they are that much older. Taking these issues into account, generally speaking these studies characterize millennials as the generation with the greatest ethnic variation in comparison to their predecessors. The majority are politically progressive and they are the first generation to live with social networks (YouTube, Google and Wikipedia) as something natural and necessary in their lives. They are less religious and more inclined to trust institutions than previous generations at their age. A recent report from the Pew Research Center (Lenhart, Purcell, Smith & Zickuhr, 2010) gives us an approximate idea of how American teenagers (12-17 years), young adults (18-29) and adults (individuals over 30 years of age) are currently using social media. In the case of the United Kingdom, Ofcom, an independent regulator and competition authority for UK communications industries, has recently published a report on the use of the internet amongst people over the age of 16 in the UK (Ofcom, 2010). The data which was compiled yielded similar results to those obtained in the Pew Research Center studies in the USA. In this chapter, we preferred to employ the American data because it covers more issues, it compares the data with habits in previous years and it involves a study of four generations. Whatever the case, both the Ofcom and the Pew Research Center data can give us an idea of the international tendencies in network consumption patterns in two developed countries. In the data shown below certain trends over recent years can be perceivediii. A. The Internet is a central and indispensable element in the life of American teenagers and young people. Thus, 93% of teenagers and

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young adults use the Internet compared to 73% of adults (81% of adults aged 30-49 years, 70% of 50-64 year-olds and 38% of adults over the age of 65). The increase in Internet users in the last nine years has been proportionate and modest in all age groupsiv. It is noteworthy that teenagers are assiduous users of the Internet (63% use it on a daily basis and 26% weekly, while only 11% use it less often). B. The use of Social Network Sites (SNS) has proliferated among teenagers and young adults. The data shows that 73% of teenagers, 72% of young adults and 47% of adults are SNS users. The number of users increased in all age groups in recent years. Taylor and Keeter’s study (2010) shows that there was an increase of 68% amongst Millennials in SNS users in the last five years, a figure that reached 43% in Generation X, 25% amongst Baby Boomers and 4% in the Silent Generation. It also reveals that the frequency of social network use is greater amongst users in the young adult group than in other generations. In addition, 55% of Millennial users log on every day or several times a day, compared to 38% of Generation X users and 37% of Baby Boomers. With respect to teenagers who use the Internet every day, 80% log on to an SNS, while 62% of those who use the Internet least often log on to social networks, which indicates that the frequency of Internet use is related to SNS use. If 93% of teenagers and young adults use the Internet, we might perhaps ask ourselves why the participation of young people in some kind of social network is not greater. Boyd (2008) proposes three possible reasons. Firstly, there are young people who are deprived of the possibility of going online, either because of social restrictions imposed by their parents, who do not allow them to have an SNS profile, or because of the requirements of certain schools which explicitly prohibit pupils from belonging to an SNS, albeit for structural restrictions (such as not having an Internet connection, filters in homes or at school which do not permit access to social networks, etc). Secondly, there

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are those who decide not to participate owing to various social factors: a) young people who are short of time because they are very busy doing activities at and outside of school, at work, etc. – normally they have a very full social life-; b) young people who are concerned about their safety; c) marginalized young people who think that social networks are for popular people (cool kids); and d) young people who think they are too nice (too cool) to be SNS users. A third category consists of former users who have stopped participating in SNS for various reasons, for example because their friends no longer use them, their boyfriend or girlfriend has asked them to stop using a site, they have had a bad experience which has made them log off permanently, etc. Some changes have been observed in the way teenagers communicate through SNS between 2006 and 2009. There was a slight decrease in the sending of group messages (50%), comments added to friends’ messages (52%) and private messages (66%). On the other hand, various behavioural patterns failed to show significant changes: making comments about photos of friends (83%), sending text (IM or text messages) via a site (58%), or making comments on a friend’s page or wall (86%). C. A decrease in the use of blogs by teenagers and young people. In general, it can be seen that teenagers (12-17 years) share (38% vs 30%), remix (21% vs 15%) and participate in blogs (14% vs 11%) to a greater extent than people over 18 years of age. Nevertheless, if we compare the results for 2006 and 2009, we detect a greater production of blog content in subjects over the age of 18, whilst among teenagers blog activity has declined slightly. In 2006 28% of users under the age of 18 wrote blogs. In 2009 this figure fell to 14% for teenagers and to 15% for young adults. This change in behaviour is attributed to the fact that SNS have become fashionable amongst young people and that the most popular ones do not include a blog utility. Another possible explanation is that blogs have traditionally

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been employed to talk about things people have been doing and the same activity can be realised through social networks. Finally, Twitter, a utility which enables us to keep in touch rapidly and briefly with the news and interests of others, was more popular amongst people over 18 years of age (37% of young people aged 18 to 24, 25% of young people aged 25 to 29, 22% of adults from 30-49, 9% of 50-64 year-olds and 4% of people over 65) than amongst teenagers (8%), according to data collected in September and December 2009 (Lenhart et al., 2010). The data collected a month later, in January 2010 (Taylor & Keeter, 2010), showed that its use had evened out between different generations: Millennials (14%), Generation X (10%), Baby Boomers (6%) and the Silent Generation (1%). D. Mobile Phones and Wi-Fi Equipment. Mobile phone ownership has greatly increased amongst teenagers in the last four years, for example we have gone from a situation in which 18% of 12-year-olds had a mobile in 2006 to one in which 58% had one in 2009, or in the case of 17-year-olds, this figure has risen from 64 to 83%. According to Taylor & Keeter (2010), Millennials tend to use a mobile as something which is necessary and important in their lives, and 83% of them go to bed with their mobile, as opposed to 46% of adults over 30 years of age. Young adults are keener on sending messages using their mobile than other adults. Among users who declare that they have received or sent messages in the last 24 hours, young adults have sent 20 messages (25% say they have sent 50 messages), whereas for other adults the number is 8. With regard to Wi-Fi equipment, there was greater consumption amongst young people than adults. As for computers, laptops and netbooks are more popular with people under the age of 30 than desktop computers. It is the same for mp3 players or game consoles. E. Wi-Fi use depending on Age. 81% of young adults, 63% of adults aged 30 to 45 and 34% of people over 50 years of age log on to the Internet

using Wi-Fi. However, men and adults with a high income and educational status are those that are more likely to use Wi-Fi. F. Main News Sources.Taylor and Keeter (2010) showed that the two main news sources for young adults and Generation X’ers are television and the internet (65%-59% and 61%-53% respectively), with no evidence of specific differences between these two generations. On the other hand, in older generations the main source for obtaining news is the TV, this being the case for 76% of Baby Boomers and 82% of the Silent Generation. G. Activities Performed in the Last 24 Hours. Millennials differ from older generations, both in terms of the type of activities they perform and the time they assign to them (Taylor & Keeter, 2010). Young adults like to watch videos online, place messages on the online profiles of their friends or play video games more than other adults. Adults over the age of 30 are more inclined to watch over an hour of TV or to read newspapers on a daily basis. There is barely any difference between the generations in their use of e-mail (just over 50% of everyone over the age 18 uses it). This latter finding coincides with the conclusions drawn by Boyd (2008), who proposed that teenagers and young people find e-mail a boring and out-of-date tool. They only use it to contact teachers and parents, and to send document attachments. They prefer to employ social networks or send text messages using their mobile phone in order to stay in touch with their friends and acquaintances. Different studies demonstrate how teenagers and young people use SNS to contact people they know in the real world (Ellison, Steinfield & Lampe, 2007; Lampe, Ellison & Steinfield, 2006; Lenhart & Madden, 2007) To sum up, along with Boyd (2008, p. 118), we conclude that these differences in behaviour do not stem from the technology but rather they are most likely driven by how these tools fit into the behaviour of different groups: “The differences may stem from the ways in which teens learn to

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manage relationships during the period in which they are learning to negotiate social network sites, while these sites are forcing adults to develop new skills to handle new social situations.” For young people social network sites are a place for meeting their peers, the “place” where they can stay in touch with the people they know and spend time editing their profiles, leaving comments and displaying personal information. Young people grow up and learn to socialize in network environments, just as adults learnt to socialize in squares, bars, sports clubs, etc. when they were young. Instead, adults learn to use social network sites to establish professional contacts and to re-establish contact with former colleagues from school or university. We could say that adults log-on in order to be online and that young people live online. Precisely because young people have grown with up and interact through social networks, we are presented with a particularly relevant means of encouraging civic participation.

THE INFLUENCE OF SOCIAL NETWORK CONSUMPTION ON CIVIC PARTICIPATION Most young people use the Internet to communicate and to share digital content, behaviours that are fostering a participative culture according to Jenkins et al. (2006). It is a culture with few barriers with regards the promotion of artistic expression and civic commitment, which supports the creation of people’s own materials so that they can be shared. In addition, this culture relies on some form of informal mentorship from others who know more than novices do and who make the members of this culture believe that their contributions matter. It is an environment in which people have a certain level of social interconnection (or at least they are aware of what other members think about what they have created). The forms that this participative culture take include: affiliations, formal and informal SNS

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memberships; forms of expression, producing new creative forms; collaborative Problem-solving, working together in formal and informal teams to complete tasks and develop new knowledge; circulars, shaping the flow of media. We might summarize these manifestations of participative culture into two types: behaviours that lead us to communicate, express and make others participants of what we think and do; and those which lead us to collaborate with others in launching projects, solving problems, defending an idea, etc. From the point of view of social participation and civic commitment, this latter form is of special interest. Hence, it is worth our while examining to what extent online social networks are or are not encouraging greater social participation in comparison with traditional forms of offline participation.

Emerging Citizenship among Young Adults To better understand how young people (15-25 years) involve themselves in political and social life in this new digital era, we might take the thoughts of Bennett (2008) as a starting point, who poses the change from the traditional ideal of the Dutiful Citizen (DC) to the Emerging Youth Experience of Self-Actualizing Citizenship (AC). Characteristics of the DC include an obligation to participate in government-centered activities, voting being the core democratic act. The DC informs himself about political and social issues and the government by following the mass media, he joins civil society organizations and/or he expresses his interests through parties that typically employ one-way conventional communication to mobilize supporters. In contrast to the Dutiful Citizen, a new citizen is emerging amongst the young. The AC is characterized by a diminished sense of obligation towards government (a higher sense of individual purpose), for whom voting is less meaningful than other, more personally defined acts such as:

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consumerism, community volunteering or transnational activism. The AC mistrusts the media and politicians, which is reinforced by a negative mass media environment, and the AC favours loose networks of community action that are often established or sustained through friendships and peer relationships. The close social ties of the AC are maintained by interactive information technologies. The features proposed by Bennett for an Actualizing Citizen are very well reflected in the data on “Political and civic engagement” collected by Taylor and Keeter (2010). In this report people are asked about their participation in eight different activities to assess civic commitment: in terms of voting, voluntary activities, contacts made in person or online with members of the government, signatures or petitions in paper format or online, and purchases or decisions not to buy products on the basis of a company’s social or political values. Some of the results are summarized below. A. Participation in Voting. Traditionally, young adults have participated less in elections than people over 30 years of age. However, rates of participation in presidential elections amongst young adults (18-29 years) increased from 40% in 2000 to 51% in 2008. The participation of adults over the age of 30 during the same period was about 67% and it was not modified significantly. The increase in the participation of the younger population may be due to various factors: significant changes in campaigns, polarization with respect to the president and the two wars during his presidency; or special efforts on the part of political parties and organizations to mobilize the participation of the younger generation. Despite this increase in participation, the data collected during the elections to nominate the governor in New Jersey and Virginia in 2009 demonstrate a participation rate of 10%, which shows a tendency for participation to decline amongst the youngest group. Another way of evaluating political commitment is to ask how often people vote, and here we again find that voting frequency is

lower amongst the young. Thus, while 69% of Millennials indicate that they always or nearly always vote, a higher percentage of people over 30 years of age give the same response (85% of Gen X, 89% of Baby Boomers and 91% of the Silent Generation). B. Participation in Voluntary Activities. In the last twelve months the respondents were asked about their participation in voluntary activities, working with an organization or offering any other kind of aid to others without receiving remuneration. In this case, 57% of young adults, 54% of Gen X, 52% of Baby Boomers and 39% of the Silent Generation had participated. C. Expression of Political Voice. Another way of participating in political and social life is through communication with politicians. In fact, as far as signing petitions online is concerned, there are no substantial differences between participation rates among adults aged 18 to 65 years, which is in the region of 20%. With regard to signing petitions in paper format, a participation of 30% for Baby Boomers stands out in comparison to the rest of the generations, for whom the proportion is about 20%. Another way of participating is to contact politicians by e-mail, or to leave messages on official pages or official profiles on social network sites. In this form of participation Generation X’ers and Baby Boomers are the most active (25-30%), compared to the youngest and most senior respondents (about 15%). With respect to contact made with a politician in person, Baby Boomers are noticeable for having higher rates than Generation X’ers and the Silent Generation, albeit a lower rate than young adults. D. Consumption Patterns determined by Political Views (Political Consumerism). There are two further ways of intervening in political and social life in order to manifest one’s own convictions. We can stop buying a specific product or service as a sign of protest against the social or political values held by a particular company or organization, committing ourselves by means of a personal boycott. Another alternative is to

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purchase or request the services of a company to support the values they defend. This is called “buycotting”. Boycotting behaviour is similar amongst Millennials, Generation X’ers and Baby Boomers (about 35%), although it receives slightly less support amongst the Silent Generation (25%). On the other hand, purchases made for political reasons are slightly higher amongst Millennials (34%) than the other generations (Generation X’ers 30%, Baby Boomers 27% and the Silent Generation 18%). As can be seen, the current civic participation characteristics of young people are very similar to those described by Bennett (2008). In particular, it is noteworthy that participation in voting and contact with politicians is lower amongst young adults. On the other hand, young people are more committed in terms of voluntary activities than adults, as they are to behaviours related to political consumerism. The belief that participation in voluntary work is a valid way of putting the social participation required of all citizens into practice has gained significant ground (a possible reason could be the existence of service-learning programmes in schools and universities, cf. Naval, Ugarte & Martínez-Odria, 2009).

Evidence of the Impact of Social Networks Many social networks have been attributed considerable potential for fostering socialization and membership of a community. However, there are contradictory research results as to whether or not they are really influencing the development of greater civic participation. We find evidence contrary to this hypothesis in the meta-analysis conducted by Boulianne (2009), which maintains that the use of the internet has a negative effect on civic participation due to the amount of time spent online in detriment to the time employed offline. However, there is no evidence that the Internet has a positive and substantial impact on this commitment. In relation to this, all generations

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have the perception that social networks have a very positive influence in fostering relationships. At least the popular perception and belief is that these networks serve to unite more than to isolate people (Ofcom, 2010; Taylor & Keeter, 2010). In the study conducted by Ofcom (2009) on the United Kingdom population over the age of 16, we can see that the people who involve themselves most in public life are middle-aged citizens (40-60 years) with a high socio-economic and educational level. By contrast, the population that participates least consists of young people with a low socio-economic and educational level, and with few qualifications. As well as demographic and socio-economic variables, it seems that the Internet is becoming an important factor in prompting the participation of citizens. In the sample of regular Internet users, the rate of participation online and offline is greater than for the rest of the population. Similarly, amongst the least privileged population –in which participation is generally always lower- greater participation is found amongst people who have access to the Internet at home compared to those for whom this is not a possibility. It appears that Internet facilitates participation, partly because it helps to save the time needed for civic activities, which was cited by the respondents as the chief obstacle that prevented them from involving themselves more actively in the social and political life of their country. While in the more underprivileged population group a lack of interest is the main reason for not participating, the lack of Internet access and of awareness of what can be done online are also barriers leading to limited participation online. Likewise, and in reference to Internet use, the Pew Internet study that analyzes the civic commitment of Americans over 18 years of age (Smith et al., 2009) shows that there are modest signs of the influence of social networks in prompting a change towards a more participative attitude and civic involvement. Among its most striking findings are that online activity reflects the same type of behaviour and tendencies that we observe in

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real life, satisfying a range of criteria: age, socioeconomic level (educational level and income), broadband access, etc. Moreover, this study shows a strong correlation between civic participation (number of activities engaged in online and offline) and socio-economic status. However, when the group of young people is compared to the older group, the differences in participation between these age collectives are reduced slightly if online activity is compared, partly owing to the fact that young people are more inclined to use the Internet, although older people continue to be more participative than their younger counterparts. The youngest individuals (18-24 years) are the least involved in civic activities, less so than the most senior adults (+64 years). The youngest survey candidates only surpass the most senior ones if they are compared in terms of online activity. As with the Ofcom report (2009), the Pew study (Smith et al., 2009) offers some clues which indicate that the use of blogs or SNS could perhaps change the belief that socio-economic status is a decisive factor for participation. Thus, 33% of Internet users have their profile on an SNS and 31% of them are committed to some form of civic or political activity (joining a political party, including a politician as a “friend,” etc.). This data leads us to believe that it is not inevitable that people with higher income levels are the ones who are most committed to civic and/or political issues. We should not forget that it is young people who are the most involved in online activities such as blogs and SNS (37% aged 18-29 years), rather than adults (17% aged 30-49; 12% aged 50-64; 10% over 65), and that the data shows that civically committed blog and SNS users are more active in offline situations when compared with other Internet users. The impact that these new tools may have on the future of online politics will largely depend on how our new young people behave. Thus, Smith et al. (2009) ask themselves whether we are witnessing a generational change that will affect how young people behave, or whether new

technologies will continue to leave people with lower incomes and levels of education behind.

FINAL THOUGHTS Given the data presented in this chapter, we might ask ourselves what can be done, from an educational and political perspective, and from the point of view of the media, to encourage greater social involvement on the part of citizens. Although the data is not conclusive, there are indications that Internet access is partly responsible for permitting greater participation by facilitating and promoting activities that ensure a citizens’ voice is heard, and partially overcoming socio-economic and educational barriers. It has been demonstrated that young adults are avid consumers of technology, that they grow up and mature surrounded by these technologies, and that to some extent, their way of conceiving citizenship and participation in society is changing. At the same time, it can be seen that they participate less than their elders in certain civic activities. Along with Bennett (2008), we maintain that: “if nothing is done […], the default scenario is likely to be the persistent disconnection of the youth from conventional politics, with little reconciliation of the gap between AC [actualizing citizen] and DC [dutiful citizen] citizenship styles, and continuing unproductive paradigm battles in the academic world. […]. A second scenario utilizes the possibilities for convergence of technologies and political practices to bring vibrant experiences of politics into classrooms, youth programmes and, yes, even elections, showing young people how their concerns can gain public voice within the conventional arenas of power and decision making”. To achieve greater participation among young people, Bennett (2008) presents a series of suggestions for different collectives. He recommends that politicians, organizations and webmasters of youth-targeted webpages should offer neutral

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information to young people, on the basis of their desire to find authentic sites, information and people. It would also be desirable to create interactive channels where young people can offer their opinion and participate. He recommends that educators should promote participation related to the community in which they live, employing interactive media for communication purposes. This idea is somewhat reminiscent of Boyd (2007) and Rheingold (2008) proposal. In order to engage in political life, people have to have access to public life first. Young people need an audience, networked or physical, before they can engage in any form of political life. Politics start first with school, with your friends, then they go on to being about citizenship. Pushing the other way won’t work. You need to start with the dramas that make sense to you. In view of these suggestions and the data presented in this chapter, we are in a position to propose three lines of action from an educational point of view, which are not incompatible with one another. Firstly, the promotion of service-learning activities linked to the immediate environment of young people. In general terms, the implementation of service-learning programmes appears to yield positive results for students, teachers, parents and the local community. The greatest challenge to their implementation is the limited involvement of some students in their development. The vital role played by teaching staff in the successful development of these programmes must also be considered. Secondly, awareness should be raised amongst citizens of the possibilities afforded by the Internet for participation in civic life: “There is a general consensus among respondents that the internet has made it easier to engage in citizen participation activities. However, even among the online user sample, a significant minority (31%) are unaware of online citizen participation opportunities. In areas of multiple deprivation this rises to 72%, suggesting that increased awareness would lead to more people engaging in digital participation. 198

Building awareness of what it is possible to do quickly and easily online could encourage greater participation” (Ofcom, 2009). Thirdly, the use of participatory media should be encouraged. Rheingold (2008, p. 100) includes blogs, wikis, RSS, tagging and social bookmarking, music-photo-video sharing, podcasts, digital storytelling, virtual communities, SNS, virtual environments and videoblogs as participatory media. All of these highly diverse media have three features in common: a) they enable anyone to use the Internet to become an editor and consumer of information (text, images, audio, video, software, data, discussions, tags, links with other people); b) they allow us to bring people together to form an audience or a market; and c) they facilitate the task of coordinating activities rapidly and cheaply. Rheingold does not regard the use of these media as a solution to disengagement from political life but rather, as a useful tool to help people to commit themselves. The data presented above partially support this idea (Ofcom, 2009; Smith et al., 2009), and there are even some studies and experiences that identify good practices in employing these participatory media to achieve greater political and social commitment on the part of young people (Bachen, Raphael, Lynn, McKee & Philippi,, 2008; CivicWeb, 2009; Lara & Naval, 2009, 2010; Montgomery, Gottlieb-Robles & Larson, 2004; Raynes-Goldie & Walker, 2008; Rheingold, 2008). Finally, we wish to stress that the work described here enables us to define the role of social networks in the development of civic participation, highlighting specific aspects that will permit a conceptual framework to be built in the future. Our intention has been to analyze this issue as a first step in this process. In keeping with all the work reviewed here, the most appropriate methodological approach to reach this goal should combine both quantitative and qualitative research, each complementing and enriching our understanding of the subject and enabling a conceptual scheme to be developed.

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Naval, C., Sádaba, C., Bringué, X., & Pérez Alonso-Jeta, P. (2003). Los lenguajes de las pantallas. Impacto en las relaciones sociales de los jóvenes y retos educativos. In M. T. Romañá & M. Martínez (Eds.), Otros lenguajes en educación (pp. 175-224). Sant Boi de Llobregat, Barcelona: Signo Impressió Gràfica, S.A. Naval, C., Ugarte, C., & Martínez-Odria, A. (2009, October). Learning to participate in school: Experiences of service-learning and community service programs in different countries. Paper presented at the International Conference Youth Participation as Goal and Method of Citizenship Education in Russia and Europe. St. Petersburg State University. Norris, P. (Ed.). (1999). Critical citizens. New York, NY: Oxford University Press. Oblinger, D. G., & Oblinger, J. L. (Eds.). (2005). Educating the Net generation. EDUCAUSE. Retrieved July 30, 2010, from www.educause.edu/ educatingthenetgen/ Ofcom. (2008). Social networking. A quantitative and qualitative research report into attitudes, behaviours and use. London, UK: Ofcom. Office of Communication. Retrieved July 30, 2010, from http://www.ofcom.org.uk/advice/ media_literacy/ medlitpub/medlitpubrss/ socialnetworking/report. pdf Ofcom. (2009). Citizens’ digital participation: Research report. London, UK: Ofcom. Office of Communication. Retrieved July 30, 2010, from http://stakeholders.ofcom.org.uk/ market-dataresearch/media-literacy/ medlitpub/medlitpubrss/ cdp/ Ofcom. (2010). Digital participation. 2010 metrics bulletin. London, UK: Ofcom. Office of Communication. Retrieved July 30, 2010, from. http:// stakeholders.ofcom.org.uk/binaries/ research/ media-literacy/digi-participation/ 2010-metrics/ metrics-bulletin-2010.pdf

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ADDITIONAL READING boyd, D. M., & Ellison, N. B. (2007). Social network sites: Definition, history, and scholarship. Journal of Computer-Mediated Communication, 13(1), article 11. Retrieved July 30, 2010, from http://jcmc.indiana.edu/vol13/ issue1/boyd.ellison.html Coleman, S. (2005). The lonely citizen: Indirect representation in an age of networks. Political Communication, 22(2), 197–214. doi:10.1080/10584600590933197

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Couldry, N., Livingstone, S., & Markham, T. (2007). Media consumption and public engagement: Beyond the presumption of attention. Basingstoke, UK: Palgrave Macmillan. doi:10.1057/9780230800823 Dalton, R. J., & Wattenberg, M. P. (2000). Parties without partisans: Political change in advanced industrial democracies. New York, NY: Oxford University Press. Eliasoph, N. (2004). Can we theorize the tress without theorizing the public? Political Communication, 21(3), 297–303. doi:10.1080/10584600490481325 Gil de Zuñiga, H., Puig-i-Abril, E., & Rojas, H. (2009). Weblogs, traditional sources online and political participation: an assessment of how the internet is changing the political environment. New Media & Society, 11(4), 553–574. doi:10.1177/1461444809102960 Graber, D. (2004). Mediated politics and citizenship in the twenty-first century. Annual Review of Psychology, 55, 545–571. doi:10.1146/annurev. psych.55.090902.141550 Lupia, A., & Philpot, T. S. (2005). Views from the inside the net: How websites affect young adults´ political interest. The Journal of Politics, 67(4), 1122–1142. doi:10.1111/j.14682508.2005.00353.x Mcleod, J. M., Scheufele, D. A., & Moy, P. (1999). Community, communication, and participation: The Role of mass media and interpersonal discussion in local political participation. Political Communication, 16, 315–336. doi:10.1080/105846099198659 Morris, Z., John, O., & Halpern, D. (2003). Compulsory citizenship for the disenfranchized. Curriculum Journal, 14(2), 1–19.

Moy, P., Manoseintch, D., Stamm, K., & Dunsmore, K. (2005). Linking dimensions of Internet use and civic engagement. I&MC Quarterly, 82(3), 571-586. Naval, C. (2000). Educar ciudadanos. Pamplona, Spain: EUNSA. Naval, C. (2003). Democracia y participación en la escuela. Anuario Filosófico, 36(1), 183–204. Naval, C., & Altarejos, F. (2000). Educar para la participación. In García Garrido, J. L. (Ed.), La sociedad educadora (pp. 226–244). Madrid, Spain: Fundación Independiente Caja Madrid. Naval, C., & Sádaba, C. (2007). How the media can collaborate in the development of youth participation. Journal of Social Sciences Education, 6(1), 80-96. Retrieved July 30, 2008, from http://www. jsse.org/2007-1/ pdf/naval_sadaba_media.pdf Norris, P. (2000). A virtuous circle. Cambridge, UK: Cambridge University Press. doi:10.1017/ CBO9780511609343 Pasek, J., Kenski, K., Romer, D., & Jamieson, K. H. (2006). America’s youth and community engagement: How use of mass media is related to civic activity and political awareness in 14- to 22-year-olds. Communication Research, 33(3), 115–135. doi:10.1177/0093650206287073 Pharr, S., Putnam, R., & Dalton, R. (2000). Introduction: What’s troubling the trilateral democracies. In Pharr, S., & Putnam, R. (Eds.), Disaffected democracies. Cambridge, MA: Harvard University Press. Putnam, R. D. (2002). Democracies in flux: The evolution of social capital in contemporary society. New York, NY: Oxford University Press. Quintelier, E., & Vissers, S. (2008). The effect of internet use on political participation: An analysis of survey results for 16-year-olds in Belgium. Social Science Computer Review, 26(4), 411–427. doi:10.1177/0894439307312631

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Rojas, H., & Puig-i-Abril, E. (2009). Mobilizers mobilized: Information, expression, mobilization and participation in the digital Age. Journal of Computer-Mediated Communication, 14, 902–927. doi:10.1111/j.1083-6101.2009.01475.x Scheufele, D. A., & Nisbet, M. C. (2002). Being a citizen online: New opportunities and dead ends. Press/Politics, 7(3), 55–75. Valenzuela, S., Park, N., & Kee, K. F. (2009). Is there social capital in a social network site? Facebook use and college students’ life satisfaction, trust, and participation. Journal of Computer-Mediated Communication, 14, 875–901. doi:10.1111/j.1083-6101.2009.01474.x Weiwu Zhang, W., Johnson, T. J., Seltzer, T., & Bichard, S. L. (2010). The revolution will be networked. The influence of social networking sites on political attitudes and behavior. Social Science Computer Review, 28(1), 75–92. doi:10.1177/0894439309335162 Wenner, L. A. (1985). The nature of news gratifications. In Rosengren, K. E., Wenner, L. A., & Palmgreen, P. (Eds.), Media gratifications research: Current perspectives. Beverly Hills, CA: Sage. Xenos, M., & Moy, P. (2008). Direct and differential effects of the internet on political and civic engagement. The Journal of Communication, 57, 704–718. doi:10.1111/j.1460-2466.2007.00364.x

KEY TERMS AND DEFINITIONS Citizen Participation: Political or social involvement in the community, government, or school in order to improve the status quo and to have impact on policy formation and decision making. Citizenship: The status of a citizen with rights and duties (cfr. Marshall Dictionary).

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Generation X: According to PewResearchCenter (Keeter and Taylor, 2009), is a label that appears to have been coined by a British sociologist and popularized by the author Douglas Coupland. It covers people born from 1965 to 1980. And it long ago overtook the first name affixed to this generation: the Baby Bust. In many generational profiles, Xers are depicted as savvy, entrepreneurial loners. Ofcom: The Office of Communications or, as it is more often known, Ofcom, is the independent telecommunications regulator and competition authority for the communication industries in the United Kingdom. Pew Research Center: It is an American think tank organization based in Washington, D.C. that provides information on issues, attitudes and trends shaping the United States and the world. The Baby Boom: According to PewResearchCenter (Keeter and Taylor, 2009) this label refers the great spike in fertility that began in 1946, right after the end of World War II, and ended almost as abruptly in 1964, around the time that the birth control pill went on the market. It`s a classic example of a demography-driven name. The Silent Generation: According to PewResearchCenter (Keeter and Taylor, 2009), this label some times also knows as the GI Generation, covers anyone born before 1946. These are the children of the Great Depression and World War II. “Silent” overtook “GI” as the label relatively late in this generation’s life cycle, when their conformist and civic instincts made for a dramatic contrast with the noisy ways of the anti-establishment boomers. The Millennial Generation: According to Pew Research Center (Keeter and Taylor, 2009) this label covers everyone born from 1981 to 2000. They are the first generation to come of age in the new millennium. Social Network Sites: Boyd and Ellison (2007) defines social network sites “[…] as web-based services that allow individuals to (1) construct a public or semi-public profile within a bounded system, (2) articulate a list of other users with

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whom they share a connection, and (3) view and traverse their list of connections and those made by others within the system. The nature and nomenclature of these connections may vary from site to site”. MySpace, Facebook, Hi5, and Bebo are some popular examples.

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Financial support from the Spanish Ministry of Education is gratefully acknowledged (“Una educación para la comunicación y



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la cooperación social: Los conocimientos, las actitudes y las habilidades cívicas”. R & D Projects, MEC, General Directorate of Research. Reference: SEJ2007-63070). http://pewresearch.org When the results of studies other than Lenhart et al. (2010) are cited, this will be indicated. These figures vary only slightly in the data collected in January 2010 by Taylor & Keeter (2010): 90% of Millennial users, 87% of Gen X users, 79% of Baby Boomer users and 40% of Silent Generation users.

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Chapter 11

Innovative Processes and Managerial Effectiveness of e-Procurement in Healthcare Ubaldo Comite University of Calabria, Italy

ABSTRACT Procurement reform, launched in the last few years, offers prospects of consistent and permanent expense saving. The urgency to reduce expenses and achieve a recuperation of efficiency of the public sector suggests the intervention of modernization and reorganization of the acquiring procedures of goods and services of the public administration. This work describes how the new models function, which indicates an important step forward in the reorganization process of the procurement procedure of the public administration, not only in terms of a “new model of management,” but also relative to the “burden,” in terms of contributions towards saving, which is foreseen. The results obtained in terms of savings, the simplification of the procedures of procurement, and initially the levels of service of the State Sector suggest the extension of the new procedure even to other compartments of public expenses, amongst which the healthcare system, whose reform of the policies of acquisition is called upon to combine with both the objectives of public finance and the objectives of re-qualification of the health authority.

INTRODUCTION Currently, the healthcare system finds itself in a problematic situation, subject to contrasting motivations. Healthcare expenses continue to rise, while the government must respect budget constraints that are becoming more restrictive. Meanwhile, the demand for public healthcare serDOI: 10.4018/978-1-4666-0116-1.ch011

vices that are more technologically advanced and of a better quality are increasing. In this context, e-procurement is seen as an instrument capable of answering, at least partially, the first element of this dilemma. Even so, there are not many initiatives of eprocurement in the healthcare sector, and in the majority of the cases they have not yet produced the expected benefits. The main reasons for this are: the complexity that characterizes the purchases in

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Innovative Processes and Managerial Effectiveness of e-Procurement in Healthcare

healthcare due to the large diversity of the goods dealt with; the large number of suppliers; and the fact that in public administration the introduction of information technology traditionally encounters difficulty. Healthcare offers, in respects to the rest of the public administration, critical and specialized services, and more so than in other sectors, it is fundamental to safeguard standards of high quality for many goods and services acquired, for their impact on the quality of the services, together with: the efficiency and punctuality of the purchases; the transparency of the activity; and respect of the principles of competition. Healthcare expenses for goods and services can be classified into three sections: communal to all the public administration (ex.; telephone, office material); communal-differentiated, which can be found in all the administrations, but is very diverse based on the acquiring sector (in health, for example: maintenance and cleaning of hospitals); specific healthcare, composed of drugs and medical devices. This diversity must be taken into consideration while conceiving innovative modalities for the procurement. The major difference among the three categories of expenses indicated and the availability of different electronic instruments calls upon a deep reflection on which is the better solution for each type of good/service. Secondly, the term “procurement” is often used in a restrictive sense, associated only to the acquisition phase. Consequently, the term “e-procurement” becomes a synonym of a class of electronic instruments that directly connect buyers and sellers on the same network in order to close a contract. For our purposes, “procurement” indicates a more ample processes, that starts from the need of a good/service and ends with its use and the payment for its supply, including planning the purchases, individualizing the suppliers, the act of acquisition, receiving the material,

the logistics of storage, stock management, and invoice management. The solution of e-procurement include a redesign of the processes and use of suitable instruments in order to trim down the entire process of procurement, and consents a relationship between the supplier and buyer that is almost “made to order,” in that each subject that operates internally in the public structure has the possibility to interact directly with the supplier. This system is clearly permitted by the information systems (e-mail and web pages), that interconnect the subjects through a networked structure (inter-networked communications). The subjects involved in the process of eprocurement are essentially five (Witting, 1995): 1. The final client/user, that is the “public administration client” (central public administration or local department) that has the need for the goods or services; 2. The procurement company to which the centralized acquisitions and the stipulation of the conventions with the suppliers have been delegated; 3. The supplier; 4. The public offices delegated with carrying out the payments; 5. The financial institutions (banks). Through the model of e-procurement, the response times of the public administration are much faster, as they are through direct contacts (dedicated Internet pages and e-mail addresses) between the supplier and the public administration itself or the subject delegated to the acquisitions (Figure 1). The suppliers find the information relative to calls for proposals on the websites; they can download the documents and the modules, eliminating the long wait times characterized by the normal procedure of the dispatch of paper material. The instruments of Information Technology utilized by the model permit the technical

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Figure 1. The differences between the traditional iter and the e-procurement purchasing in Public Administration (Source: personal processing).

and economic offers to be sent (via e-mail), and to develop moments of “telematic bargaining,” in which the choice of the contractor on the part of the subject delegated occurs through on-line auctions, which permit a more efficient and more rapid process of the tender. The increase of efficiency is amenable even in factors such as greater transparency and ease of access to the information, a non-discrimination amongst the suppliers (also derived from the impersonality of the informatics structure), a greater satisfaction of the needs of the peripheral subjects and the decrease of transaction costs. Clearly, a policy of qualifications of the public management and the reform of the procurement

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of the public administration must come about in a combined way through a more decisive use of the traditional criteria and a greater coordination that makes use of the informatics networks. To be noted amongst the traditional criteria are the capacity of programming and allocation of resources that include the planning of the recurring acquisition of communal goods, the training of the people responsible for the management of the acquisition, the attention paid to the concept of “best value for money,” the use of competitive forms of selection of the contractors, the use of incentive based contracts, a greater attention paid to the equity and the satisfaction of the peripheral

Innovative Processes and Managerial Effectiveness of e-Procurement in Healthcare

subjects, more ex-post checks on the efficiency of the supplier and on the performances. The use of methods tied to informatics networks can, therefore, consist of an ulterior element of the improvement of efficiency, but must not remain the only element. The three base elements for their development are: 1. The constitution of an integrated informatics communication network between the subjects interested in the process of procurement 2. The use of an electronic network for the adjudication of the supplier (telematic auctions) and for successive transactions; 3. The diffusion of e-commerce with networking structures; 4. A greater recourse to outsourcing. The use of subjects that are even peripheral of such systems must be supported by the contemporary introduction of innovative payment instruments, such as governmental credit cards, which are of a notable interest in even augmenting the efficiency of payments, whose delay often causes added costs for the public administration.

REFERENCE LITERATURE A large quantity of studies on e-procurement have been produced by researchers of various disciplines, such as administrative law and public management1. There are also various studies on the theme of e-procurement from the perspective of the organization and/or information systems: the majority of these reference the private sector, from the moment that they are oriented towards the analysis of models and instruments adopted by businesses in order to gain efficiency in the buying processes, with particular attention to solutions based on the marketplace. Rossignoli (2004) carried out a review on the role of coordination in the electronic marketplace developed

by Information & Communication Technology, which can facilitate the emergence of new intraor-infra organizational relationships. Kim and Shunk (2004) proposed a detailed description of the different forms that systems of e-procurement can assume in the private sector. They also relate to a classification of the procurement processes, often seen in a restrictive meaning, exclusively referred to the acquisition phase. The theme of e-procurement in the public sector has not been, until now, discussed much. The studies have been more or less dedicated to the analysis of policies, the attitude of the central Public Administration and the central procurement Authorities (Hardy & Williams 2005, Somasundaram & Damsgaard 2005, Somasundaram 2004, Devadoss, Pan and Huang, 2002). Even less frequent are the works on the healthcare sector, above all at a local level, where the solution of e-procurement must, in effect, be implemented with impacts on structures and knowledge already known, thereby allowing for different approaches. Devadoss, Pan and Huang (2002) see e-procurement as a government sector, dealing with social and organizational factors which carry out a role in the development and implementation phase, following the prospective of structural analysis. Even Zulfiqar, Pan, Lee and Huang (2001) frame e-procurement within e-government and investigate the influences of three factors: technological challenges, user preference, institutional assets. Other studies dedicated to public e-procurement take on an in-depth position of the problems concerning procurement. Hardy and Williams (2005) compare three international cases (in Australia, Italy and Scotland), in a constructionist prospective of the web of protagonists. In all three cases, the petitions, coming from policies, practical and operative, and the parties involved, sustaining that the processes of public e-procurement are connected with policies of a very broad range (e-procurement depends upon the policies of government reform) and that the

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application of e-procurement, even starting from similar designs, do not have a linear model of implementation, and evolve in a different manner based on the context. Somasundaram and Damsgaard (2005) investigate the Danish experience in order to identify policies that, challenging the municipality to react, can face the obstacles that often put a brake on the diffusion of public eprocurement in local administrations. Panayoutou Gayialis and Tatsiopoulos (2004), propose a detailed study of the changes that have occurred during the procurement processes of the Greek government, when the implementation of on-line procedures replaced paper ones. Even rarer are works that deal with local government (where e-procurement can have a double origin: it can be introduced as an internal choice or as an innovation imposed on by the central government) and rarer still are other studies dedicated to the specific theme of e-procurement in public healthcare. The most interesting indications that come from these studies (Federici 2005, Federici, Bianchini and Morano 2004) are: e-procurement considered as an end-to-end process, wider than just the acquisition phase; the most consistent savings are obtained in administrative and managerial costs, more than in the reduction of the purchasing price, above all in the case of specific healthcare goods. With regards to the literature on e-procurement, in particular in Italy where it constitutes the “frontier” of the research in the sector, it is to be highlighted that it has not yet been formally systemized. In particular, some authors (Barbiero, Osimo, Spagnolo 2001, Gatti 2002) consider e-procurement an essential instrument for reducing expenses in supplying goods and services, rendering the acquisition procedures streamlined, rapid and, above all, transparent. It is an exhaustive process that starts from the definition of the strategy, that is, the search for the best adaptation between the supply and the demand, and arrives at a description of the tactics that are based on the trinomial efficiency-effectiveness-economy. The market economy in which we live, in fact, obliges

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businesses to optimize their purchase offers in respect to the market supplier. Others (Borgonovi 2002), face the argument by dwelling on the radical innovations that purchasing procedures have introduced in the panorama of the Italian Public Administration. Technological solutions tied to the Internet and new administrative deregulation and decentralization measures impose interesting challenges and many opportunities. New technologies based on the Internet offer savings opportunities and expense rationalization much more so in the private sector than in the public sector. In the field of healthcare (Turchetti 2005), businesses, in the capacity of suppliers, clients or partners, according to the occasion, find a new and ideal place to meet and trade on the web. The velocity of transactions, transparency and disintermediation render the entrance into the digital market, where supply and demand are more easily satisfied, more appetizing (Comite 2006). Clearly, a policy of qualification of public health management and the reform of procurement of the Public Administration must come about in a combined manner, through a more decisive use of traditional criteria and a greater coordination that makes use of informatics networks (Mechling 2000).

CHARACTERISTICS AND INSTRUMENTS OF THE MODEL OF E-PROCUREMENT ADOPTED IN ITALY In the field of the reform of the acquisition system of goods and services on the part of the Public Administration for the rationalization of expenses in the state sector, the Italian Government has pushed for the introduction of elements of e-procurement through a project based on three elements: the promotion of a new economy; autonomy of the Public Administration; simplification and innovation of the acquisition procedures with an alignment to a more advanced European reality.

Innovative Processes and Managerial Effectiveness of e-Procurement in Healthcare

In the intervention, the Government has tried to answer to some key requests such as the rationalization of expense, the support of the administration, the autonomy of management even for the peripheral offices, the use of new technology, the coordination and the subsequent monitoring of the demand and consequently the expenses, as well as the reduction of response times. The rationalization of expenses must occur by means of a greater attention on the volume of acquisitions of goods, the use of the best practices of the market, the possibility of internal benchmarks, the single approach to the market and the use of innovative instruments and technology. Other than this, the use of e-procurement is aimed at a gradual elimination of formal checks, the introduction of electronic signatures and procedural streamlining. The instruments that are targeted for the actualization of the e-procurement development projects are essentially four, and generally their use is foreseen in successive temporal phases: 1st phase) the electronic catalogue; 2nd phase) on-line auctions, multiple conventions and the electronic market. The first instrument is a out-and-out electronic catalogue of on-line products, that is, goods that are presented through complete data sheets and prices, posted on the procurement company web page or the competent ministry. The “Public Administration client,” that has previously registered and been given a unique identification code and a password, may access the electronic catalogue in order to view, and potentially proceed directly to purchase, what is necessary. The second instrument, that becomes operative in the mid-term, foresees the experiment of tenders on the Internet for suppliers. The “Public Administration client” inserts the characteristics of the goods or services which it intends to purchase into a virtual space, and a certain number of suppliers, that can be preselected through an initial “beauty contest” type of selection, compete starting from a base price, going through successive discounted offers, within a predefined time frame. The tender, commonly

similar to the descending auction type (Klemperer, 1999), is awarded to the best offer, whose offer will finally be announced. This type of auction, clearly definable on-line, is characterized by the level of automation of the system, which allows for an automatic choice after the parameters requested by the user are set up, and by the rapidity and transparency of the procedures of the variation of the offers by the suppliers. Multiple awards is a model of procurement that sees the stipulation of the agreement after the tender proceedings, with a restricted number of suppliers that make a series of articles relative to the product category in question available at the same time. The “Public Administration client” can therefore select product and supplier based on criteria of prize, functionality and homogeneity through an electronic catalogue/system. Catalogue prices can be fixed during the agreement period or variable, depending upon the product category, with continuous competition between suppliers. Finally, the electronic market foresees the use of an Internet site that functions as a marketplace, that carried out, namely, the activity of encounters and intermediation among the suppliers, previously selected by the procurement company and the “Public Administration client,” especially in the case of specific or technologically advanced products. Subdivided into decisive product categories, contacts or links with pre-selected supply companies are made available, or the same companies even offer their own products on on-line catalogues, through which the “Public Administration client” can choose a contracting party, reducing transaction costs. With this method, the offer can be relative to a wide variety of product categories, the buyer can use the catalogues directly in order to purchase the products and the supplier can modify and update the catalogue at his or her discretion (maintaining the expected standards for his or her permanence on the site). The goods and services that the Public Administration requests are of a diverse nature and are supplied by very different markets amongst them211

Innovative Processes and Managerial Effectiveness of e-Procurement in Healthcare

selves, which is why the flexible and integrated use of the three instruments of electronic commerce can maximize the effectiveness. For example, in sectors categorized by a standardization of the products (such as personal computers), the use of an on-line catalogue allows the buyers to save and to negotiate particular “packages” (which include, for example, certain services) with the supplier. In sectors characterized by the request of specific products (as in healthcare), the solution of the marketplace will allow the users to save time and to reduce the informative asymmetry in the search for suppliers, who, to be present on the socalled “broker” sites, must guarantee determined technological characteristics and solidity. The system must still nonetheless be considered in an initial phase, in which the agreements are stipulated for the Public Administration in which it is possible to carry out the orders on an electronic catalogue and access, via the internet, the analyses of the expenses (www.acquisti.tesoro.it). Through the progressive introduction of the Information Technology instruments mentioned, success in the development of marketplace environments and new selection methods for the contracting parties, such as on-line auctions, are predicted. The introduction and consolidation of more innovative methods will be placed side by

side with tradition methods of procurement (such as traditional tenders and single and multiple conventions). From the new model that is outlined, interactivity, administrative transparency and efficiency, like the three elements that are key to the relationship between the “Public Administration client”, the procurement company and the supplier, emerge. The interactivity derives from the use of electronic catalogues for the sale of goods, the use of documentation databases and transaction monitoring (with data periodically sent by the suppliers), and the formation of dedicated call centres. Transparency is an element that is developed through the Internet pages that favours the opening to the market, rendering up-dated information available in real time, holding electronic tenders and favouring a marketplace type of approach. It is exactly these on-line auctions, through a de-personalization of the relationship, that allows for a reduction in discriminatory power by the user, and therefore the risk of “capture.” Recalling the concept of interactivity among the five agent subjects in the procurement system developed earlier, and limiting it to the “Public Administration client,” the supplier and the procurement company, the interaction in the Italian model can be described (Figure 2).

Figure 2. Interaction in the Italian model of e-procurement (Source: personal processing)

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The “Public Administration client” and the supplier, through a series of input, furnish the procurement company with indispensable information for the agreement preparation, in order to individualize the characteristics that a determined good or service must have in order to meet the needs of the client. It is evident that, in the definition of the conventions, the tendency is to meet the needs of administrations who find themselves wanting to place particularity onerous orders, halfway. Once met, the convention becomes available to the Public Administration subjects who have joined in on the system, through the Internet by means of an on-line catalogue. The following phases are those of possible orders by the Public Administration to the supplier and the sending of the order of goods and services requested followed by the payment. If no exceptions are verified, in which case the Public Administration re-contacts the procurement company, the supplier sends a periodic report indicating the goods and services offered and the response times. The increase of efficiency of the Public Administration attainable through this model is not to be underestimated, even considering only the streamlining and the increase of rapidity of the processes, from the carrying out of tenders to the payments.

HEALTHCARE EXPENSES AND E-PROCUREMENT Healthcare Expenses for the Acquisition of Goods and Services More than 23% of the public healthcare expense in Italy is destined to the “acquisition of goods and services,” often called “intermediate healthcare use” (Agenzia per i Servizi Sanitari Regionali –ASSR, 2004) (Authority for Regional Healthcare Services) If it is referred internally to the Servizio Sanitario Nazionale (National Healthcare Service) this component reaches a considerable

amount (20.6 million Euro in 2004), with a trend to increase in both absolute terms (it more than doubles from 1997 to 2004) and in a percentage of the total expenses. Expenses for goods and services vary notably between the Italian Regions and the market is further influenced by other factors of complexity: •

•

There are around 350 different public healthcare structures, among Aziende Sanitarie Locali (Local Healthcare Authorities), Aziende Ospedaliere - AO (Hospitals) e Istituti di Ricovero e Cura a Carattere Scientifico - IRCCS- (Institutions of Admission and Treatment of a Scientific Nature), with different degrees of autonomy, organizational structures statutes (Cicchetti 2004) and procurement needs, which leads to a complex and highly personalized request; There are about 500,000 suppliers, who are very differentiated amongst themselves: multinational, national agencies, and small and mid-sized local businesses.

The main problem, however, is made up of the composite structure of expenses, which includes standard supplies for the entire Public Administration, together with highly specific purchases. Healthcare expenses for goods and services can, in fact, be classified into three segments: •

•

-Communal for the entire Public Administration (about 25% of the total expenses for goods and services), which is independent from the type of purchasing administration (for example; telephones, office supplies….); -Communal-differentiated (25% of the total), which exists for all the administrations, but is very differentiated based on the purchasing sector (in the healthcare sector, for example, maintenance and cleaning of hospital buildings);

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•

Healthcare specific (more than 50% of the total), composed of pharmaceuticals, and medical devices (instruments and material that, separately or together, are used in cases of wounds, illnesses, handicaps, physiological applications or surgical operations).

In order to support both the performance of the service and the economy of the supply, it is necessary to complete a detailed analysis of the characteristics, a clear definition of the need (for example a specific device for the operating room) and a coherent acquisition plan for each expense typology. The variety and factors of complexity indicated before must be taken into consideration in the healthcare sector in the individualization of e-procurement instruments, before choosing the most appropriate ICT solution for each acquisition typology, in order to better the quality and efficiency of the supply and to rationalized the expense. Another fundamental aspect is that specific healthcare goods require a high level of quality for each exemplary, together with rapid and controlled logistics, while these aspects, even if important- are less critical for communal goods. Furthermore, in healthcare, specific goods and communal-differentiated expenses often have very particular characteristics, with a low level of standardization of the offer. The generalization of the Consip project in the Healthcare division renders the reflection on the evolution of the model adopted by the central Public Administrations for the management of expense segments, with highly specific and complex characteristics, necessary. In particular, the model used for the Public Administration has interested segments of communal expenses characterized by the State sector. These prevalently deal with products that, from the point of view of the offer, present national markets of a medium and high concentration, while, from the point of view of the demand, the big buyer position of the Public

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Administration was able to be taken advantage of, defining large volumes of expenses obtained by incorporating total demands. These characteristics have lead to the outline of the optimal managerial model into full actualization (and expansion), made up of the central catalogued conventions. The evolution of expense segments of a high specificity necessitates, however, adequate reflections and precautions: in particular, it is indispensable to perfect the existing model in order to allow for the application relative to products that, from the point of view of the supply, face prevalently local markets of a medium and high concentration, and from the point of view of the demand, interest subjects with institutional characteristics of a higher autonomous gestation (ASL and hospitals). In the period from 2005-2010, the expenses of the SSN have been subjected to an average annual increase in real terms of 4.1 percent. The contribution to services with a direct management (about 60% of the total expenses) has principally reflected the considerable increase (+10.4%) in expenses for goods and services. The expenses for the acquisition of intermediate uses by Healthcare between 2005 and 2010 has revealed a continuous increase, in both absolute terms as well as a percentage of the total, with values higher than those registered for the whole of the Public Administration. The average rate of increase in the five year in examination under consistent prices was equal to 1.4%, and the quota of the expenses for the goods and services of the total on the current expenses of the division for the entire period amount to about 20%. Keeping this in mind, the carrying out of the expenses remains rather differentiated, with regions that register variation in rates through the various years that are decisively above the national average, and others that instead remain below the national average (Table 1). A further difference is the variability of the burden of this expense component among regions in respect to the total current expense. This tends to be more significant in the northern regions

Innovative Processes and Managerial Effectiveness of e-Procurement in Healthcare

Table 1. Health expenses in the Italian regions (Source: personal processing). REGIONS

Var 05/06

Var 06/07

Var 07/08

Var 08/09

Var 09/10

Var 06/10

Piemonte

6,2

9,8

27,9

10,1

12,7

74,2

Valle d’Aosta

14,7

7,6

-8,5

38,0

15,1

56,4

Lombardia

6,1

-1,0

40,4

6,2

-21,5

15,7

Provincia aut. di Bolzano

12,3

3,0

32,0

7,0

16,0

68,8

Provincia aut. di Trento

7,1

3,5

73,8

11,7

-21,8

57,0

Veneto

8,6

1,5

26,9

14,3

2,0

50,1

Friuli-Venezia Giulia

7,1

3,3

27,4

4,5

13,2

55,5

Liguria

-0,6

4,2

12,6

7,0

17,5

47,4

Emilia Romagna

3,1

-0,7

31,7

2,4

-2,7

30,5

Toscana

1,8

-4,7

25,0

8,7

12,0

45,1

Umbria

6,6

10,6

13,3

9,2

8,2

48,1

Marche

-1,5

7,4

15,3

2,3

9,7

38,9

Lazio

4,9

1,3

5,0

11,3

18,6

40,4

Abruzzo

15,8

1,6

76,8

-7,8

-2,4

61,5

Molise

0,3

10,9

-5,7

13,2

8,2

28,0

Campania

1,9

10,4

4,5

3,5

32,3

57,9

Puglia

15,0

6,7

62,3

-4,9

5,9

74,5

Basilicata

0,7

-0,5

52,8

31,3

-24,4

51,0

Calabria

9,8

1,7

-1,9

24,8

21,5

51,3

Sicilia

2,8

-7,2

13,9

13,1

7,8

28,9

Sardegna

1,3

2,8

23,8

13,3

-8,0

32,6

ITALIA

5,1

2,0

27,2

7,4

2,9

43,4

(25% in Val d’Aosta) in respects to both the central regions (21%) in Tuscany and the southern ones (about 12.3% in Calabria, 13.5% in Sicily). The entry goods and services of the Healthcare division constitutes heterogeneous aggregation for which it is necessary and opportune to distinguish between the different types of goods and services in relation to the different role that each has in the division, the different burden that each one has on the whole of the expenses, and the contribution that each one could bring to the rationalization and the content of the expense itself. The expenses of the Servizio Sanitario Nazionale (National Healthcare Service) for goods and services in 2005 amounts to about 13 500 million Euro, divided among:

•

•

•

Communal expenses for all of the Public Administration (about 2000 million Euro), that is, the expenses for goods and services in which technical characteristics remain invariable independent from the type of Administration; Specific Communal expenses (about 3 500 million Euro), that expenses for goods and services purchased by all of the Administrations, with different degrees of personalization according to the type of service offered by the Administration itself to the final user; Specific Healthcare expenses (7 500 million Euro), that is, the expenses for specific goods and services(for example, pharmaceuticals, medical devices, etc….).

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The same expenses can be then differentiated according to the supply market and the ability to standardize on a national scale, distinguishing, therefore, between goods and services with a local market and goods and services with a national market. A further subdivision takes into consideration the value of the expense, which is to say, expenses above or under the communal threshold: the presumed import of the value of the supply determines the normative that disciplines the purchasing procedure. Typically, the expenditure of a public hospital authority are referred to the costs for the acquisition of goods and services. The process of procurement of a healthcare authority follows the individualization of the resource need and the possible modes of acquisition individualize the so-called “logistic cycle”. The identification of the need allows for the definition of the typology of management (in stock, in transit, services or products in services), while their accumulated value allows for the identification of products to place into competition or to manage sub-threshold. The interaction between type of purchase and type of management compares the distinction between materials managed in store and materials managed in transit, distinguishing between material purchased in tender and material purchased sub-threshold. For products managed in store in stock relative to the sub-threshold, the use of e-procurement and e-commerce systems are theoretically possible. For products in transit, not in tender, the direct purchase of the good through a on-line catalogue system on the part of the final user, is a possible solution. The main forms of inefficiency detected in the healthcare market for purchases of intermediate use are individualized in: •

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An elevated dispersion of the price for similar products (that reveal policies of price discrimination practiced by suppliers);

•

A wide difference of the purchased products internally in groups functionally similar.;

A non-optimal management of the purchasing process of the goods (excessive costs, late emission of the orders); •

•

Little control of the management process (little planning, inadequate knowledge of the needs, little control over the level of stock); A modest attention towards logistic problems (little visibility of the flow of materials both in store and in transit, insufficient rationalization of the stores, low qualification of the personnel).

In particular, it is estimated that in the Servizio Sanitario Nazionale, the purchase of goods and services generally occur at prices that present themselves as higher that in competitive conditions (it is thought that, on average, the price applied surpass by 26% the price that would be asked in competitive conditions). The aggregated inefficiency is revealed by the fact that in about 60% of the cases, the adjudicated prices moves away from the minimum by no more than 20%, while in 40% of the cases, the gap reaches peaks of 300%. It is therefore possible to individualize some critical areas susceptible to rationalization interventions: •

Control of the expenses and costs. Controlling expenses of a single factor of production can be in itself not very significant in respects to the achievement of an effective managerial economy that is obtained by monitoring the cost per product unit, which consents the evaluation of economically technical alternatives of production;

Innovative Processes and Managerial Effectiveness of e-Procurement in Healthcare

•

•

•

•

Rationalization of the acquisition procedure and administrative simplification. More than 300 healthcare agencies and research institutions purchase 90% of the same products and services with autonomous procedures and with a considerable cost (it is estimated that a public tender for suppliers of a medium complexity has an administrative procedural cost, independent to the value of the contract, of over 7 500 Euro); Price and nomenclature monitoring committee of products and services. The price monitoring committee, individualized in Italy since 1992 as an important instrument of knowledge for the managerial purpose of the reference market, has not surpassed, as of today, the experimental phases. Firstly, there is a lack of structural conditions for the implementation of a nomenclature which univocally individualizes the products monitored. The difficulty is reconnected to the number (over 20 000) and the heterogeneity of the products to which continuous variations are added to the list of suppliers due to evolving technology or the restyling of the products, which calls for consistent definitions of the registry. To this is then added the difficulty connected with the absence of a homogenous and integrated management and communication system (Authority-Region) of the healthcare authority that feeds the monitoring; Strategic aggregation of the demand. The most significant value of the strategic aggregation of the demand is in the imposition on the part of the buyers of a comparison on the technical plan and to summarize the homogenous product needs, de-personalizing the purchasing decisions, inducing a higher competitiveness and contractual power of the demand; Constraints of the public tender. The presence of such constraints implicates the

search to optimize the obligatory procedures of acquisition, subordinate to the constraints imposed by the law on public tenders. The sector is nonetheless characterized by a strong dynamism in terms of initiatives geared towards the rationalization of the expenses for intermediate use and towards the reform of the purchasing procedures. In particular, it is possible to individualize: •

•

Market initiatives (the presence of e-procurement initiatives on the expenses specific for sub-threshold Healthcare (the eHealthcare portal, based prevalently on the concept of marketplace); Initiatives of the Public Administration (constitution of purchasing associations, logistics, laws, and procedures).

The Instruments Linked to the use of e-Procurement The term “procurement” is often used in a scientific (and even popular) context with a limited acceptation, as it is associated with only the acquisition phase (Panayioutou, Gayialis and Tatsiopoulos, 2004). Consequently, the term “e-procurement” becomes a synonym of a class of electronic instruments that directly link the buyer and supplier on the same network in order to stipulate a contract. By consent with other texts (MacManus 2002, Somasundaram 2004), and with the practicality of a healthcare authority, the term “procurement” indicates a wider process that originates with the need of a good or service and ends with its use and the payment for its supply. The procurement process therefore includes the analysis of the needs (from both the central stores or from the departments), the acquisition planning, the selection of the suppliers (where and how to buy), the acts connected to the purchase (through an auction or direct order), the taking

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charge of the arriving materials and the logistics of the central store, the supply and management of the department stores, the management of the invoices and of the payment. The system of e-procurement includes, therefore, the entire process of procurement and not only the acquisition phase. Coherently, the term “e-procurement” indicates the organizational solutions supported by ICT instruments that consent electronic procurement forms, potentially more effective and efficient than the traditional ones, for which a re-design of the processes that is more or less broad and deep is requested. This takes into consideration the entire life cycle of a product or service. The solutions for e-procurement include instruments that must be used in complementary ways in order to optimize the entire process of procurement: •

•

•

•

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E-purchasing gathers different instruments which allow for the full management of the phases of acquisition, from the individualization of a product to the processing of the invoices and payment; Platforms that permit the running of online tenders (from the initial notification of the documents until the closing of the contracts), reproducing administrative procedures on the web (e-tendering), and the analysis of the expenses and the measurement of the performances of the suppliers, to optimize the mix among suppliers, product and service; Marketplace and electronic catalogues that support the activity of identifying the suppliers (sourcing) and the complete management of direct orders, the dispatch, the authorization of the expense, up to the monitoring of the progress (e-requisitioning); Instruments for electronic exchange, the management of invoices (e-invoice) and payment activity, usually through a connection with a banking system(e-payment);

•

E-logistics, which concerns the optimized management of the stores (in healthcare structures: pharmacies and supply offices, for office material) and of the internal flow of the goods, based on Intranet/Extranet technology that integrates solutions of Supply Chain Management (SCM), capable of directly connecting to both the internal players as well as external, and even facilitating the check of accounting documents and the analysis of the needs.

Healthcare Reform and the Procedure for the Acquisition of Goods and Services The innovative elements of healthcare reform are numerous and pronounced. The process of privatizing state owned agencies of major devices and of the Aziende Sanitarie Locale (Local Healthcare Authorities), the attribution of financial responsibility to the regions to the introduction of contracts of a private typology, contribute to the design of a system of incentives that are completely new for the division. As noted, the Legislative Decree of 30 December 1992 n. 502 profoundly mutated the judicial nature, the organization apparatus and the territorial sphere of the Unità Sanitarie Locali (Local Healthcare Units). The USLs, subject to rules, distinct from the reference body and provided with autonomy (organizational, patrimonial, accounting, managerial and technical) is a complex system, open and aimed towards the attainment of determined objectives. This imposition was confirmed and enforced by the Legislative Decree 299/99 which foresees that the healthcare companies are constituted with public legal subjects and entrepreneurial autonomy and that their organization and function are disciplined with a corporate act of private law, according to the general principles and criteria established by the regional law. The regulatory framework of 1999 offered theoretical spaces for the operative business

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management oriented towards the “criteria of effectiveness, efficiency and economy”. It is to be noted that the Legislative Decree 229/99 indicated a sort of preferential path to accelerate the transformation the ASL culture individualizing the proof for change in the procurement area. The framework, in fact, foresees that “the contracts for the supply of goods and services, whose value is inferior to that established by the EU framework, are outsourced or negotiated directly according to the private law regulations” (art.3 1-ter). In conjunction with the reform, there has been a consequential evolution of new organizational and managerial strategies and acquisition forms of the goods and services not only limited to the classic contractual legal paradigm: the current legislation consents, in fact, organizational formulas that provide for the integration of companies and negotiation logics. This objective lends itself then to be implemented in various forms, for example, giving life to a purchasing associations, referring to a general contractor, outsourcing entire services. From the point of view of the request of goods and services, a restructuring of the same was launched, causing by both the institutional restructuring and the size of the ASL, with the consequent reduction in the number of the contracts and the rise of the unit value of the same, from both the containment policies and the rationalization of the healthcare expenses undertaken at a central level. The main current policies of the request can then be traced back to three main interventions: 1. Control of the prices, through the creation of monitoring committees at a national and regional level; 2. Aggregation of the request aimed at improving the contractual capacity (purchasing associations); 3. Electronic commerce for communal “subthreshold” purchases;

4. Control of the expenses for goods and services at various levels (national, regional, corporate); Following are some considerations on these points. 1. The control of the price and the monitoring committees. Created in the field of the development of the systems for the planning and control of management as a strategic, managerial and operative instrument, aimed primarily at restoring efficiency and economy in the acquisition and the use of goods and services, the monitoring committee is configured as a twofold instrument: •

•

At a company level, in order to provide information that can be used to support acquisition decision-making processes, in order to reduce the asymmetry of information that particularity characterized this sector healthcare expenditure, as well as for the planning and control of the expenses for goods and services, combined with the traditional systems of budgeting for cost centres and responsibility; At a regional level, in order to support the processes of expense rationalization relative to the goods and services in the Healthcare division that absorb a considerable financial volume and in which the effects of containment and consistent savings can be achieved through minimal price reductions.

The base element on which the entire system is founded is made up of a national databank of the biomedical technology in which all the products that are the subject of the monitoring are catalogued and coded. Currently registered in the databank are 19 000 purchasing events relative to supplies and material for a technological

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use. These are detected at the pilot centres that participate in the project. It is possible to obtain, for each product, data relative to the lowest and highest purchase prices, information about the quantity of the products, on the procedures used, on the modes of payment, on the type of contract (buying, leasing, service),with aggregations of both a national character and geographical area (north-east, north-west, centre, south and islands). As stated, it can be gathered that the monitoring committee really has the task of surveying and elaborating data, carrying on a primarily informative function. In particular, its duty is not to establish the price of the supply nor which products are preferred to others: instead, this decision is up to the healthcare authorities whose responsibilities also include-and so much more than the duties of a monitoring committee-the effectiveness of the performances and the efficiency of the services. The monitoring committee therefore has decidedly informative functions. This nevertheless does not exclude the importance and the role that the information can furnish on the rationalization plan of the purchasing procedures. 2. Purchasing Associations. Inter-company purchasing associations have for some time been launched in the sector in order to allow for the strategic aggregation of the request. Along with the purchasing associations, contract stipulation is maintained upon the single companies with the suppliers and it is not necessary to attribute autonomous and third legal status to the companies involved. The necessary conditions for the activation of an association are a standard presale of the use and the involvement of professional structures of the healthcare authorities in the typical activity of procurement: individualizing the needs, analysis of the reference market, product unification of the request and arrangement of the contracts. The involvement of professional figures involved

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has implicated the definition and the coordination of many operational groups (pharmacists, economists, etc.) The effectiveness of the purchasing associations necessarily involves the division of the selection on the part of the users. This has, as a direct consequence, the standardization of the products that, as stated, is a fundamental prerequisite of the constitution of the purchasing groups. The most significant value of the strategic aggregation of the demand consists in the synthesis of the homogeneous product needs, de-personalizing, even in the valuation of the supply, the purchasing decisions. 3. Electronic commerce for communal subthreshold purchases. The sub-threshold market in Healthcare has a prospect of considerable dimensions in terms of business volume (about 2 million Euro in 2009). Healthcare organisations can therefore make purchases without calling tenders for amounts below the community threshold. Through private mechanisms, the regulatory framework provides the opportunity to purchase healthcare products thanks to the emanation of some regions (Liguria, Piedmont, Tuscany, Valle d’Aosta, Sicily, Umbria, Campania, Molise and Emilia Romagna) of ad hoc regional disposition. It is estimated that sub-threshold amounts are equal to about 20% of total purchases in Healthcare. For the latter, the use of e-procurement informatics tools are also foreseen, on which emphasis was also placed in the National Health Plan. From this point of view, it is underlined that the commerce procedures in the field of Healthcare are already active, in conjunction with a strong push towards the simplification of purchasing procedures and to a growing use of electronic commerce. On some websites dedicated to selling health products one can, indeed, contact and carry out business transactions with the manufacturers of healthcare products.

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The Existing Correlation between Expense Typology and Acquisition Instruments Healthcare facilities, unlike the majority of Public Administrations, are directed to produce specialized and critical services. More than in other sectors, it is fundamental to maintain a high standard of quality for many goods and services purchased (because of their impact on the quality of the final services), along with the economics and promptness of supplies, the transparency of the activities and the respect of principles of competition between suppliers. The main difference between the three categories of expenditure listed above and the availability of various electronic devices requires careful reflection on the solution which is best suited for which type of goods/service within the integrated vision of e-procurement. Goods and services with a communal costs can be standardized for all of the Public Administration- large use, wide supply, repeat purchases - and they are perfectly compatible with the instruments of e-requisitioning, such as marketplaces and ecatalogues, based on “conventions” negotiated by a single entity (at national, regional or local level) that aggregates fractions of public demand, stipulates ample standard supply contracts, and manages unified tendering procedures in favour of a large number of “client” entities (CONSIP 2003). The best opportunity for a local authority - in terms of reduction of purchase prices, administrative costs and availability times - is therefore to lean towards one of these instruments. The adoption alongside these, of e-logistics, einvoice and e-payment tools may improve the management of supplying and further reduce its administrative costs. The communal - differentiated expense - consists of supplies which must ensure the satisfaction of the special needs of the healthcare purchaser, and the submission and evaluation of often complex projects are requested, for which it is difficult

to define criteria for the automatic attribution of points. The traditional procedures may be replaced by a tender run partly on-line, shifting the phases of advertising, tender, presentation of the supply, intermediate and final communications onto the web (with obvious benefits in terms of reduced times and administrative costs), while the evaluation phase will be kept off-line. Even in this case, e-invoice and e-payment may further increase efficiency. To properly manage the specific healthcare spending, a broader approach than e-procurement must be used; focusing on finding the lowest purchase price may even be counterproductive (Borgonovi 2004), from the moment goods and services are very specific and high quality supplies are demanded. Benefits can be obtained through the rethinking of internal processes and the adoption of more methods and tools throughout the entire procurement supply cycle - e-health logistics, tendering online, advanced forms of marketplaces, e-invoice and e-payment - and the supply of appropriate ICT facilities for each healthcare center cost (eg.: hospital ward).

THE MODALITY OF OPERATION OF THE MODEL OF PURCHASING MANAGEMENT The extension of the new model of purchasing management on segments of highly specific expenses requires the adaptation of the existing model in order to allow the application relative to the products that, from the point of view of supply, face mainly local markets of medium and high dispersion and from the point of view of demand, interest subjects with institutional characteristics of a higher autonomous management (ASL and hospitals). The strategy of rationalizing purchases in the healthcare sector is based mainly on the support to the introduction and the full use of the instruments of e-procurement, and on the aggregation of the demand on a national or regional

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level. Particularly, the hypothesis of intervention in the division foresees, firstly, the enhancement of the use of the national contractual agreement stipulated by the procurement Entity (Consip), secondly, the realization of regional purchasing boards and the promotion of the use of e-procurement instruments. This has lead the identification of three different directions of intervention for the procurement of goods and services: •

•

The compliance to the Consip convention and utilization of a national electronic catalogues for goods and services that are easily standardized and with national supply markets. This initiative concerns all the communal, and part of the specific, healthcare expenses; The development of regional conventions for specific communal expenses and specific healthcare expenses not standardized on a national scale, with local supply markets. Such conventions foreseen are stipu-

•

lated adding the demand of more ASLs/ AOs at a regional level; Purchases through the electronic market for specific healthcare expenses, with the creation of a marketplace committed to Healthcare, and consisting of the current suppliers of the ASL/AO.

A specific operating model for the initiative of expenses in the Healthcare sector was therefore elaborated on, coherent with the institutional roles of the parties involved. The operating model is based on purchase structures on a regional level, integrated with the central purchasing structure of Consip and foresees a strong use of e-procurement instruments (Figure 3). As a matter of fact, the project foresees, on a regional level, the institution of a competent structure to manage regional purchases, coordinating the agreement of the regional conventions and monitoring the expenses. Such a structure replicates, on a local level, the usual activity done on a national level by the Consip.

Figure 3. The central purchasing structure of Consip on a regional level (Source: personal processing)

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The regional centre, in fact, has the task of intervening on the purchases of goods and services for the healthcare authorities by facilitating the access to national Consip conventions, and developing regional conventions for the specific component of the expenses. In particular, a structure that operates on a local level would allow the problems connected to the strong dispersion of the supply of healthcare products to be overcome, and would facilitate the aggregation of individualized requests from healthcare authorities and the standardization of the same. The task of the structure is to support and promote the ASL and the hospital authorities in the selection and management of the logistic operator and to develop solutions for e-procurement. Such competences are to be subordinate to the gathering operation and the evaluation of needs of the ASL/AO and the relative level of satisfaction during the procurement process. In this framework, Consip ensures and makes the tools for e-procurement available and supports the launch for regional structures, while the regions promote new buying technologies on local markets and towards health services. The modalities of the regional structure are therefore similar to the national Consip; what changes is only the field of action: the regional Consip manages and promotes the agreement drafts at a regional level by intervening during the bargaining between the supplier and the ASL. The structure would intervene, then, during the bargaining phase, while the relationship between the supplier and ASL/ AO would remain in the supply phase. The central structure maintains the task of both coordination and monitoring for service standards. The organizational structure of the Healthcare Project foresees the involvement of the Regions, the ASL/AO, the Ministry of Health, Ministry of Economics and Finance, and Consip. More specifically, the role of the Ministry of Economy and Finance, and Consip will be: •

To render the national conventions and instruments of e-procurement available;

•

•

To promote the implementation of regional initiatives, through the transfer of procurement responsibilities, e-business and program management; To ensure the coordination of various initiatives at a national level, ensuring coherence and functional integration.

For the management of experimental projects, a protocol of agreement is signed by the Ministry of Economics and Finance, Consip and the different regions. Their objective is to start work groups with organizational, product, informative and legal competences for the development of the projects themselves. For the implementation, as foreseen in the protocol of agreement, an organizational structure that includes a Guiding Committee and a joint project team Consip - Region shall from time to time be developed.

CONCLUSION From the abovementioned, it is evident that the reform of the procurement of Public Administration presents some distinct key elements: 1. Choice of an outsourcing model with a delegated procurement agency (Consip JSC), a centralized level, the stipulation of agreements (on prices and conditions), with suppliers of goods and services, valid for the entire public administration; 2. Adaptation and voluntary compliance of the central Public Administration (tying) and decentralized (untying) conventions; 3. Specifying representatives for the promotion of the use of innovation in the process; 4. Stimulate the formation of aggregations of institutions and companies; 5. Promote the standardization of the application;

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6. Promote the use of computer systems, ecommerce and web connection; 7. Greater interrelation between the Government, Public administration and decentralized entities, and between the protagonists of the model; 8. Promotion of transparency in terms of conventions and of the streamlining/speed of the adjudging processes and supply through the Internet. The unification of the purchases allows for, at the level of the entire Public Administration, the achievement of a “unique approach to the market” and responds to the need to overcome the problems connected to the pulverization of centres responsible for the management of public resources and to the consequent inefficiency derived from it. A fundamental role for reaching and monitoring the objectives of balance, for both the containment and the control of the expense, as well as for the streamlining of the purchasing procedures is attributed to the system of conventions, stipulated with competitive procedures. The operating model, thanks to IT instruments, assures the obtainment of benefits connected to the coordination of expenses, the rapidity of action and the autonomy of the Administration (to which the responsibility of the definition of its own needs, and therefore of the purchase order, is clearly permitted. This foresees the consent, as already noted, of the achievement of longer entreaties to the efficiency and effectiveness of the procurement and not of simple expense cuts. The savings obtained will become therefore more consistent and permanent with the consolidation of the administrative structures of the procedures introduced. The extension of the model to Healthcare renders the reflection on the evolution of the systems adopted for the central Public Administration for the management of segments of expenses with characteristics of a higher specificity and peculiarity necessary. Firstly, a correct policy of the

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acquisitions cannot limit itself to a real intervention on supply prices, but must pay attention to the value that the goods or service acquired has as the goals and objectives of the healthcare authority. To this is added that the main problem in the healthcare sector is the control of the quantity of the services supplied and the suitability of these to the real needs of the users. For this reason, a real intervention on the price of acquisition could not quantitatively and qualitatively weigh upon the expense aggregated by the division. This problem can in part be resolved by the estimate and correct definition of the needs and the typologies of the product to acquire, whose competence remains upon the single healthcare authorities. The use of a system of conventions and the standardization of the demand can furthermore contribute to the dilution of the elevated dispersion of prices for a similar product and to contain the wide differentiation of the products acquired internally in groups that are functionally similar. The role of the price monitors would continue to be significant for a consistent databank definition of the products caused by their continuous restyling and variation of the lists of suppliers. The regional healthcare structure would guarantee, furthermore, a homogenous and integrated management and communication system. The choice for a regional structure responsible for the procurement of health seems to be preferable to a single national center. Firstly, such a single structure could contribute to irresponsibility of agencies and a non-enhancement of professionalism within it, facilitating the evaluation of non-strategic aspects in addition to a diversion of resources. Further, the creation of a national purchasing centre, if required, would appear inconsistent with the current process of regionalization and privatization of state owned agencies that started in the 90s.

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MacManus, S. A. (2002). Understanding the incremental nature of e-procurement. Implementation at the state and local levels. Journal Public Procurement, 2, 5–28. Marrelli, M. (1997). Acquisto di beni e servizi nella pubblica amministrazione: Esperienze straniere e proposte per l’Italia. Rome, Italy: Commissione tecnica per la spesa pubblica. Ricerca n. 9, Ministero dell’Economia e delle Finanze. Mechling, J. (2000). E-commerce: E-government and procurement reform. In Atti del seminario Egovernment ad innovazione dei servizi della pubblica amministrazione. Rome, Italy: Ministero del Tesoro, Bilancio e Programmazione economica.

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Somasundaram, R. (2004). Diffusion of e-procurement in the public sector: Revisiting centralization versus decentralization debates as a twist in the tale. Paper presented at European Conference on Information System, Turku. Somasundaram, R., & Damsgaard, J. (2005). Policy recommendations for electronic public procurement. The Electronic Journal of E-Government, 3, 147–156.

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Comite, U. (2001). La qualità del Servizio Sanitario Nazionale - Commento all’art. 10 del Dlgs 229/99, Leader for Chemist n°5/2001. Milano, Italy: Cesil. Comite, U. (2001). Principi e natura dell’Atto Aziendale di diritto privato nelle aziende sanitarie. Leadership medica n°12/2001. Milano, Italy: Cesil.

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Comite, U. (2004). Efficacia, efficienza ed economicità: la governance nella pubblica amministrazione. In F. Luciani & R. Rolli (Eds.), Azione amministrativa e disciplina di diritto pubblico. Napoli, Italy: ESI. Comite, U. (2004). La comunicazione sanitaria: i rapporti tra personale, paziente e struttura organizzativa. Working paper n°1/Febbraio, Dipartimento di Organizzazione Aziendale e Amministrazione Pubblica - Università della Calabria, Rende (Cs) Comite, U. (2004). Innovazione organizzativa e Information Tecnology nella Pubblica Amministrazione: Il Progetto Cat@hospital. Centro editoriale e Librario Università della Calabria, Rende (Cs) Comite, U. (2007). Le nuove frontiere dell’e-health management nel campo della realtà virtuale: la telemedicina. Working paper presented in the Community OCCAM of Economic and Social Council 2007, United Nations Office (Geneve 2-7 luglio 2007) Leadership Medica n°259/2007, Milano: Cesil. Comite, U. (2008). Nuovi strumenti informativi sulla spesa nella Pubblica Amministrazione. Il sistema informativo delle operazioni degli enti pubblici. Milano, Italy: F. Angeli. Cuccurullo, C. (2003). Il management strategico nelle aziende sanitarie pubbliche. Milano, Italy: McGraw-Hill. De Vincenti, C., Finocchi Gheri, R., & Tardiola, A. (2011). La sanità in Italia. Organizzazione, governo, regolazione, mercato. Bologna, Italy: Il Mulino. Giarelli, G., & Venneri, E. (2009). Sociologia della salute e della medicina. Manuale per le professioni mediche, sanitarie e sociali. Milano, Italy: F. Angeli.

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KEY TERMS AND DEFINITIONS Client: The person who responded to an action of mailing proving to have intention or an interest in buying a good or a service.

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Company: In business administration, it is an organization of people and means aimed at satisfying human needs though the production, the distribution or the use of economic goods. Economy: The ability of a company to maximize the usefulness of the resources used. The rule of economy can be defined as the criterion of cost recovery. The companies derive revenues from the sale of products and services to cover the costs of purchasing costs of inputs and make a business profit. Healthcare Authority: Economic context of an institution in which the resources are combined according to work behaviour, achieving the production of goods or services for the satisfaction of health needs. Innovation: The introduction of a product, process, service or solution that is new or significantly improved compared to the current features or use by the company, including significant improvements in the technical features, in the components and materials (including software), in the convenience for the user or other functional characteristics. This innovation can use new knowledge or technologies or may be based on new uses or combinations of existing knowledge and technology. Management Effectiveness: Measures the ability to combine input and output at the lowest cost of market prices. Indicates the ability of the enterprise (external efficiency) to get more units of output as the savings obtained on the market (both in the purchasing input and output sales) have yielded the same resources as monetary resources. Public Administration: In the objective sense it is a public function (administrative functions), consisting in the activities done in order to look after the interests of the community (public interest), within a predetermined political direction; in the subjective sense it is all persons exercising this function. The adjective “public,” which qualifies the term administration suggests that this in itself has a broader meaning: indeed, any

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person or entity carries out activities to care for their private interests or those of local community. Technical Efficiency: Measure how factors are used in the production process. Indicates the ability of the enterprise (internal efficiency) to produce more physical units of output given a certain amount of input and a certain technology or vice versa.

ENDNOTES 1





The economic literature on procurement uses mainly the categories of the microeconomics analysis. This refers to the assessment of transaction costs resulting from externalities in general, by information asymmetries and monopoly conditions associated with a contract procurement (Cooter, R., Mattei, U., Monasteries, P. Pardolesi, R. and Ulen, U., 1999). For purchases of goods and services it is considered that the information asymmetries (Petretto, A., 1992), may constitute a significant burden for the single cost center of the public administration, especially as regards to the content of specific property or behaviour of the suppliers. Such asymmetric information, relating to both price and quality variables, can be addressed through monitoring activity and preliminary investigations (screening). The problems associated with asymmetric information, both the form of adverse selection and moral hazard, are necessary forms of incentives that can be implemented through organizational structures and contract types. The organization structure of the procurement, considering the presence of incomplete contracts, can be traced to two main models (Hart, O., 1989, Tirole, J., 1996): “models of in-house purchasing units,” based on internal management of the purchases or directly carried out by individual cost centers or by a central office director; and outsourcing

Innovative Processes and Managerial Effectiveness of e-Procurement in Healthcare

models. These models differ essentially for three elements of a formal legal feature:a) the ownership system of the purchasers, b) the type of contractual relationship between these entities and the public administration to procure c) the type of bond (financial and otherwise) required to cater to those of PA (Marrelli, M., 1997). Regarding the benefits and costs of the ownership system, refer to the study of Grossman and Hart (1986) and the theorem on the “neutrality of institutional form” of Shapiro and Willig (1990). Regarding the type of contract that ties the agencies and procurement cost centers of the Public Administration, an obligation or not to make purchases through the authority is considered. The “Public Administration

client” could be obliged for the procurement of its needs to the Authority (scheme known as tying in English literature), or be free to approach the market (untying). In this regard, an interesting contribution to the ratio of the two types of contract is provided by the well-known model by Anton and Yao (1989). The analysis of incentives and penalties in contracts between “Public Administration client” and procurement company to reduce cost structure and organization are discussed among all by Laffont, J. and Tirole, J. (1993). With regard to the constraints imposed on so-called “Public Administration client” the effectiveness of regulation in the presence of a soft budget constraint is also addressed by Tirole (1994).

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Chapter 12

European Public E-Procurement: The Italian Experience Pietro Previtali University of Pavia, Italy

ABSTRACT The public procurement of goods and services is a strategic activity for governments for at least three reasons: a) it has a relevant economic impact (15–20% of the GDP of European countries); b) it is relevant for potential improvements in governments’ public services; and c) it affects both the competitiveness of nations and the welfare of citizens. After a description of the European central procurement models for the public sectors, this chapter identifies the specificities of the Italian situation, discussing the role of e-procurement platforms across the whole system from an organisational and an economic point of view. Focusing on the Italian Central Procurement Department, the authors conducted a survey on e-transactions over the past four years. The results show the kinds of goods and services that are more compliant with the use of e-procurement tools, trends in transaction volumes and economic amounts and the relevance of different geographical areas and different public organisation typologies. A major change in e-procurement transactions has occurred because of the compulsoriness enforced by legislative framework.

INTRODUCTION AND BRIEF LITERATURE REVIEW Procurement is now seen not only as a strategic player in the value chain, but also as a major driver in the extended supply chain (Kalakota and Robinson, 2001; Pearcy et al., 2008). Some literature espouses the benefits of innovative solutions through procurement systems, mostly DOI: 10.4018/978-1-4666-0116-1.ch012

connected with ICT implementation (Aberdeen Group, 2005; Heywood, Barton and Heywood, 2001; Schoenherr and Tummala, 2007; Tanner et al., 2007). These benefits include the acceleration of the execution times of procedures and reduction in announcement expenses, simplification of processes and the direct and constant monitoring of public spending; the opportunity to spend time out of routine administrative tasks (automated by new tools) through activities with higher added value in terms of function-specific purchases

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European Public E-Procurement

(e.g. marketing intelligence); the improvement in transparency because of the uniformity of access to information without discrimination because the tender documents are online; and the standardisation of procedures, which ensures that the timing and quality of processes can be more easily controlled by external actors (e.g. information asymmetries). However, some studies (Andersen, 2004; Henriksen, Mahnke and Hansen, 2004; Vaidya, Sajeev and Callender, 2006) reveal that these benefits tend to decrease in the public sector, mainly because of the impact of different economic, institutional and social factors (Calista and Melitski, 2007; Gichoya, 2005; Heeks, 2008; Mahadeo, 2009; Maniatopoulos, 2004; Tonkin, 2003). These differences have resulted in a number of specific regulations and standards that have been developed for public (e)-procurement that require bureaucratic procedures. This bureaucracy, which is also related to the nature of the institutions involved (Castelnovo and Simonetta, 2007; Kanishka and Hepu, 2010; Somasundaram and Damsgaard, 2005), covers audit, accountability and compliance standards with national and international rules to ensure supply competition and transparency in the awarding of contracts. In particular, certain problems remain crucial, such as inadequate Internet coverage and the digital divide and the inertia of users in change management from an organisational and cultural point of view. Moreover, resistance at the local level in wanting to play and compete within a system tends to increase by bringing into question its own consolidated market components (Liu, Derzsi, Raus and Kipp, 2008; Schwester, 2009; Shackleton and Dawson, 2007; Thomson, 2009). Despite these weaknesses, the public procurement of goods and services in the European context is a strategic activity for European governments. Thus, it is worth studying this topic for at least five reasons: a) it is economically relevant, b) it has a substantial impact on governments’ public activities, c) the juridical panorama has strongly

evolved in the past 10 years, d) there exist different institutional and management models and e) it affects both the competitiveness of nations and the welfare of citizens. Following new rules and orientations of the EU and Member States, new ICT tools have been introduced to facilitate the match between demand and offer (e.g. Simap website, electronic tendering, directives to stimulate the use of ICT, etc.). The more the public service impacts on individuals and communities (for example, health care services, environmental issues, creation of job opportunities), the more public procurement rules and ICT tools should be effectively managed. Moreover, the EU harmonisation process can face difficulties depending on the different national contexts and the political, juridical, cultural and institutional profiles of each country (UNDESA, 2008). The public procurement models of EU countries can be identified by their grades of centralisation/ decentralisation and by the extensions of their public mandates (i.e. their scopes and whether they are mandatory or not), as well as on the different typologies of goods/services.

RESEARCH METHODOLOGY To understand how the role of central public eprocurement should be developed from its current standpoint, we analysed different situations in old European countries. In these countries, we observed the presence and relevance of public e-procurement projects either at a regional level or at a national level in order to centralise the purchasing of products or services with all the relative advantages. To study the use of public eprocurement in the EU, various approaches were adopted. Data were collected using a content study of major central and local government websites in the most developed European countries. To understand the Italian experience, we conducted a survey on the Italian Public Administration eMarketplace over the past four years

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through the elaboration of transactional data. A case study approach was used. A research case study has been defined as a method for learning the “right” questions to ask. That is, the purpose of case studies is to generate hypotheses rather than to test or confirm them. The present methodology involves an in-depth, longitudinal examination of a single instance. In this study, we used a research case study as a method for learning about a complex instance (public e-procurement) based on a comprehensive understanding of that instance obtained by extensive description and analysis. We adopted an illustrative approach, which primarily describes what is happening and why, in order to show what a situation is like. This can help in the interpretation of public e-procurement, particularly because we believe most practitioners and academics know too little about the Italian experience. The data compiled relate to the following dimensions: 1. Value and number of transactions by sixmonthly intervals and by geographic area; 2. Value and number of transactions divided by modes of acquisition, specifically between request for quotation transactions (RFQ) and direct transactions (DT) or direct order of acquisition (RFO) by six-monthly intervals and by geographic area; 3. Average value of RFQ and RFO as well as the flow over six-monthly intervals; 4. Number of active suppliers by geographic area and the flow over six-monthly intervals; 5. Number of active suppliers by catalogue type (ICT, office, services, health materials, others) and the flow over six-monthly intervals; and 6. Number of active suppliers by type of catalogue.

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E-PROCUREMENT: A EUROPEAN OUTLOOK The 2004 European Directive regarding public calls for tender was only acknowledged in 2006 in many European countries (only Denmark incorporated European Directives previously – in 2004). However, many countries are considerably active and interested in the subject, and these countries have been investing resources in the adoption of e-procurement databases/platforms for public administration purposes. The Member States of the EU need organisational structures to carry out public procurement functions. These tasks range from the drafting of relevant legislation and the development of public procurement policies to the training of procurement officers and publication of contract notices. Even though the majority of EU Member States have central public procurement bodies within their governmental structures, not all European governments satisfy their needs through a central procurement agency. In fact, a survey conducted in 2004 revealed that just 10 institutions out of 19 were considered central purchasing bodies (Piga and Zanza, 2004). Although differing in terms of responsibilities, functions and tasks, these bodies have several features in common. However, the evolution of the various public e-procurement projects in Europe is interesting and diversified. European countries tend to choose external technologies for the creation of an e-procurement platform. For instance, the platform for a large number of projects is supplied by a provider that supplies the necessary technology, whereas the purchase of a license is less frequent. Only in rare cases do European countries choose to produce the platform using their own resources. The platform organisation is usually managed by agencies appointed by central entities: such agencies manage the relationships with public entities and promote the use of the platform. Thus, the technological evolution of standard procedures for public procurement tenders can be arranged in five levels:

European Public E-Procurement

1. Stage 0: the service provider or administrator does not have a publicly accessible website or its publicly accessible website does not qualify for stages 1 to 4. 2. Stage 1 (under 20% of online public services implemented): the information about the tender is available on a publicly accessible website managed by the service provider or administrator. 3. Stage 2 (from 20% to 50% of online public services implemented): the publicly accessible website managed by the service provider or administrator offers tender in paper form. 4. Stage 3 (from 50% to 70% of online public services implemented): the publicly accessible website managed by the service provider or administrator offers electronic tenders. 5. Stage 4 (more than 70% of online public services implemented): the publicly accessible website managed by the service provider or administrator offers online tender applications including case handling and delivery. As shown in “The User Challenge Benchmarking The Supply Of Online Public Services” (European Commission, 2007), most European countries show a good level of evolution, in particular ‘old European’ countries, which have achieved an average overall sophistication maturity level that is between stages 3 and 4. The analysis of the various instruments available on the public e-procurement portals reveals a strong preference for auctions and calls for tender to catalogues and electronics markets. In all assessed countries, there is a project for the realisation of an e-sourcing platform, although such projects are at different stages. Although the initial phases of the process are all covered in most cases (especially the phase of the call for tender publication), the number of operating projects decreases as further phases of the purchasing process are approached (e.g. in Finland, Greece, Sweden and Ireland).

However, in Europe there are a large number of public platforms that allow online negotiations and that are starting to show more interest for calls managed by an open procedure. Electronics catalogues are becoming more and more widespread, although not as much as calls and auctions. These catalogues allow public entities to purchase directly from suppliers that publish their proposals online following an authorisation by the catalogue manager. Electronics markets are less relevant and enable public entities to ask suppliers for direct orders or quotations. Procurement functionalities can be grouped into three different categories: •

•

•

Individual contract systems: covering the procurement of one-off contracts to open, restricted or negotiated procedures; Repetitive purchasing systems: covering systems employing electronic catalogues, through framework agreements; and E-auction systems.

According to the European Commission’s report “E-procurement functionalities, State of the art report, volume I”, the state of the art of procurement procedures in some European countries is a heterogeneous starting point in the aim towards a fully standardised e-procurement environment (European Commission, 2004b). Even if all existing e-procurement systems in the reviewed countries have been conceived, designed and implemented prior to the adoption of the new public procurement directives, they are based on existing national legislative frameworks. As a result, owing to the varying public procurement needs and national laws, priorities and practices followed in the different countries, various e-procurement procedures have developed throughout the EU. Some Member States, such as Denmark, France, Italy, Norway and the UK, have developed e-auctions, while others, such as Spain, Scotland and Belgium, have launched their own e-procurement projects from individual contracts. It is also interesting to assess how different European portals offer their services to users. 233

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In some cases, such as in Italy, the use of the national e-procurement system is free for both entities and suppliers. In other cases in Europe, however, there are several examples of platforms that charge users and suppliers for their services. There are also different revenue policies within each country, where different payment methods are applied to different e-procurement instruments (in some cases, suppliers pay for a catalogue update, whereas in others entities pay a flat fee for use or a percentage fee based on the goods sold). The functionalities supplied by procurement platforms also differ: the most widespread is e-notification, followed by e-tendering, while e-awarding, e-ordering and e-invoicing need a greater implementation effort. E-notification and e-tendering are more developed in Belgium, France, Italy, Norway, Spain and the UK; e-awarding and e-ordering are more developed in Denmark, France, Italy, Norway and Scotland; while e-invoicing and payment is developed in Denmark, Norway and the UK.

EUROPEAN CENTRAL PURCHASING BODIES The body responsible for the development of eprocurement in Austria is the Bundesbeschaffung (Austrian Federal Procurement Company), which is wholly a part of the federal Ministry of Finance. Most contracts are framework agreements, and the shop contains more than 300,000 items from about 200 suppliers in 30 product categories. The services are used by 10,000 users from 2,000 different purchasing departments all over Austria. In 2006, the agency conducted about 330 contracts with a total purchasing volume of €720 million. About 20% of the volume was handled over the e-ordering and e-catalogue system. Launched at the beginning of 2008, the Belgian public procurement portal provides links to portals and platforms that currently cover three of the various phases of the procurement

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process, namely e-notification, e-tendering and e-catalogue. The benefits of the system mainly focus on administrative simplification and faster and more transparent ordering processes. Denmark’s Public Procurement Portal (DOIP) is an electronic marketplace to which both private and public purchasers and their suppliers have access and whose functionality, interface, security and transaction costs are regulated by the public sector. Launched in 2002, it was among the first public procurement portals in Europe. The DOIP, which resulted from a close collaboration between the public and private sectors, is a web-based system based on Oracle exchange software. The current version supports e-auctions, e-catalogues and integration with back-office systems. The portal is operated by “gatetrade.net”, which is established and owned by Maersk Data, Danske Bank, Post Denmark and telecoms company TDC. The Agency for Governmental Management coordinates state interests in the portal. The use of the DOIP is recommended for all public bodies, but it is not mandatory. Some regional and local authorities make use of private marketplaces, and the state-owned company National Procurement has also set up simpler e-tendering solutions systems (NetIndkøb and Netkatalog). UBL has been compulsory for sending invoices to the public administration since January 2004. Hansel is the Finnish government’s central procurement unit. It is a state-owned company that functions under the Ministry of Finance and consists of over 50 experts within different sectors. The company objective is to create savings for the government by making the procurement processes of the public administration more efficient. The company also promotes the procurement of high quality products and the equal treatment of suppliers when offering tenders. Hansel is responsible for procurement decisions, contract administration and contract management. Approximately 5,000 contracting authorities issue calls for tenders through the e-procurement system, settling more

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than 200 tenders per year and creating an annual total purchasing value of €168 million. In France, all central government ministries – with the exception of the Ministry of Defence, which has its own platform – can meet the requirement by using the government-wide e-procurement platform. This platform allows public sector bodies to publish calls for tenders online and receive electronic bids. It is managed by UGAP, an inter-ministerial service dedicated to enhancing the efficiency of public procurement. The web-based platform helps public entities accept bids submitted electronically for all contracts worth over €230,000. The use of the platform by local authorities is optional, as they are free to develop their own e-procurement solutions or to adopt commercial solutions. At a regional and local level, several e-procurement platforms already exist and others are being developed. The German federal e-procurement platform is called E-Vergabe. The Federal Procurement Agency, based in Bonn, manages purchasing for 26 different federal authorities, foundations and research institutions that fall under the responsibility of the Federal Ministry of the Interior. In December 2001, the Irish public sector procurement portal E-Tenders was launched. E-Tenders is the Irish central government’s procurement portal. It provides information and tools for electronic public procurement and advertises notices for EU and sub-EU threshold contracts for the Irish public sector including central government, local authorities, health boards and hospitals, universities and schools. Information is updated on a daily basis and is provided free of charge to all registered users. There are two main target groups, namely public sector purchasing officers and their prospective suppliers. The E-Tenders portal has 4,000 public purchasers and 40,000 suppliers registered. The Swedish government has not implemented a central electronic public procurement portal to deliberately leave the decision up to private operators. Several privately owned and operated

portals exist instead, some of which concentrate on public procurement (e.g. Opic and Allego). A public procurement information portal is maintained by the Swedish National Financial Management Authority, which serves as an information database for the different framework agreements procured centrally by Verva (the Swedish Administrative Development Agency) and is available to national authorities, government agencies, regions and municipalities. In the UK, the Office of Government Commerce operates Catalyst, a catalogue-based electronic procurement scheme. Catalyst provides public sector organisations with a simplified means of procuring and contracting for a wide range of products and services (IT, telecoms services, professional services, facilities support), based on a series of framework agreements with suppliers.

THE ITALIAN EXPERIENCE In Italy, public institutions are experiencing a turbulent and rapidly evolving period in which the transformation of government management (and procurement) is passing through many political, institutional and regulatory changes that began in the early 1990s. In 2006, the new legal setting concerning public procurement was approved by the Italian parliament with the goal to conform and align the national rules with the European ones. More generally, these public system changes led to a model in which a main central actor operates for all public entities across the country (HCOs that operate specific business units, central governments, regions, provinces and other local administrations) and regional entities that operate at just a local/regional level. They provide e-procurement solutions through electronic tools such as electronic catalogues, the electronic marketplace and online auctions. Since 2007, the use of the public administration eMarketplace has become mandatory for all central public administrations for the purchase of

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Figure 1. Number of the transactions by semester

goods and services valued below the EU threshold. Through this tool, public administrations can make their purchases with a direct order or a RFQ to suppliers and compare the features of the goods and services published in electronic catalogues. The first illustration depicts the number of transactions (Figure 1) between January 2004 and September 2008. From the first semester of 2004 to the second semester of 2005, the trend in the number of transactions rose steadily, going from 381 to 5,854 transactions. This steady growth had slightly decreased by the first semester of 2006, but increased again during the second semester of the same year and carried on until June 2008. However, taking into consideration that the time scope runs from the second semester of 2005 to June 2008, two different situations emerge. Until June 2007, this growth in the number of transactions was slightly closer to a situation of stability, while in the second semester of 2007 a clear acceleration tripled the number of transactions. The first half of 2008 marked another increase in the number of transactions, but it seems that there was a movement towards a situation close to stability as in 2006, but at a higher level; in fact, in 2006 there were around 6,000 transactions, while in 2008 there were around 23,000 transactions.

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This shows a gradual learning process on the part of the supply and demand elements, leading to a saturation of the market in late 2006. In December 2006, Law No. 296 introduced compulsory membership to the system for public institutions and certain categories of private assets identified annually by the Ministry of Economy. Hence, the large increase in transactions since the second half of 2007 was clear. Table 1 presents the amount and number of transactions, divided into RFQ and DT over time. Table 1 demonstrates that public institutions have since 2004 mostly used the DT tool but that the total amount of transactions through RFQ is decidedly greater than through DT (although in 2004 it was only slightly higher). DT allows public institutions to purchase directly from the e-Catalogue at preset prices. There is also the possibility to choose a product from this catalogue by investigating the general conditions of the contract, filling out the order form (number, place of delivery) and signing the form with a digital signature. The contract is then automatically and immediately a binding agreement between the parties in question. The RFQ is a competitive selection process through which public authorities request supply by certain groups of qualified suppliers. The suppliers

European Public E-Procurement

Table 1. Amount and number of transactions for DT and RFQ Number Year

DT

Amount (€) RFQ

DT

RFQ

2004

2,520

426

4,391,716,361

4,947,443,360

2005

7,721

1,253

12,699,547,334

17,144,210,030

2006

9,862

1,597

12,920,627,682

24,971,498,833

2007

23,393

4,760

30,593,134,495

53,021,577,794

2008 (1st semester)

19,199

4,507

20,861,319,495

42,528,345,454

Total

62,695

12,543

81,466,345,368

142,613,075,471

in question should satisfy the money criterion and provide technical details related to the supply. The contract is awarded to those who fulfil the price/ quality combination. The assignment of RFQ is carried out at the discretion of public authorities. They can, for example, pick suppliers that charge the lowest prices and promptly deliver on postsale services. RFQ is, therefore, a more complex purchasing procedure than is DT. According to the characteristics of the two types of e-procurement, DT is more prompt and straightforward than is RFQ, which explains why the number of transactions through DT is higher. Even if RFQ allows the making of requests to suppliers, it will require a greater commitment from both the requesting and the supplying party, which affects the element of immediacy. Public

bodies seek to obtain from suppliers offers tailored to their needs and, therefore, they are willing to spend more money. RFQ transactions are of higher value than their DT counterparts. The greater focus is on the purchasing process and spending more money. Figure 2 describes the evolution of the average values of RFQ and DT over yearly intervals. The average value of transactions made through DT is much lower compared with RFQ but the total amount of transactions through RFQ is greater. Figure 3 refers to the number of suppliers in each geographic area from January 2004 to June 2008. Data were grouped by five geographic areas: central, islands, northeast, northwest and south. The number of providers increased in every geographic area over time. Considering the entire

Figure 2. Average values of RFQ and DT

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Figure 3. Number of suppliers by geographical area

time horizon, the area with the largest number of providers was central with a share of 37%, followed by northwest (24%), south and northeast (both 15%) and islands (9%). From the second half of 2007, there was a proliferation of suppliers because of transactions occurring within that period due to regulatory requirements. The number of active suppliers grew slowly until 2007 in all areas, with central and northwest higher because of the quick “sprint” in 2005. During 2007, there was a crucial period showing strong growth in the number of suppliers for each active area. The most significant growth occurred in the central and southern areas. The growth in the central area was linked to the compulsoriness Figure 4. Number of active suppliers by category

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of the public contracts below the EU threshold for central governments. The growth in other areas, however, developed at a rate substantially lower. Northwest kept pace with central until 2005. Figure 4 shows the number of active suppliers for each category. Every catalogue is defined according to the product it refers to. The product areas covered include ICT, services, health, office supplies and others. The total number of suppliers from January 2004 to June 2008 was 6,248. Figure 4 shows that the number of active suppliers increased over time for each catalogue apart from health. Health and ICT grew at the slowest rates (see also Figure 5). By contrast, office sup-

European Public E-Procurement

Figure 5. Evolution in the number of suppliers

plies was marked by the highest rate of growth. Once again, the highest growth rate was in 2007 (see also Figure 5). Altogether, 83% of the active suppliers fell into the categories of office supplies and ICT (45% and 38% respectively), with the remaining 17% divided among others (8%), services (7%) and health (2%). Finally, it should be added that the services were considered from 2005 onwards, as there were no previous data available (for the same reason health is considered from the second half of 2004 onwards). In Figure 5, the catalogues have been separated to highlight the flow in the number of suppliers. The national public bodies can be divided into central governments, 20 regions, 109 provinces, 8,100 cities, almost 276 health care organisations and more than 50 universities and public agencies. In particular, the minimal numbers and amounts of e-transactions in the health area (and the related market number of suppliers) show that the public health sector and its health care organisations are resistant to using electronic catalogues. Figure 6 shows the number of active suppliers by catalogue type as defined below: 1. Monocatalogue: suppliers that cover a single product area are identified by number 1; 2. Bicatalogue: suppliers that cover two areas are identified by number 2; and

3. Multicatalogue: suppliers that cover three or four areas are identified by numbers 3 and 4. The graph shows that of the 1,519 considered suppliers, the majority (1,187) operated in a single product area and thereby provided a single catalogue. A total of 78% of the these suppliers focused on office, ICT and services. Bicatalogue suppliers (19%) had 288 suppliers of which 227 were involved in ICT and office products. Only 3% were multicatalogue suppliers (44 suppliers), and these were mainly engaged in ICT, office and others. Figure 7 shows suppliers divided by geographical area and size, according to the number of employees as defined below: • • • •

Micro: fewer than seven employees; Small: from seven to 13 employees; Medium: from 14 to 62 employees; and Large: greater than 62 employees.

The number of suppliers on a national scale is small (7%) compared with those that operate at a regional (28%) or cross-regional (xx%) scale. Providers operating at a national level represent 7% of the sample. Altogether, 65% of the providers embraced at least two regions. These providers especially micro and small firms - are sufficiently

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Figure 6. Number of active suppliers by catalogue type

Figure 7. Number of suppliers by size and geographical area

large to supply public entities located in at least two regions, usually neighbouring, but not large enough to cover the whole country. Micro suppliers accounted for 60% of the supplying companies,

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small businesses 28%, medium-sized 8% and large companies 4%.

European Public E-Procurement

ANALYSIS AND REFLECTION The European Community is based on the four freedoms of the Single Market: the free movement of goods, services, capital and persons; in line with this idea are the principles of transparency, competition and the prohibition of national discrimination. Two new directives came into force in 2006 to provide a uniform legislative framework across Europe and ensure that these principles apply to electronic public procurement. Modernising and opening up procurement markets across borders is crucial for Europe’s competitiveness and for creating new opportunities for businesses. IT can contribute to reduce costs, improve efficiency and remove trade barriers. If online procurement is generalised, it could save governments up to 5% on expenditure and up to 50–80% on transaction costs for both buyers and suppliers. However, the inappropriate introduction of e-procurement carries high risks of market fragmentation. The legal, technical and organisational barriers that may result from procurement online are one of the greatest challenges for policymakers. In the long run, computerising public procurement practices impact how national public purchasing practices are organised. The successful implementation of e-procurement may require changing administrative practices, not only those directly linked to the procurement process, but also those indirectly involved, such as budgetary reviews. The sooner such reforms are implemented, the better for European citizens and businesses. To modernise European public procurement markets and to make these more open and competitive, Member States are following an action plan proposed by the European Commission along three axes: •

Ensure a well functioning internal market where public procurement is conducted electronically. Implementing the legal framework correctly and on time and

•

•

avoiding barriers to and the distortion of competition. Achieve greater efficiency in procurement and improve governance. Accelerating digitisation through national plans for eprocurement and developing interoperable tools for e-transactions. Work towards an international framework for electronic public procurement. The coordination of international and intraEuropean public procurement activities is an important function of a Member State to reach an international framework for electronic public procurement. Every country can contribute to international regulatory activities or can participate, either as a representative of an institution or as an individual expert, in international networks, such as the European Public Procurement Network. We have also noted cooperation with corresponding institutions in other countries such as the Northern European Subset, an initiative between Denmark, Sweden, Norway, Iceland and Finland, with collaboration from the UK whose aim is to facilitate the interoperability and establishment of a common platform for eprocurement among its members.

By analysing the different situations in old European countries, we can assert that public procurement is moving towards a centralisation rather than a decentralisation. In every country, we observed a public e-procurement project either at a regional level or at a national level that aimed to centralise the purchasing of products and services. All EU Member States have organised core functions in a centralised manner, while supplementary functions may be carried out by a broad spectrum of bodies, including the private sector, at both central and decentralised levels of the public administration. Public purchasing bodies can have a centralised or semi-centralised procurement structure, with

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a high concentration of procurement functions allocated to a few central institutions or a decentralised procurement structure with a dispersed concentration of procurement functions allocated to a range of bodies within the public administration. In federal Member States (Austria and Germany) and in Member States with devolved governments, such as the UK, with the Scottish Parliament and the Assemblies in Wales and Northern Ireland, states or units often have procurement institutions that carry out limited, or even quite extensive, procurement functions. Moreover, in many Member States regions, provinces, districts and municipalities may have similar bodies, which are either centralised or decentralised. In Italy, all regions, provinces and municipalities have procurement units that carry out relevant functions. Similarly, the devolved parts of the UK have their own public procurement institutions. The functions of dependent branch offices are, therefore, rather limited. By contrast, the procurement institutions of states, regions or municipalities may carry out a wider range of activities, including the development of local procurement policy, administration and monitoring functions, publication and information functions, advisory functions and training and research functions. In Member States with decentralised procurement structures that are characterised by a dispersed concentration of procurement functions, the relevant tasks are divided between many different institutions. However, in the near future, Finland might remain the only country with such an organisation, since all the other countries observed have already moved towards a stronger centralisation of functions and a limited number of players. Whatever organisational model is chosen, it seems that public procurement is usually the responsibility of the Ministry of Finance, the Ministry of Economy or the Ministry of Works. Some Member States have established public procurement offices or agencies, which are given a more independent status under parliament or directly under the government, while others act as

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departments within ministerial structures. Some functions of an operational nature are carried out by public firms. Moreover, observing the common practice, the administrative capacity is not only linked to the amount of staff and financial resources available within central procurement institutions, but also needs to be more broadly defined. The total accumulated capacity of Member States to support public procurement operations may be strong if all actors in the society are included, such as associations of local and regional authorities, large contracting entities and utilities, training institutions and law firms, and it is thus not limited to the capacity of central institutions. Public procurement in most Member States seems to be financed from the general governmental or ministerial budgets, and in all Member States the greater part of procurement costs is covered as such. The Italian experience is one of the most active and representative. In Italy, MEPA was launched in 2003 and it has e-Catalogues with over 250,000 products. Additionally, the system also enables the management and archiving of digital streams (the contracts and bid requests that occur between P.A. and suppliers), no pre-negotiated bids and allows local small and medium-sized enterprises to qualify and get in touch with customers. These customers maintain complete autonomy to choose among different suppliers and products because the same product can be sold by several vendors, as in any traditional market. Based on our analysis period, the marketplace is growing (381 transactions in the first half of 2004 to 23,616 transactions in the first half of 2008). A major impetus to this substantial growth was the Finance Act 2007, which forces the mandatory use of the public e-market for purchases below the threshold of central institutions. In addition, the number of active suppliers by geographic area and by type of catalogue (excluding health) has steadily increased with a decisive leap forward during the second semester of 2007. The most used catalogues are ICT and office supplies.

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This strong leap in the number of transactions following the 2007 Finance Act reinforces the need to make it compulsory for public entities to develop e-procurement in public bodies. This lack of cultural and managerial attitudes is also testified by the analysis of direct orders of purchase versus requests for tender. It is noteworthy that the eMarketplace offers member administrations the possibility of concluding contracts through two different procedures for the purchase, namely DT and RFQ. The data analysis shows that the total amount of purchases through RFQ was 1.75 times greater than the value of purchases through DT. This is also confirmed by the fact that the average value of transactions through RFQ is significantly higher than those through DT are. The larger use of DT can be read as a shortcut in using e-tools: when efficiency is the major issue, DT and e-procurement become competitive, whereas when efficacy is predominant and the bidding process is more complicated, traditional offline tenders and buying procedures are preferred to RFQ and electronic markets. It should be noted that 78% of the considered suppliers were single catalogue suppliers and focused on office, IT and services. Bicatalogue suppliers comprised 19%, and only 3% of suppliers (were multicatalogue suppliers (mainly engaged in ICT, office and others). Hence, the most served catalogues are those relating to office supplies and ICT, leading to limited competition among suppliers in more than one catalogue offering. Finally, the research outlines a strong resistance to use of electronic catalogues in the public health sector. This might be because of the high relevance of quality factors for health products and the consequent reduction in price (and administrative costs); by contrast, public health purchasers consider e-procurement solutions inadequate for selecting quality. However, more investigation in this area is necessary to make further generalizations. In our opinion, this sole interest in monocatalogue suppliers, strongly focused on generic goods such as ICT and office provided by small

and medium-sized enterprises, outlines a situation where the public electronic market has not yet taken advantage of the full potential of the public e-marketplace. This points out the necessity for the government and other responsible bodies to reflect on the factors that influence system acceptance in order to provide a better and more effective adoption of electronic government information systems, in light of several potentially important implications. One unexplored issue thus far relates to organisational learning in the context of public e-procurement. This is because of the interplay between various factors underlying the organisation and environment, procurement processes and practices and systems and technology.

CONCLUSION Despite differences between Member States, the wider use of electronic methods in the various stages of the public procurement process has gradually been introduced. The benefits of this development will include the following: • • • • •

• • • •

Accelerating the execution times of procedures; Reducing the time involved in the purchasing process; Reducing the expenses in terms of announcement management Re-engineering and simplifying processes; Directly and constantly monitoring public spending by conducting comparative analysis between the purchasing of similar products in different administrations; Professional growth of employees; The opportunity to spend time out of routine administrative tasks; Improved transparency through better access to information online; and Standardised procedures.

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There are also several challenges related to the rapid development of the IT sector, which is generating a need for all Member States to carefully consider what kinds of preparations should be made to most effectively adapt procurement systems to these new market conditions. Technological developments produce a fundamental shift in how public procurement practices are executed. There is a need to develop central support functions with Internet-based guidance systems, create standardised systems for tender and contract documentation, design improved and easily accessible Internet-based publication and information systems and develop systems for coordination and cooperation between contracting entities. Public e-procurement implies opportunities and challenges for European administrations. To support this legal framework guidelines (most represented by the Community Action Plan), tools and services will help administrators, businesses and consultants develop compliant systems. However, there is a need to reduce public expenditure, administrative costs and timing and to increase transparency in order to form new public procurement institutional models; together with the ICT evolution, a relevant institutional change may be connected to e-procurement solutions and the realisation of ICT platforms. The Italian situation demonstrates the high growth potential connected to these models and solutions, even if it is strictly related to juridical changes (e.g. the compulsoriness of public contracts). Further useful research would be a comparative study of EU countries that have achieved the best targets in public e-procurement to identify which factors are associated with progress. The findings of such research could enable the most effective targeting of resources in less developed countries.

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Shackleton, P., & Dawson, L. (2007). Doing it tough: Factors impacting on local e-government maturity. 20th Bled eConference, June 4–6, Bled, Slovenia. Somasundaram, R., & Damsgaard, J. (2005). Policy recommendations for electronic public procurement. The Electronic Journal of E-Government, 3(3), 147–156. Tanner, C., et al. (2007). Current trends and challenges in electronic procurement: An empirical study. 20th Bled eConference, June 4–6, Bled, Slovenia. Thomson, J. T. (2009). Remodelled and restyled e-procurement – New power relationships down under. Electronic Journal of E-Government, 7(2), 183–194. Tonkin, C. (2003). E-procurement in the public sector: Story, myth and legend. Dublin, Ireland: The Policy Institute, Trinity College. UNDESA. (2008). UN e-government survey 2008: From e-government to connected governance. New York, NY: Department of Economic and Social Affairs, United Nations. Vaidya, K., Sajeev, A. S. M., & Callender, G. (2006). Critical factors that influence e-procurement implementation success in the public sector. Journal of Public Procurement, 6(2), 70–99.

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Croom, S., & Johnston, R. (2003). E-service: enhancing internal customer service through e-procurement. International Journal of Service Industry Management, 14(5), 539–555. doi:10.1108/09564230310500219 Croom, S. R., & Brandon-Jones, A. (2005). Key issues in e-procurement: Procurement implementation and operation in the public sector. Journal of Public Procurement, 5(3), 367–387. Davila, A., Gupta, M., & Palmer, R. (2003). Moving procurement systems to the Internet: The adoption and use of e-procurement technology models. European Management Journal, 21(1), 11–23. doi:10.1016/S0263-2373(02)00155-X

Beynon-Davies, P., et al. (2007). Preparing SME suppliers for sustainable local authority eprocurement. 20th Bled eConference, June 4–6; Bled, Slovenia.

De Boer, L., Harink, J., & Heijboer, G. (2002). A conceptual model for assessing the impact of electronic procurement. European Journal of Purchasing and Supply Management, 8(1), 25–33. doi:10.1016/S0969-7012(01)00015-6

Bonina, C. M., & Cordella, A. (2008). The new public management, e-government and the notion of public value: Lessons from Mexico. Proceedings of SIG GlobDev’s First Annual Workshop, Paris, France, December 13 2008.

Deutscher, T. H., & Gruber, D. (2002). Global healthcare exchange Canada: Trade exchange adoption. Richard Ivey School of Business Case Collection.

Bruno, G., Esposito, E., Mastroianni, M., & Vellutino, D. (2005). Analysis of public e-procurement web site accessibility. Journal of Public Procurement, 5(3), 344–366.

Devadoss, P. R., Pan, S. L., & Huang, J. C. (2003). Structural analysis of e-government initiatives: A case study of SCO. Decision Support Systems, 34(3), 253–269. doi:10.1016/S01679236(02)00120-3

Calista, D., & Melitski, J. (2007). E-government and e-governance: Converging constructs of public sector information and communications technologies. Public Administration Quarterly, 31(1).

Dooley, K., & Purchase, S. (2006). Factors influencing e-procurement usage. Journal of Public Procurement, 6(1–2), 28–45.

Carrizales, T. (2008). Critical factors in electronic democracy: A study of municipal managers. Electronic Journal of E-Government, 6(1), 2–30. Cater, N. (2001). E-procurement in the aid business. International Trade Forum, 4, 27–28.

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Engelbrecht-Wiggans, R., & Katok, E. (2006). E-sourcing in procurement: Theory and behavior in reverse auctions with noncompetitive contracts. Management Science, 52(4), 581–596. doi:10.1287/mnsc.1050.0474

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Enyon, R., & Dutton, W. H. (2007). Barriers to networked governments: Evidence from Europe. Prometheus, 25(3), 225–242. doi:10.1080/08109020701531361 Essig, M., & Arnold, U. (2001). Electronic procurement in supply chain management: An information economics-based analysis of electronic markets. Journal of Supply Chain Management, 37(4), 43–49. doi:10.1111/j.1745-493X.2001. tb00112.x Hartley, J. L., Lane, M. D., & Duplaga, E. D. (2006). Exploring the barriers to the adoption of e-auctions for sourcing. International Journal of Operations & Production Management, 26(1–2), 202–221. doi:10.1108/01443570610641675 Kumar, N., & Peng, Q. (2006). Strategic alliances in e-government procurement. International Journal of Electronic Business, 4(2), 136–145. Leipold, K., Klemow, J., Holloway, F., & Vaidya, K. (2004). The World Bank e-procurement for the selection of consultants: Challenges and lessons learned. Journal of Public Procurement, 4(3), 319–339. MacManus, S. A. (2002). Understanding the incremental nature of e-procurement implementation at the state and local levels. Journal of Public Procurement, 2(1), 5–28. Massa, S., & Testa, S. (2007). ICTs adoption and knowledge management: The case of an e-procurement system. Knowledge and Process Management, 14(1), 26–36. doi:10.1002/kpm.267 Moon, M. J. (2005). E-procurement management in state governments: Diffusion of e-procurement practices and its determinants. Journal of Public Procurement, 5(1), 54–72. Olig, E., & Spears, G. (2001). Benefits of internetenabled procurement. Hospital Materiel Management Quarterly, 22(3), 42–46.

Oliveira, L. M. S., & Amorim, P. P. (2001). Public e-procurement. International Financial Law Review, 20(3), 43–47. Orr, N. (2000). COINS – eGovernment becomes reality. BT Technology Journal, 18(2), 100–106. doi:10.1023/A:1026701123127 Panayiotou, N. A., Gayialis, S. P., & Tatsiopoulos, I. P. (2004). An e-procurement system for governmental purchasing. International Journal of Production Economics, 90(1), 79–102. doi:10.1016/ S0925-5273(03)00103-8 Previtali, P., & Bof, F. (2007). Is e-government on the agenda of small municipalities? Empirical evidence from an Italian case study. Proceedings of the 3rd International Conference on e-Government – ICEG, Université du Québec à Montréal, Canada 27–28 September. Previtali, P., & Bof, F. (2007). Organisational pre-conditions for e-procurement in governments: The Italian experience in the public health care sector. The Electronic Journal of E-Government, 5(1), 1–10. Previtali, P., & Bof, F. (2009). E-government adoption in small Italian municipalities. International Journal of Public Sector Management, 22(4). doi:10.1108/09513550910961619 Puschmann, T., & Alt, R. (2005). Successful use of e-procurement in supply chains. Supply Chain Management, 10(2), 122–133. doi:10.1108/13598540510589197 Raffa, L., & Esposito, G. (2006). The implementation of an e-reverse auction system in an Italian health care organization. Journal of Public Procurement, 6(1–2), 46–69. Rai, A., Tang, X., Brown, P., & Keil, M. (2006). Assimilation patterns in the use of electronic procurement innovations: A cluster analysis. Information & Management, 43(3), 336–349. doi:10.1016/j.im.2005.08.005

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Rajkumar, T. M. (2001). E-procurement: Business and technical issues. Information Systems Management, 18(4), 52–61. doi:10.1201/1078/4 3198.18.4.20010901/31465.6 Reddick, C. G. (2004). The growth of e-procurement in American state governments: A model and empirical evidence. Journal of Public Procurement, 4(2), 151–176. Roche, J. (2001). Are you ready for e-procurement? Strategic Finance, 83(1), 56–59. Salleh, N. A. M., Rohde, F., & Green, P. (2006). The effect of enacted capabilities on adoption of a government electronic procurement system by Malaysian SMEs. Electronic Markets, 16(4), 292–311. doi:10.1080/10196780600999676 Schmitt, J. M., & Beeres, M. (2000). Information and business on the Internet: An overview of the German healthcare sector. International Journal of Medical Marketing, 1(2), 123–130. doi:10.1057/ palgrave.jmm.5040021 Schoenherr, T., & Mabert, V. A. (2006). Bundling for B2B procurement: Current state and best practices. International Journal of Integrated Supply Management, 2(3), 189–213. doi:10.1504/ IJISM.2006.008593 Settoon, R. P., & Wyld, D. C. (2003). The ski slope to prosperity: An analysis of the potential impact of reverse auctions in government procurement in five Southeast Asian nations. Asia Pacific Journal of Marketing and Logistics, 15(3), 3–19. doi:10.1108/13555850310764971 Smith, A. D., & Correa, J. (2005). Valueadded benefits of technology: E-procurement and e-commerce related to the health care industry. International Journal of Health Care Quality Assurance, 18(6–7), 458–473. doi:10.1108/09526860510619444

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Talluri, S., Narasimhan, R., & Viswanathan, S. (2007). Information technologies for procurement decisions: A decision support system for multiattribute e-reverse auctions. International Journal of Production Research, 45(11), 2615–2628. doi:10.1080/00207540601020585 Teich, J. E., Wallenius, H., Wallenius, J., & Zaitsev, A. (2006). A multi-attribute e-auction mechanism for procurement: Theoretical foundations. European Journal of Operational Research, 175(1), 90–100. doi:10.1016/j.ejor.2005.04.023 Vaidya, K., et al. (2004). Implementing e-procurement initiatives: Impact of organisational learning across the public sector. Fifth international CINet Conference, Sydney, Australia, 22–25 Sept. Vaidya, K., Sajeev, A. S. M., & Callender, G. (2006). Critical factors that influence e-procurement implementation success in the public sector. Journal of Public Procurement, 6(1–2), 70–99. White, A., & Daniel, E. (2004). Electronic marketplaces: An empirical study in the UK healthcare sector. International Journal of Electronic Business, 2(6), 603–624. doi:10.1504/ IJEB.2004.006128 Yu, C. C. (2008). Building a value centric e-government service framework based on a business model perspective. Lecture Notes in Computer Science, 5184, 160–171. doi:10.1007/978-3-54085204-9_14

KEY TERMS AND DEFINITIONS Central Procurement Departments: It provides services for innovative, responsive and accountable public procurement by working in partnership with state agencies, local governments and suppliers to provide quality goods and services.

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E-Auction: It is an inter-organisational information system with which participating buyers and sellers utilise electronic markets for a dynamic price-making mechanism, as well as for the exchange of information related to price, product specification and the terms of the trade. E-Government: It is the use of technology to enhance the access to and delivery of government services to benefit citizens, business partners and employees. E-Procurement: It is the purchase and sale of supplies and services through the Internet as well as other information and networking systems based on information and communication technologies.

Public Management: It is a term that considers that government and non-profit administration resembles private sector management in some important ways. Public Procurement: It is the purchase of goods, services and public works by governments and public utilities. Public–Private Relationship: It is funded and operated through a partnership of government and one or more private sector companies, that involves a contract between a public sector authority and a private party, in which the private party provides a public service or project and assumes substantial financial, technical and operational risk in the project.

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Chapter 13

Civic Engagement and E-Governance in Gauteng: Grounds for Universal Household Broadband Internet Service Lucienne Abrahams LINK Centre, University of the Witwatersrand, South Africa Mark Burke LINK Centre, University of the Witwatersrand, South Africa Lauri Elliott Conceptualee, Inc., USA Warren Hero Gauteng Provincial Government, South Africa

ABSTRACT Gauteng, South Africa’s economic center, has a history of social exclusion by virtue of differentiated access to employment, income, assets, and education. Levels of civic engagement prior to 1994 were limited by the absence of universal political suffrage and a society in which the majority of the population was denied the right to participate in decision-making based on racial discrimination. The achievement of universal suffrage in 1994 created the foundations for greater civic engagement. However, as social interaction and societal governance becomes increasingly electronically mediated (through the Internet, Web 2.0 technologies, and mobile content platforms), a large proportion of the population is excluded from these new forms of on-Net interaction. This chapter argues that policies that push universal household broadband service can contribute to reducing social exclusion through creating the foundation for households to operate as units of production and overcome economic deprivation, thus laying a stronger basis for civic engagement.

DOI: 10.4018/978-1-4666-0116-1.ch013

Copyright © 2012, IGI Global. Copying or distributing in print or electronic forms without written permission of IGI Global is prohibited.

Civic Engagement and E-Governance in Gauteng

INTRODUCTION One hundred and twenty years ago, Gauteng province emerged as a mining economy located at the southern-most tip of the African continent. A century later, this sub-national constellation of highly urbanized centers has become a servicesbased economy, founded on information infrastructure and the utilization of new media. Banking and financial, personal, and public services are the leading components of this broad services sector. According to a 2010 survey, services contributed 70.5% to the gross geographic product in 2008 (GPG, 2010). This aligns with the global phenomenon of the dominance of services in the second half of the 20th century (Cuadrado-Roura, Rubalcaba-Bermejo & Bryson, 2002). The distinctive nature of Gauteng, in comparison to South Africa’s other eight provinces, is that the services sector has developed on the back of strong mining, manufacturing, and construction sectors, as well as on a small, but growing knowledge-intensive sector. The knowledgeintensive sector comprises innovation output from firms, research-based universities, and scientific agencies. This creates the foundation for a strong, diverse services-based economy. From an information society perspective, Gauteng occupies a position defined by comparatively high levels of fixed, mobile, and broadband infrastructure, as well as being the space where a large proportion of online content producers – broadcasting, Internet, and mobile content – are located. However, there is only limited content available related to civic responsibilities, such as community leadership, human rights, trade union organization, e-governance, and cultural expression. Observations suggest that blogging and social networking are becoming popular in middle- and high-income households. User-generated content is increasing in volume as professionals and administrators gain access at the workplace. On a theoretical curve for information society development, Gauteng is positioned at the point

of entry – information infrastructure and content is available - but small firms, households, and non-governmental organizations are largely disconnected from the network. This suggests that there is much to be done from the perspective of public policy and development management. Social exclusion has deep roots in the society and its long-term effects are being further exacerbated by the emergence of a global culture of using electronic media for communicating and transacting. The system of ‘apartheid’1 (1948 – 1990) formalized centuries of socio-economic exclusion on the grounds of race, relegating the majority black population to particular segments of the national economy and geography. There was effective exclusion from positions of economic and political leadership, as well as from quality education. Public services were racially segregated and offered limited value to the majority of citizens. Political democracy was introduced in 1994 through universal suffrage and public services were desegregated in the ensuing period. However, certain tropes of this entrenched system remained in institutions and society, because of the particular forms of systematic and institutionalized exclusion. In particular, key development indicators show that household poverty (80% of the population earns 30% of the total income and 49% of the population lives below the poverty line of R524 per month2) and unemployment levels (32.5% of the economically active population) remain high (RSA, 2009, pp. 21, 23, 26) and these will be further negatively affected by the current global recession, compounded by a slow cycle of recovery. In the past decade and a half (1995-2009), South Africa has been confronted with dual challenges – making the shift to democratic inclusion and joining the global information society. Thus far, it has had relatively greater success with respect to the former and more limited success with respect to the latter. South Africa has a system of democracy at work, which includes the regular conduct of free and fair elections, varying degrees

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of political participation and consultation, and the removal of formal barriers to labor market participation and economic resources. There are relatively high levels of mobile telephony access. However, Internet access is very low (Goldstuck, 2010) and is increasing at a very slow pace. The extent to which social exclusion, combined with the low levels of access to and use of information and communication technologies (ICTs), inhibits electronically mediated civic engagement is explored in this chapter. While it can be argued that reducing economic deprivation can increase social inclusion and consequently enhance civic engagement, in reality the connections between these elements of an upward development spiral are more complex. The chapter takes a view of information society development, which acknowledges both the evolutionary and disruptive aspects of socio-economic change. It presents this view as the context for information society and e-governance emergence in Gauteng. The agrarian and industrial revolutions each occurred over the course of at least two centuries. The information revolution will likely take at least a century of societal and economic change in the process of becoming embedded in society. It is therefore useful to take a decadal view on change in the 21st century. The revolutionary aspects of information society formation relate to the rupture with previous economic forms, rather than to the speed with which this is occurring. In that sense, the revolution started in the 1960’s with the arrival of the era of mass communication (Bell, 1973) and was given impetus by the technological innovations of digitization, computing, mobile communications, and the Internet. Despite its historical impediments, South Africa has joined suit in the global era of mass communication and digital information exchange. However, the majority of households and small and medium enterprises (SMEs) are constrained in their participation and thus unable to influence the nature and direction of these developments as citizens.

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The manifestation of this challenge is visible in Gauteng at both the provincial and municipal government levels. Of the many possible platforms for civic engagement, e-governance has been a marginally more active arena for development than many others. The City of Johannesburg administration and the Gauteng Provincial Government (GPG), in particular, have played an active role in shaping e-governance as an important element of information society development. This chapter presents insights into the state of e-development in Gauteng, issues, and possible future directions based on the results of two studies conducted with respect to the Gauteng province – the telecommunications and ICT sector study for the OECD territorial review conducted in 2010 and the monitoring and evaluation report for the information society and e-government conducted between January 2009 and June 2010. The presentation of data and analysis that follows, points to several leverage points where digital inclusion can be catalyzed and can generate increased electronically mediated civic engagement with a future focus to further economic inclusion in particular.

BACKGROUND The information society is a complex aggregate of many possible concepts tied together in many possible combinations. In this piece, civic engagement is considered to be a practice located in social inclusion, while its realization in the 21st century is understood to include some form of electronic mediation. The level of digital inclusion of the population will influence participation in electronically mediated civic engagement, which is a contributing element to e-development. These underlying concepts are discussed below to create the analytical lens for interpreting the data and drawing conclusions. Social exclusion is theorized as “a multidimensional process of progressive social rupture, detaching groups and individuals from social

Civic Engagement and E-Governance in Gauteng

relations and institutions and preventing them from full participation in the normal, normatively prescribed activities of the society in which they live” (Silver, 2007, p. 15). The concept is distinct from other concepts used to define contemporary social problems in three major ways. First, social exclusion is a multidimensional concept of deprivation through which people are understood to be deprived of a range of social and institutional interactions. Economic deprivation may include exclusion from earning a livelihood, securing permanent employment, and accessing land, property, housing, or credit. Social deprivation may include exclusion from education, health care, or participation in the democratic process (Silver, 1994). Second, it implies a focus on the relations and processes that cause and underlie deprivation (De Haan, 2001). For instance, there are cases where a specific kind of deprivation in and of itself can constitute exclusion, while in other instances deprivations do not constitute exclusion, but may lead to social exclusion (Sen, 2000). Third, social exclusion has a biographical meaning as it refers to the individual lived experience of political, social, and economic isolation (Beland, 2007). Assuming a broadly democratic rather than authoritarian society, civic engagement is a necessity for those communities that experience economic or social deprivations, though in reality they may lack the power and channels to be heard. The diffusion and use of ICT in society and its increasing embeddedness in social and economic organizations is a key feature of the information society. Castells (1999, p. 92) asserts that “Information technology, and the ability to use it and adapt it, is the critical factor in generating and accessing wealth, power, and knowledge in our time.” Those that do not have the technological means to switch on to the networks of capital, labor, information and markets, face “social exclusion and economic irrelevance” (Castells, 1999, p. 357). Social exclusion in the information society is thus

closely associated with the ability to access, as well as the capability to use, ICT for exploiting economic opportunities while deriving beneficial outcomes from social development processes and engaging in politics. Enter the ‘digital divide.’ This term has captured the imagination of policy makers, academics, development practitioners, and community activists the world over as the embodiment of the risk of unequal development associated with the information society. Defined in various ways and from different theoretical and conceptual perspectives, it denotes the disparities between those who have access to and use the Internet for economic gain and social benefit and those who do not enjoy such access and use. This dichotomy between those who are connected and those who are not is determined by a range of factors, which include socio-economic status, income, gender, age, household composition (Selwyn, 2004), and geo-spatial location (Crang, Crosbie & Graham, 2006). Citizens who do not enjoy access to the Internet and other ICTs are regarded as the digitally excluded, and research suggests that such exclusion is linked to material deprivation as “high levels of material deprivation are generally associated with low levels of engagement with ICTs and vice versa” (Longley & Singleton, 2009, p. 1296). Yet, ICT usage holds the promise of greater levels of social inclusion since “decentralized individual action … carried out through radically distributed, nonmarket mechanisms” (Benkler, 2006, p.3) can link groups and individuals that have similar developmental and political objectives and make their voices heard in the places of decision-making. Cyberspace becomes a public space. e-Governance can be described as electronically mediated engagement between government and citizens in pursuit of development and is seen to include forms of civic engagement. In the 21st century, such electronic mediation requires highspeed broadband infrastructure and services.

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The frame for thinking about the information society, e-governance, and social inclusion, therefore, is an e-development frame. The level of e-development in a society can be conceived of as a function of the diffusion and sophistication of ICT, viewed in conjunction with the value created by the application of ICT goods and services (Abrahams & Goldstuck, 2010), whether this be economic value or social value including civic action. It is argued here that social inclusion and digital inclusion are interdependent, and that they, in turn, are dependent on the state of e-development. The factors that inform the state of e-development include availability of ICT infrastructure (networks), human resources, policy and regulatory capacity (capacities), and the particular forms of value created through e-government, e-business, and e-society applications (production). Civic engagement is one such form of value and assumes (a) that citizens will exercise power based on their social inclusiveness and (b) that relevant processes are established for the exercise of that power through, inter alia, e-governance. According to Benkler, the declining price of computation, communication, and storage have “placed the material means of information and cultural production in the hands of a significant fraction of the world’s population.” Three factors facilitate increased potential for inclusion in the network information economy: 1) the availability of the physical machinery, such as electronic and computing devices, 2) the accessibility of information, knowledge, and culture as the primary raw materials for engagement, and 3) the modular structure of production and exchange via the Internet enables diversely motivated people to act in concert to produce new outcomes (Benkler, 2006, pp.105-106). But the application of Benkler’s theory in South Africa is dependent on the country’s state of e-development. Advanced ICT offers one of several possible means for promoting greater inclusion in social, economic, and political activity. The empha-

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sis, however, is on advanced ICT because it is Internet-based applications, combined with access to high-speed international and local bandwidth, which are proving to be the most important tools and the greatest differentiators for socio-economic development (Qiang, Rossotto & Kimura, 2009). Bringing together the analysis of Silver, De Haan, Sen, and Beland with respect to social exclusion, the theories of Castells and Benkler with respect to the information society, and the perspective of Abrahams and Goldstuck with respect to e-development, this review suggests that a frame for thinking about social inclusion, achieved through a reduction in economic deprivation, in the next decades of the 21st century may reasonably be based in thinking about ICT-enabled households as being the new modular production units within which individuals are likely to operate. The analysis of the data from the study on the Gauteng information society poses this as a real prospect for South Africa. The agrarian age saw the household as the unit of economic production. Industrialization moved individuals out of the household into the mine and factory (the firm) as the unit of economic production. Late industrialization added services institutions as units of economic production – private sector service industries, public service, academic institutions, and non-governmental organizations. The tools and mechanisms for productive labor in the industrialized economy required large-scale capital investment and were therefore to be found outside the household. The evolution of service industries in the 21st century, a prelude to the Internet revolution, has created the foundation for households to again become units of economic production, rather than merely units of consumption. This is because the services-based nature of much production enables the relative ease of insertion in the economy and the capital and technology investments required for such household-based production are now comparatively small.

Civic Engagement and E-Governance in Gauteng

In addition to traditional small-scale artisanal services which have historically operated from households (plumbers, electricians, caregivers) over the past three decades, there has been a slow but certain movement towards home-based production: teleworking to reduce the costs of doing business, small consulting services, women working from home, small household enterprises operating tourism, and other ventures. In the services-based economy, the household can utilize ICT to recreate itself as a site of production, utilizing access to the communications infrastructure network as the means to insert itself into local and global markets. The household can connect itself to markets in order to source inputs, sell goods and services, and conduct banking and financial transactions (Felstead, Jewson, Phizacklea & Waters, 2001; Malecki & Moriset, 2008;). The households in Gauteng can thus become a node of economic activity. But do they? Do Gauteng households have the relevant network access, knowledge, and capacities to engage in the new modular form of value creation? How does social inclusion correlate to economic participation, mobility, and civic engagement in Gauteng’s context?

BOUNDED SYSTEM OF GAUTENG STUDY Gauteng province has a population of 10.53 million people, a school-going population of 1.8 million learners, but relatively low levels of ICT literacy and usage. Population statistics report there are 39.1 million African, 4.4 million Coloured, 4.4 million White, and 2.2 million Indian people in the whole of South Africa (StatsSA, 2009, p. 9). In the last two decades (1990-2010), Gauteng has taken on a particular character, that of being the services hub for the immediate city-region conurbation (Gauteng-Witbank-Middelburg-Secunda-Vereeniging-Rustenburg) and for Southern Africa. Gauteng’s 20th century role in shaping

the regional economy and society was based on drawing migrant workers from South and Southern Africa to the mines and domestic labor. Its emerging role and economic inter-linkages relate to fostering the regional services economy and attracting professionals into the services industry and knowledge-intensive sectors, such as research and academia. Hence, Gauteng is considered a good initial location to begin to understand South and Southern Africa from the perspective of social exclusion in the information society. Gauteng is a strong services-based economy consisting of three of the country’s six metropolitan municipalities, each making a substantial contribution to GDP. Johannesburg, the first metropolitan municipality in Gauteng, has a concentration of banking, financial, and corporate consulting houses; large-scale commercial enterprises; the head offices of multi-national firms; mobile communications and Internet service providers; and is the seat of provincial government. The second metropolitan municipality, Ekurhuleni, is the historical location of the manufacturing sector now in decline. Tshwane, the third metropolitan municipality, is the seat of national government and therefore the home of consulates and embassies, and the supporting services infrastructure. In addition, Tshwane has a small manufacturing legacy, including automotive and beverage manufacturing. It is estimated that approximately 48% of Gauteng’s working population had an imputed average monthly income of R5471, approximately onethird of the population are unemployed and about 6% of the population are living under the poverty line of R283 per month (RSA, 2009). Social exclusion in Gauteng affects the population with regard to unemployment, the relatively low household income gained from work and other economic opportunities, and the consequent limited capacity to invest in household assets. It also affects the population along social factors, such as relatively poor quality of secondary education for a large proportion of the school-going

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population and high levels of HIV/AIDS and tuberculosis, which reduce capacities for work and self-employment. South Africa’s government has implemented social grants and subsidized housing to address extreme poverty. While these present a buffer against the worst effects of poverty, these governmental interventions did not resolve poverty globally in the 20th century industrial economy and are even less likely to do so in the 21st century ICT-enabled knowledge economy. While social grants and subsidized housing may still be necessary publicly-funded interventions, they do not offer the productive capacities for households to create a quality of life located in the midst of the vast information flows that have already defined the new century in its first decade. The Gauteng experience of social exclusion is well documented in the 2009 Quality of Life survey, which suggests that unemployment is greater than presented by national statistics at 45.5% of the working age population (GCRO, 2009). It finds that unemployment is approaching 50% in seven local municipalities and one metropolitan municipality3. Seven percent of households listed hunger, housing, and HIV/AIDS as the main problems facing the community whereas 14% listed unemployment and 46% listed crime as the main problem (ibid.). Research on digital exclusion says it affects more than 80% of households, if household combined mobile and Internet access is used as the main criterion (Abrahams & Burke, 2010).

GAUTENG INFORMATION SOCIETY STUDY: METHODOLOGICAL APPROACH As mentioned before, the data and analysis presented in this chapter draws on the results of two studies conducted with respect to the Gauteng province – the telecommunications and ICT sector study for the OECD territorial review conducted

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in 2010 and the monitoring and evaluation report for the information society and e-government conducted between January 2009 and June 2010. The analysis of the state of ICT infrastructure diffusion relies on secondary data, including annual reports of the major fixed and mobile firms. The mixed methods approach used in the design and application of the monitoring and evaluation framework included surveys, key informant interviews, and an e-government website maturity assessment instrument. First, the information society survey incorporated three quantitative surveys, which were administered to 390 households (eSociety), 841 (440 formal and 301 informal) SMEs (eBusiness), and 37 provincial and municipal government entities (eGovernment), all aimed at gaining insight into ICT access and usage as an indicator of participation in the information society. Second, semi-structured key informant interviews with senior managers responsible for the ICT and e-government portfolios in provincial and municipal government were conducted. This enabled the identification of themes, trends, and issues related to strategic planning and prioritization, project governance, management, and monitoring and evaluation of e-government. Third, the e-Government Website Maturity Index assessment was conducted. The index was a composite indicator of four dimensions: website content and services; website quality and design; content organization and ease of use; and privacy and security. The composite score provides an indication of the level of website maturity along the lines of the Gartner e-Government Maturity Model (2001), which employs the categories of information, interaction, transaction, and transformation stages. The index was developed as part of efforts to define, assess, and benchmark the progress of online information and service provision in the Gauteng provincial and local governments. The results of the e-Government Website Maturity Index assessment are expressed as a ratio

Civic Engagement and E-Governance in Gauteng

that measures the progress against thirty-one items, which are categorized into the four dimensions. Each item is scored using scales that vary from 0-3 to 0-8. An overall index score out of 100% is calculated for each website. The dimensions are weighted differently with content and services accounting for 40% of the overall index, quality and design for 25%, organization and ease-of-use for 25%, and privacy and security for 10%. The scoring has a bias towards the content and services dimension, since this is considered the primary indicator of progress towards moving services online, while the dimensions assessing quality of the site are considered as enabling factors that influence the user experience. The exploration of the data presents a view on e-governance and e-development, using the analytical frame for electronically mediated civic engagement (Figure 1).

THE STATE OF E-DEVELOPMENT AS THE BASIS FOR ELECTRONICALLY MEDIATED CIVIC ENGAGEMENT The state of e-development can be understood by exploring ICT usage in mobilizing production and inclusion, ICT capacities for the 21st century, and access to ICT networks. The ensuing discussion organizes the findings from the Gauteng surveys under these themes.

Household Exclusion from Information Society Production Turning now to the information society survey of households, the data points to a high level of current and potential future social exclusion, given that access to a wide range of social and economic opportunities is supported by access to mobile phones, computers, and the Internet. The data in this section will provide a profile of

Figure 1. Analytical frame for factors enhancing e-mediated civic engagement

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the characteristics of exclusion experienced by Gauteng households. The following tables, adapted from the work of Abrahams & Burke (2010), provide a profile of mobile and Internet access in Gauteng households. There is high mobile phone penetration, approaching universal mobile phone service for households, amongst the highly urbanized population and in marginalized municipalities, such as Westonaria. The lowest mobile phone access rate of 77.8% denotes mobile exclusion in those households with income below R500 per month4. This income bracket correlates to the roughly 6% of Gauteng households with individual income below the deepest poverty line of R283 per month (RSA, 2009, p. 26). While a large proportion of even these very poor households have mobile phone access, this profile can be deceptive as a predictor of social inclusion as, for some of these households surveyed, the mobile phone was the only electronic goods asset and did not imply employment of members of the household, nor effective mobile usage. Internet access is disproportionately spread across the population, with only 9% of African households having access and low aggregate levels of access at 13.6% of Gauteng’s 3.4 million households. The rate of increase of Internet access for Gauteng is very slow with an increase of only 1.9% between 2007 and 2010, based on the data reported in the Community Survey 2007 (StatsSA, 2007, p. 17). Internet penetration in the income range R5,001 – R10,000 represents only 4.5% of all households while Internet penetration in the income range R10,000 – R30,000 is similarly low at 2.6%. Only at income levels between R30,000 – R50,000 does Internet penetration appear to approach 50% of households. However, this only represents an estimated 1.5% of all households in Gauteng. This data reflects that digital exclusion rests on the relatively large proportion of households in the lower income segments. From this perspective, social exclusion will continue to increase regard-

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ing electronic access to information and services, including participation in electronic governance which minimizes the opportunities for electronically mediated civic engagement. After the issue of access, it is important to understand how citizens use the Internet. The following table, adapted from the work of Abrahams & Burke (2010), highlights how Gauteng households use the Internet. Of the relatively small percentage of Internet users (Table 1), the highest rated Internet usage is for electronic mail, followed by information search (goods and services; education, training and course offers) and news and job-related online services. Banking, online trading, and training activities, as well as travel and health services represent a very small proportion of Internet usage activities. The data suggests that most individuals are using the Internet as a means of social and economic networking based on simple email usage, but very few individuals are using the Internet as a tool for making personal development and lifestyle choices. The data further suggests that the online community receives the greatest value from online information and services, followed by education and training, but limited value with respect to financial transactions. Another dimension considered is the capacity level of individuals to use ICT. The following table, adapted from work by Abraham & Burke (2010), reflects the level of confidence individuals possess concerning specific tasks related to online activity. The brief overview of human resource capacity for ICT usage presented in Table 4 shows very limited levels of confidence in regards to the basic elements of daily computer and Internet usage. This data partially explains the low Internet usage (Table 3) reflected in data.

Civic Engagement and E-Governance in Gauteng

Table 1. Household Internet and mobile phone access by population group Population Group

Household Internet Access (%)

Household Mobile Phone Access (%)

African

9.3

94.1

Coloured

21.4

92.9

Indian

100

100

White

40.0

100

Mixed

14.3

100

Table 2. Household Internet and mobile phone access by income bracket Income Bracket

Household Internet Access % (weighted percentage of all households)

Household Mobile Access %

Less than R500

0.0

77.8

R501 – R2,000

2.7 (0.7)

95.9

R2,001 - R5,000

8.8 (2.6)

98.8

R5,001 - R10,000

25.6 (4.5)

100

R10,001 – R30,000

26.7 (2.6)

100

R30,001 - R50,000

44.4 (1.5)

100

More than R50,000

8.3 (0.3)

100

Table 3. Internet usage by activity type Internet usage by activity

Percentage (%)

Communication, information search, and on-line services Sending and receiving emails

88.5

Finding information about goods and services

71.3

Using services related to travel and accommodation

42.5

Downloading software (other than games software)

48.3

Reading or downloading news/newspapers/magazines

62.1

Looking for a job or sending a job application

60.9

Seeking health-related information

37.9

Banking, selling goods, and services Internet banking

29.9

Selling goods and services

17.2

Buying goods and services

12.6

Paying online using credit card

13.8

Education and training Looking for information about education, training, or course offers

59.8

Doing an online course (in any subject)

26.4

Consulting the Internet with the purpose of learning

39.1

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Table 4. Human resource capacity for ICT usage Individual Capacity (within the 13.6% of households with Internet access)

No Confidence (%)

Obtain and install computer software

60.3

Identify the cause of computer problems

64.1

Use email to communicate

60.5

Participate in online discussion on a topic of own interest

61.8

Make a call over the Internet

68.2

Use the Internet as a search engine

62.1

Table 5. Informal and formal enterprises with mobile and Internet access Type of Enterprise

Mobile Access (%)

Internet Access (%)

Formal

51.1

32.7

Informal

49.4

3.0

Table 6. Level of mobile and Internet access by enterprise turnover Enterprise Turnover (in Rands)

Mobile Phone (%)

Internet Access (%)

< R10,000

54.6

9.9

R10,001 – R50,000

60.3

8.6

R50,001 - R100,000

48.9

12.8

R100,001 – R500,000

68.2

45.5

R500,000 – R1,000,000

44.0

40.0

>R1,000,000

63.6

54.5

SME EXCLUSION FROM INFORMATION SOCIETY PRODUCTION SME access and usage of ICTs is an indicator of digital inclusion and of integration into the network economy. Typically, each SME provides Internet connectivity for multiple users (Goldstuck, 2010). It is estimated that approximately one third of SMEs in South Africa, reported as 34.9%, operate from home (Kew & Herrington, 2008, p. 38). The data in this section will provide a profile of the characteristics of exclusion experienced by SMEs. The following tables, adapted from work by Abrahams & Burke (2010), outlines the percentage of formal and informal enterprises that have mobile and Internet access, as well as the percentage of 260

SMEs with mobile and Internet access based on turnover. According to the survey, formal enterprises, as defined by the registration for tax purposes, show marginally higher levels of mobile access, but vastly higher levels of Internet access over informal enterprises. Having a dedicated mobile phone does not appear to be influenced by enterprise turnover, and individuals will use their own mobile phones for work purposes. SMEs are unlikely to be able to rely on individual homebased Internet access amongst their employees, given the low aggregate household Internet access. Another consideration in describing exclusion of SMEs is how they use the Internet. The following table, adapted from work by Abrahams

Civic Engagement and E-Governance in Gauteng

Table 7. SME Internet usage by activity (those SMEs which have Internet access)  Activity

 Percentage (%)

 Use the Internet to do Internet banking

 73.7

 To do marketing of your company

 73.1

 Use the Internet to do market and product research

 71.8

 Make online payments

 71.2

 Use the Internet to provide customer service

 71.2

 Place orders (make purchases) for goods and services via the Internet

 68.6

 Receive online payments

 62.2

 Receive orders (make sales) over the Internet

 59.0

 To share or distribute of information with other organizations

 57.1

 To deliver products and services online

 44.2

 Use the Internet for staff recruitment

 27.6

& Burke (2010), highlights how SMEs use the Internet. For those, mainly formal, SMEs who have Internet access, usage covers a number of typical business activities, indicating a migration to the online environment and to conducting transactions online (Table 7). The high value attributed to Internet banking, marketing, market and product research, online customer service, placing and receiving orders, and online payments suggests

the untapped potential for the majority of SMEs currently experiencing digital exclusion. A final consideration for describing SME exclusion is their level of capacity in using ICT. The following table, adapted from work by Abrahams & Burke (2010), highlights the confidence level of SMEs with specific tasks associated with online activity. Confidence levels appear to be stronger in the SME business environment (Table 8) than in

Table 8. SME capacity to use ICT by task  Enterprise capacity

 No Confidence (%)

 Obtain and install computer software onto a computer

 43.3

 Identify the cause of computer problems

 44.8

 Use email to communicate with customer

 45.6

 Participate in online discussion on a topic of your interests

 46.6

 Make a call over the Internet

 50.3

 Use the Internet as a search engine

 47.2

 Capture and store business information

 45.3

 Complete invoices, orders, price lists, and quotes

 45.7

 Undertake business administration tasks, such as electronic record keeping

 44.0

 Keep and manage employee records

 44.7

 Keep financial information and reports

 44.4

 Keep inventories

 46.3

 Maintain debtor information

 46.9

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the household environment, possibly reflecting experience derived through more extensive and regular usage. Finally, high levels of mobile penetration are accompanied by low levels of mobile usage, while levels of Internet access and usage for formal enterprises are highly dependent on turnover and almost non-existent for informal enterprises. A third of formal enterprises surveyed are estimated to have access to the Internet and the data on Internet usage and human resource capacity suggests that SMEs with a relatively greater degree of formality will make increasingly extensive use of the Internet.

Citizen-To-Government Interaction The interaction of both individuals and SMEs with government is another dimension to understand the level of exclusion experienced in Gauteng. The following tables, adapted from work by Abrahams & Burke (2010), illustrate the levels of citizen-togovernment and business-to-government interaction in Gauteng. As an indication of citizen-to-government (C2G) interaction, a very small proportion of individuals currently visit the provincial government web portal. Formal enterprises appear to have embarked on the trajectory of combined

mobile phone and Internet access and usage, however, this study did not investigate the business value created from such access and usage. SMEs, too, have a low level of business-togovernment (B2G) interaction with government.

Additional Insights With only 13.6% of households and 17.9% of SMEs (32.7% of formal and 3% of informal SMEs) having access to the Internet, the potential for e-governance to expand service provision to sections of the community and businesses that have hitherto been excluded remains a daunting challenge. Moreover, even when citizens and businesses have access to the Internet, it is not a guarantee that they will make use of electronically mediated public services. The information society survey revealed that only 28.2% of citizens have ever accessed the Internet, of which 71% are aware that government services are available on the Internet. Only 19.1% have visited the provincial government web portal. In the case of SMEs, only 29.4% of Internet users do so with the purpose of interacting with government, as shown in Table 10. If mobile phones, computers, and the Internet are important tools for modular production and social inclusion in the early information society,

Table 9. Individual online interaction with government  Citizen-to-government interaction (C2G) using the Internet

 Percentage (%)

 Have you ever used the Internet?

 28.2

 Did you know that there are government services available on the Internet?

 71.8

 Have you visited the provincial government web portal?

 19.1

Table 10. SME online interaction with government  Business-to-government interaction (B2G) using the Internet  Does your business use the Internet?  Does your business use the Internet for dealing with government organizations?

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 Percentage (%)  17.9 5.26 (29.4% of business users)

Civic Engagement and E-Governance in Gauteng

then existing levels of digital exclusion with respect to household and SME access and usage undermine economic development potential and opportunities for civic engagement.

E-GOVERNANCE AS A VEHICLE FOR CIVIC ENGAGEMENT e-Governance extends beyond the delivery of electronically mediated services to the systems and inter-relationships that govern society. The view that “(the) application of ICT to the system of governance to ensure a wide participation and deeper involvement of citizens, institutions, nongovernmental organizations, as well as private firms in the decision-making process” (UNESCO, 2005) is a pertinent reference point for this discussion on e-governance and civic engagement in Gauteng. Values, such as accountability, participation, and transparency, are integral to influencing the nature and substance of e-governance. Accountability focuses on the mechanisms by which the performance of government can be evaluated and by which government representatives can be held to account for their actions. The e-Government Website Maturity Index assessment found that 57% of the websites reviewed did not have a facility for citizens to electronically lodge a complaint about the services they access, and that only 10% of websites describe how the complaint will be dealt with, list the person who will deal with it, and indicate how long it will take to respond to the complaint. Eighty-one percent of websites do not make provision for any form of online consultation as a means to encourage greater levels of participation by citizens. The majority of websites do provide, however, some measure of transparency by providing information on the functions, services, policies, and procedures of the relevant segment of government, as well as documents such as annual reports and strategic plans.

Gauteng Provincial Government Websites The Gauteng Provincial Government hosts an Enterprise Portal, which has a main focus of providing citizen-centered, transaction-based online services through a single gateway as an alternative channel for accessing government services. The portal provides government-to-citizen (G2C) services, including matric results and Bana Pele social services for children. It also provides government-to-employee (G2E) services, such as online recruitment and leave balances. Other electronically mediated initiatives at the provincial level include the South African Police Services Operations Centre (Gauteng) and Gauteng Emergency Medical Services (GEMS). While these services could have been designed to heighten civic engagement in public accountability, education, social services, emergency medical services, and crime intelligence, in reality they did not go beyond the level of information exchange (Abrahams & Reid, 2009).

City of Johannesburg Government Websites The City of Johannesburg metropolitan municipality website offers comprehensive information to orient the user to the purpose, function, and services of the site. The website is structured around the needs of different categories of users – for businesses, residents, and tourists. The details of the city’s call center are provided as a central point of contact for citizens. Users can report faults, query accounts, request information, or order a new service online. Complaints can be lodged through the call center, as well as through the website. There is a step-bystep guide on how to petition the city on an issue. The site provides a comprehensive news service and access to a broad range of documentation. The website has a dedicated page for online services called “e-services”, which includes receiving

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invoices online, accessing sectional title property owners’ information, entering meter readings, and completing online property valuation forms. It also provides payment and transaction facilities. Users can participate in calls for comment on draft documents, as well as a range of other measures through which user participation is encouraged. Extensive information on events is given and the website enables users to enter details on upcoming events themselves.

Quality of Life Survey and Civic Engagement Regarding a broader perspective on civic engagement in Gauteng, the Quality of Life Survey (GCRO, 2009) indicates that there is a significant contrast between the participation of the population in activities within their immediate locality (ward), as compared to participation in municipal level activities. 41% of the survey sample reported participation in ward meetings, while only 13% reported participation in mayoral imbizos5 and only 9% reported participation in discussing integrated development plans (IDPs) of municipalities. Participation in ward meetings, community policing fora, imbizos, as well as contributions to the content and strategic direction of IDPs are important forms of civic engagement and broadening democracy in South Africa. Ward meetings and imbizos promote face-to-face engagement between communities and politicians. Debates on integrated development plans give communities the opportunity to contribute to the direction of local development with respect to economic issues and local infrastructure requirements, amongst other issues. Polled about important views on society, 59% of the sample population agreed that “The country is going in the right direction”, while 22% disagreed with the statement. Similarly, 29% of the sample population agreed that “People like me cannot influence developments in my city”; 18% felt that “Politics is a waste of time”; and 42%

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agreed that “The judiciary is free from government influence” (ibid.). These views on democracy were polled to give a provincial perspective for the first time in 2009, fifteen years after the first democratic elections. The survey findings suggest that there is significant room for greater participation by the general population in civic affairs. It can be further argued that mobile electronic media platforms and the Internet would provide additional channels for civic engagement, potentially enabling more people to voice their views more often and to create rich platforms for civic debate and political influence.

Gauteng Province E-Governance Progress The Gauteng government’s response to promoting e-governance for digital inclusion has been at the policy, strategy, and program levels. Amongst many actions has been the establishment of the Gauteng Shared Service Centre (GSSC), formed in 2001 as a transformational initiative to revitalize service delivery in the public sector and provide the initial cornerstone of this ten-year period of the province’s strategy towards e-governance. The GSSC’s initial focus was to provide back-office transactional support services to government departments within Gauteng. This was done through bundling support processes and non-strategic activities that were duplicated across the government departments into a single organization, which would treat these activities as its core business. Many departments recognized that investments in ICT capabilities could be a catalyst for change. However, there was no coherent plan to advance government and household access to information infrastructure, or to build sophisticated e-governance systems and content for public consumption (Abrahams & Burke, 2010). There were many complex and disparate IT systems that were outdated, functionally inadequate, and not properly integrated. Thus, initially, despite

Civic Engagement and E-Governance in Gauteng

government investment, there was little impact on improving service to citizens or improving access to government services and least of all, providing the platforms for electronically mediated engagement with citizens. In 2007, a major review of the provincial e-government program was undertaken. Several limitations were identified, including: (1) strategic, tactical, and operational cooperation between local, provincial, and national government was limited; (2) project prioritization was ineffective and led to duplication of projects and deliverables; and (3) the focus on citizens as the central concern of the program was inadequate. As a result of the review, the Gartner e-Government Maturity Model (2001) was adopted in 2008, both as an evaluative mechanism and as an organizing framework to conceptualize egovernment development in Gauteng. However, the effect of its application has thus far been rudimentary (ibidem). A coherent e-governance policy and strategy framework only emerged in 2007, when the eGovernment Blueprint Proposal (GPG, 2007) was formally adopted. It represented the first attempt to pull together the strands of e-government ideas and projects into a coherent framework. Before the introduction of the Blueprint Proposal, the strategic priorities for e-government had been implicit in the range of projects implemented at the time. The central goal of the Blueprint Proposal was providing the necessary infrastructure to promote access to electronically mediated

services to citizens and business by introducing e-enabled services and increasing the range of channels through which services can be delivered. Since then, additional work has been done to supplement the vision contained in the Blueprint Proposal. This work includes the e-Government Review (2007) and the prospective Gauteng ICT, Employment, Growth, and Development Strategy (2010). Data gathered from the information society survey indicates that there were 27 projects classified as e-government projects in various stages of implementation. This represents a part of the total portfolio of ICT projects in government, namely the projects prioritized in line with the e-Government Prioritization Framework. e-Government projects are adopted based on budget viability, agility and adaptability, political support, constituent service capacities, organization and governance, and operational efficiency. The omission of user needs as a selection criterion is a significant one since it neglects to consider the needs of users, with specific reference to questions of social and digital inclusion, in the prioritization of projects. The following table, based on work by GSSC (2010), provides a breakdown of the type of projects implemented by Gauteng. Twenty-seven percent of projects are aimed at automating business processes in government, 22% at establishing the required ICT governance and management frameworks and architecture, and 17% of projects focus on network develop-

Table 11. E-government project typology  Typology of e-Government Projects

 Percentage (%)

 Automation

 27

 Governance and management

 22

 Network development

 17

 Hardware acquisition

 17

 Application development

 14

 Content management and development

 3

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Table 12. Primary beneficiaries of e-government projects  Primary Beneficiaries

 Percentage (%)

 Government

62%

 Citizens

20%

 Employees

12%

 Business

6%

ment and hardware acquisition. This, again, is an indication that e-government project implementation is at an early stage of development, as the type of projects prioritized are aimed at replacing manual processes with electronic processes; establishing the required technical architecture, management, and operational capacity; and putting in place the necessary internal and external network capacity and supporting hardware. In the following table, based on work by GSSC (2010), the breakdown of who benefits from projects is highlighted. There is a strong bias towards projects benefiting government administration (two-thirds of all projects) as compared to projects intended to benefit citizens or businesses. If the projects aimed at benefiting government employees are added, it represents almost 75% of all projects while projects aimed at benefiting citizens and businesses together represent only a quarter of projects. This suggests that government is operating at the level of the basic introduction of e-services, and is not yet operating at the level of mobilizing civic engagement. The bias towards the implementation of egovernment projects that are primarily aimed at benefiting government is in line with the strategic objective of providing the required infrastructure as the basis for delivering electronically mediated services. These projects aim to improve the governance and management of ICTs in government. The projects specifically aimed at benefitting citizens may be small in number, but are significant in terms of the investment in digital inclusion. The G-Link project, which is in the

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initiation stage, represents a major infrastructure investment of more than R8 billion over the next five years that aims to provide basic broadband access to 95% of Gauteng’s geography, deploy high-content broadband to 20% of Gauteng, and provide a connectivity solution to households. This investment is expected to significantly increase productive opportunities, which in turn is expected to stimulate economic growth and social inclusion. Similarly, the GautengOnLine (GoL) Schools project is a multi-billion rand investment in providing every learner with an email address, with free Internet access, and the implementation of a technology-enabled learning environment in more than 2,000 schools across the province. More than 85% of schools have connectivity, however, the usage of ICT is not integrated into the learning environment and students spend only a small proportion of classroom hours utilizing a computer, with limited access to online content and no participation in civic-oriented activities (Abrahams & Reid, 2009).

NGOs and Online Civic Engagement Non-governmental organizations (NGOs) have historically made a vital contribution to civic engagement, both with the purpose of creating a new political democracy and with the purpose of facilitating community formation and advancement. Throughout the period from the 1980s to the first democratic elections in 1994 and in the period thereafter, civic organizations, including trade unions, community advice offices, gender and human rights organizations, and non-profit

Civic Engagement and E-Governance in Gauteng

development-oriented organizations, have worked to foster high levels of civil society action. In the first decade of the 21st century, a few organizations have moved their activities online. Women’sNet, a social justice organization, uses ICT as its main platform for communication with its audience. It offers a range of ICT channels including social networking resources, links to gender and feminist email lists, and support materials to promote citizen journalism. ICT is integrated into the operations of the NGO, which focuses women’s attention to themes such as economy, gender budgeting, violence against women, reproductive health, and rights. The organization does host events in physical spaces, but most mobilization is conducted online (Women’s Net, n.d.). SANGONeT, dedicated to offering ICT products, services, and information to NGOs, has existed for more than 23 years. It runs an online newsletter, NGO Pulse, and uses a range of web 2.0 resources including blogs, Twitter, and a Facebook page to connect with its many audiences (SANGONeT, n.d.). The monitoringACTION project, established to support communities in monitoring business and government, uses the Internet as “an organizing tool”. The project uses blog sites, a Google site, and monthly eLetters to communicate amongst project participants on subjects, such as illegal dumping of waste, the quality of the environment, poverty caused by mine and factory closures, and the quality of the built environment (Bench Marks Foundation, 2009). However, NGO engagement with people and communities across the spectrum of society assumes levels of network and device access that do not yet exist. Similarly, creating online civic engagement between communities, the nongovernmental sector, and government is limited for the large proportion of the population who are excluded by virtue of economic or social deprivation, as well as digital exclusion. Web 2.0 technologies, such as Twitter, blogging, wikis, and social networking sites like

YouTube and Facebook, offer new creative opportunities for civic engagement, but e-governance in Gauteng has not yet adopted these technologies to create the channels for engagement with the populace.

INFORMATION INFRASTRUCTURE AND PUBLIC POLICY An overview of current levels of ICT infrastructure development in the province reveals that fixed and mobile network infrastructure is extensive across Gauteng, estimated at multi-billion rand historical capital expenditure infrastructure investments from the major players - Telkom, Neotel, Vodacom, and MTN (Abrahams, 2010). This estimate is based on a review of telecoms company annual reports for 2009 and a 2006 – 2008 review of the post and telecommunications industry, which do not provide disaggregated data for Gauteng. With a view on future network deployment, each of these companies has a multi-billion rand spending plan for broadband infrastructure investment. However, the main geographical areas for deployment will be the three metropolitan municipalities where businesses, public institutions, and households are concentrated. The cost of fixed and mobile communications and Internet access has historically been high due to excessive pricing on the backbone network, high interconnection rates, and the high cost of international bandwidth (Smit, Neilsen & Roetter, 2008, pp.111-126). However, the tide has begun to turn somewhat. The landing of the SEACOM and EASSy submarine cables in mid-2009 heralded a noticeable decrease in the price of broadband packages. The mobile operators reduced call charges late in 2009 and the sector regulator, the Independent Communications Authority of South Africa (ICASA), published reduced fixed and mobile call termination rate regulations in October 2010. While these pricing changes may yet feed through

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to further consumer price reductions, the costs of communication remain high relative to household and SME income and there is consequently limited access to the Internet. The provincial and metropolitan governments have made strategic and budgetary provisions for building and activating provincial and municipal broadband infrastructure. However, these plans are at an early stage of development and are unlikely to have significant impact on the availability of broadband infrastructure in the next three to five years (Abrahams, 2010). Existing legislation on universal access and service, the Electronic Communications Act, 2005, does not explicitly refer to Internet access or to broadband networks and communications services, but creates the basis for the Universal Service and Access Agency of South Africa (USAASA) to “make recommendations to enable the Minister to determine what constitutes …universal access… and the universal provision for all persons in the Republic of electronic communications services and access to electronic communications networks, including any elements or attributes thereof” (RSA, 2005, section 82 (3)(a)). National broadband policy, introduced in July 2010, explicitly states the policy intention as facilitating universal access to broadband infrastructure and stimulating usage of broadband services for citizens (in particular needy persons), businesses, communities, government, and civil society organizations (RSA, 2010). It motivates for content development in the public health, education, and electronic government spheres. It specifically argues for government to undertake content development in all South African languages and civil society organizations. It encourages provincial and local government to develop broadband strategies and advises that the private sector will be expected to contribute to reducing the broadband divide through specifications in their license obligations. These and other formulations contained in the policy bode well for

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raising the intensity of investment in broadband deployment. The reference to civil society organizations makes the understanding that broadband can and should promote civic engagement, though this is not made explicit in the strategy. Similarly, the references to e-government content development do not specifically point to creating platforms for civic engagement. Provincial broadband strategy is not yet explicit for Gauteng and only one of the metropolitan municipalities, the City of Johannesburg, has adopted a broadband policy statement. This latter policy document sets out 10 objectives for “harnessing the value of its existing, and any future assets, for social and economic advancement, as an important component of its ‘digital city’ initiative” (City of Johannesburg, 2009, p.3). It also specifies objectives of social inclusion and local economic development, in particular “encouraging the utilization of information and communication networks as a contributing resource to local economic development” (City of Johannesburg, 2009, p. 4). The current state of e-development with respect to broadband is characteristic of early stage deployment and diffusion. Broadband infrastructure deployment is low across the country, but greatest in the more densely populated, higher income metropolitan municipalities, raising significant benefit for Gauteng as it has three large metros. Broadband usage is estimated at 1.56 million users in December 2009 (Goldstuck, 2010, pp. 101-102), a very low proportion of the total population. Government’s perspective on broadband policy provides for a range of complementary approaches to broadband deployment, however, government policy interventions and investments have not yet taken effect. Hence, lack of access to broadband infrastructure and services potentially inhibits the evolution of online civic engagement and edemocracy, whether using the mobile phone or a computing device.

Civic Engagement and E-Governance in Gauteng

RECOMMENDATION: FOCUS ON UNIVERSAL HOUSEHOLD BROADBAND SERVICE Using the analytical categories for digital inclusion and e-development presented in Figure 1, it can be argued that ICT infrastructure is available but not sufficiently abundant to address the needs of the vast majority of households and SMEs. Also, availability does not translate to effective access and usage for mobile phone services and broadband Internet services, the main channels for civic engagement and participation in the information society. These particular forms of digital exclusion limit opportunities for social inclusion in a wide range of activities, from seeking health-related information to marketing businesses online to organizing community action for better infrastructure and secure neighborhoods. It can be argued that informal businesses do not need access to these new technologies, but this is only true for the relatively small proportion of SMEs who conduct their business in informal trading spaces, as compared to the relatively large numbers of SMEs, formal and informal, who conduct business from an office space or from home (Kew & Herrington, 2009). The state of policy and regulation at the provincial level does not yet offer the requisite foundations for directed expenditure towards those forms of ICT infrastructure and e-governance channels that can best promote social inclusion. The level of human resource capacity necessary for participation in the digital age is extremely low within households, which are the sites of formation of the next generation of workers, academics, professionals, leaders and parents; and potential future sites for household-based (not merely home-based) economic production. Where is Gauteng on the e-development curve? The state of e-society, e-business, and e-governance is formative, revealing limited capacity to promote social inclusion with respect to civic engagement and e-democracy. The emphasis

is rather on access, fulfilling personal needs, and conducting business activities. The culture of experimentalism and continuous innovation in services and structures still has to become embedded in provincial and municipal government. The Gauteng study findings and analysis offer many lessons for public and development management. One such lesson is that complexity must be comprehensively theorized by 21st century governments in order to effectively plan and allocate resources and achieve development outcomes. Furthermore, public policy design for the next ten years should draw on the empirical studies referred to here (Abrahams & Burke, 2010; Goldstuck, 2010; Kew & Herrington, 2009) to adopt a stance which positions universal household broadband Internet service as the major new infrastructure investment initiative. This would serve the dual purpose of: (1) providing infrastructure for a greater proportion of households to participate in the information-based services economy, where households effectively become productive units, rather than only units of consumption, and (2) providing infrastructure for the next generation of producers and social beings to adopt and innovate with those interactive technologies that create a powerful virtually connected society. However, providing the network infrastructure is a necessary but not sufficient condition for social inclusion and civic engagement. Public policy, as it pertains to social inclusion, can draw on the data on mobile and Internet access and usage presented here. This data may offer valuable indicators to inform the designers of electronic government programs at provincial and municipal government levels. The data suggests that: (1) SMS6 and email should become important channels for regular communication with households and SMEs, given the potential for reaching more than 90% of this population through at least one of these channels, and (2) the quality of government websites and information portals, particularly health-related information,

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education, training information, and information for small businesses, is worthy of investment in creative content production and management to attract Internet users. Making available the relevant content and channels for interaction through, for example, e-governance, can shape greater participation in the information society and network economy. New disruptive technologies, such as the second generation web technologies of virtual reality and social networking, present channels for users to have an influential social and political voice that rapidly spreads views and influences public opinion. There availability and accessibility would give real meaning to Benkler’s guidance of putting the material means of production and cultural expression in the hands of the majority.

FUTURE TRENDS AND CONSIDERATIONS The argument is made above that the South African household is becoming a site of economic production and in the 21st century it is likely to transform itself into an economic production unit with increasing technology-intensity, co-existing with firms located in factories and corporate offices, and with government and other large institutions. This partly-futuristic scene is set up in order to establish what kind of social and economic future information society individuals are progressively being excluded from. The emergence of economic production in the home will be based on the capacity for a wide range of work located in the services sector to be performed from the home, because a significant proportion of such work is knowledge-based and can be transmitted utilizing ICT devices and networks. Already, knowledge workers in the consulting and academic worlds operate partially from the home-base. Corporate and public service managers work remotely from sites other than their offices, including home.

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In a typical household of three or more occupants, it is possible that the working age occupants can either telecommute or operate from home, while the school and college or university age occupants are engaged in online learning. All occupants utilize mobile phones, computers, and the Internet for activities, such as social organization (personal banking, social networking, and other transactions) and information-seeking (for health, entertainment, travel, and jobs). In the telecommuting scenario, the home is simply an extension of the main workplace, which is located elsewhere. In the ‘operate from home’ scenario, the household becomes the main site of production and all occupants make some form of contribution to household-based economic activity. Gauteng residents who experience social exclusion, nevertheless, have mobile phone devices, though these generally have low computing power and are not ideally suited for online communication. Current limited access to computing devices, as well as Internet and broadband services, mitigates against creating the foundations for social inclusion through economic participation, civic engagement, and e-democracy, operating at the household level. Hence, public policy to increase affordable access to broadband services – at the household level – offers a potentially powerful lever for development in the new century. Such strategic thinking and approaches would lead to more valuable usage of societal ICT assets while also providing governments with a greater capability for enhancing their interactions with individuals, households, and communities. These lessons learned over the last ten years are being incorporated in several key initiatives already underway that will provide a further basis for addressing the identified challenges. At a governance level, a provincial political committee has been established to provide leadership and oversight in regard to matters on ICT and information society development. An immediate priority

Civic Engagement and E-Governance in Gauteng

of this governance structure is the formulation of an ICT, employment, growth, and development strategy for Gauteng to guide investments and initiatives oriented toward the development of the sector. Efforts to bring about universal household access and service will be spearheaded by the GLink Project at the program level. In the future, in line with the theme of this book, annual information society surveys should be undertaken to follow the trajectory of early 21st century emergence with respect to household production and consumption, e-development, and civic engagement. This can further elucidate the factors and determinants of e-democracy. Such studies are needed to inform policy-making and development management.

CONCLUSION From an e-development perspective, South African public policy on universal access has always been about telephony, not about Internet access. Yet mobile access basically took care of itself, resulting in fixed to mobile voice substitution in the period 2000 – 2010. While this mobile substitution effect offers good prospects for electronic communications, in reality, the mobile phone is a device used for voice rather than for multimedia communications. This, in an era, where multimedia offers opportunities for engagement that voice cannot. The Gauteng information society and egovernment study highlights strengths and weaknesses apparent from the first decade of the 21st century regarding the potential role of ICT in building social inclusion, whether through economic participation, civic engagement, or edemocracy. e-Governance and civic engagement can be mutually supporting endeavors, however, this requires effective decision-making and explicit policy direction. Presently, the burden of digital exclusion in Gauteng province is carried by the socially excluded, exacerbating the cracks

in the fabric of society, like Alice falling through a wormhole in the universe. Discussions on social exclusion tend to focus on historical exclusion. Countries and governments can, however, lay the basis for future exclusion, even as they attempt to deal with historical exclusion. Hence, future policy and regulation must address this potential for future failure, by addressing itself to the themes, issues, and challenges of electronically mediated development and civic engagement.

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Benkler, Y. (2006). The wealth of networks: How social production transforms markets and freedom. New Haven, CT: Yale University Press. Castells, M. (1998). End of millennium. Information age: Economy, society and culture (Vol. 3). Cambridge, MA: Blackwell Publishers Ltd, Oxford. Castells, M. (1999). Information Technology, globalisation and social development. UNRISD Discussion Paper No. 114, United Nations Research Institute for Social Development, Geneva. City of Johannesburg. (2009). City of Johannesburg broadband policy framework. May 2009, City of Johannesburg Department of Economic Development. Retrieved November 19, 2010, from http://www.joburg-archive.co.za/2010/ econ_deve/econdev_broadband_policy.pdf Crang, M., Crosbie, T., & Graham, S. (2006). Variable geometries of connection: Urban digital divides and the uses of information technology. Urban Studies (Edinburgh, Scotland), 43(12), 2552–2570. Cuadrado-Roura, L. R., Rubalcaba-Bermejo, L., & Bryson, J. R. (Eds.). (2002). Trading services in the global economy. Cheltenham, UK: Edward Elgar. de Haan, A. (2001). Social exclusion: Enriching the understanding of deprivation. Institute of Development Studies and Poverty Research Unit, University of Sussex. Sussex. UK. Retrieved November 05, 2009, from www.sussex.ac.uk/cspt/ documents/issue2-2.pdf Felstead, A., Jewson, N., Phizacklea, A., & Walters, S. (2001). Working at home: statistical evidence for seven key hypotheses. Work, Employment and Society, 15(2), 215–231. doi:10.1177/09500170122118922 GCRO. (2009). Gauteng city-region quality of life survey 2009. Johannesburg: Gauteng City-Region Observatory.

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Goldstuck, A. (2010). Internet access in South Africa 2010: A comprehensive study of the Internet access market in South Africa. Johannesburg: World Wide Worx. GPG. (2007). e-Government blueprint proposal. Gauteng Provincial Government (GPG), Johannesburg. GPG. (2007). GPG ICT strategy. Gauteng Provincial Government. Johannesburg: GPG. GPG. (2007). Gauteng information society and development plan. Gauteng Provincial Government. Johannesburg: GPG. GPG. (2010). Gauteng employment growth and development strategy. Gauteng Provincial Government. Johannesburg: GPG. GPG. (2010). Socio-economic review and outlook 2010, 2 March 2010, Gauteng Provincial Government. Johannesburg: GPG. Kew, J., & Herrington, M. (2009). ICT and entrepreneurship 2009. Research report presented to the Small Enterprise Development Agency, Graduate School of Business. Cape Town: University of Cape Town. Longley, P., & Singleton, A. (2009). Linking social deprivation and digital exclusion in England. Urban Studies (Edinburgh, Scotland), 47(7), 1275–1298. doi:10.1177/0042098009104566 Malecki, E. J., & Moriset, B. (2008). The digital economy: Business organization, production processes, and regional development. London, UK: Routledge. Qiang, C., Rossotto, C., & Kimura, K. (2009). Economic impacts of broadband (pp. 35–50). World Bank 2009 Information and Communications for Development: Extending Reach and Increasing Impact, Washington DC.

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RSA. (2005). Electronic Communications Act, No. 36 of 2005, Government of the Republic of South Africa. Pretoria: RSA. RSA. (2007). Towards an inclusive information society. Presidential National Commission on Information Society and Development, Government of the Republic of South Africa. Pretoria: RSA. RSA. (2009). Development indicators 2009. The Presidency, Government of the Republic of South Africa. Pretoria: RSA. RSA. (2010, 13 July). Broadband policy for South Africa. Government Gazette No 333772010, Government of the Republic of South Africa (RSA), Department of Communications, Pretoria. SangoNet. (n.d.). SANGONeT website. Retrieved November 14, 2010, from http://www.ngopulse. org/about Selwyn, N. (2004). Reconsidering political and popular understandings of the digital divide. New Media & Society, 6(3), 341–362. doi:10.1177/1461444804042519 Sen, A. (1999). Development as freedom. Oxford, UK: Oxford University Press. Sen, A. (2000). Social exclusion: Concept, application and scrutiny. Social Development Papers, 1. Manila, Philippines: Office of Environment and Social Development, Asian Development Bank.

Smit, D., Neilsen, B., & Roetter, M. (2008). International peer benchmarking study on the cost to communicate in South Africa. Johannesburg: BMI-Techknowledge. UNESCO. (2005). E-government toolkit for developing countries. Retrieved November 5, 2009, from http://www.unescobkk.org/fileadmin/ user_upload/ci/documents/UNESCO_e-Govt_ Toolkit.pdf Women’s Net. (n.d.). Women’sNet website. Retrieved November 14, 2010, from http://www. womensnet.org.za

ADDITIONAL READING Barker, A. (2002). The alchemy of innovation: Perspectives from the leading edge. London, UK: Spiro Press. Barney, B. (2004). The network society. Cambridge, MA: Polity Press Ltd. Bhatnagar, S. C. (2004). E-government: From vision to implementation: A practical guide with case studies. New Delhi, India: Sage Publications Pvt Ltd. Boddy, M., & Parkinson, M. (Eds.). (2004). City matters: Competitiveness, cohesion and urban governance. Bristol, UK: The Policy Press.

Silver, H. (1994). Social exclusion and social solidarity: Three paradigms. International Labour Review, 133(5–6), 531–578.

Bohme, N., & Stehr, N. (1986). The knowledge society. Dordrecht, The Netherlands: D. Reidel Publishing Company.

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Cordella, A. (2007). E-government: towards the e-bureaucratic form. Journal of Information Technology, 22, 265–274. doi:10.1057/palgrave. jit.2000105 Drucker, P. (1993). Post-capitalist society. New York, NY: HarperCollins Publishers Inc.

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Frissen, P., Bekkers, V., Snellen, B., Brussaard, B., & Wolters, M. (Eds.). (1992). European public administration and informatization. Amsterdam, The Netherlands: IOS Press. Hassan, R. (2008). The information society. Cambridge, UK: Polity Press. Healey, P. (2007). Urban complexity and spatial strategies: Towards a relational planning for our times. New York, NY: Routledge. Heeks, R. (1999). Reinventing government in the information age. London, UK: Routledge. doi:10.4324/9780203204962 Heeks, R. (2006). Implementing and managing e-Government: An international text. London, UK: Sage Publications Ltd. Laquian, A. (2005). Beyond metropolis: The planning and governance of Asia’s mega-urban regions. Washington, DC: Woodrow Wilson Center Press. Liebowitz, J., & Beckman, T. (1998). Knowledge organizations: What every manager should know. United States of America: St. Lucie Press. Masuda, Y. (1980). The information society as post-industrial society. Washington, DC: World Future Society. May, C. (2002). The information society: A skeptical view. Cambridge, MA: Polity Press. Mosco, V., & Wasko, J. (Eds.). (1998). The political economy of information. Madison, WI: The University of Wisconsin Press. Osborne, D., & Gaebler, T. (1992). Reinventing government: How the entrepreneurial spirit is transforming the public sector. New York, NY: Plume Books. Pavlichev, A., & Garson, D. (Eds.). (2004). Digital government: Principles and best practices. London, UK: Ideas Group Inc.

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Sassen, S. (Ed.). (2002). Global networks, linked cities. New York, NY: Routledge. Snellen, I. T. M., & van de Donk, W. B. H. J. (Eds.). (1998). Public administration in an information age: A handbook. Informatization Developments and the Public Sector. Amsterdam, The Netherlands: IOS Press. Steinfield, C., & Salvaggio, J. L. (1995). The information society: Economic, social and structural issues. Mahwah, NJ: Lawrence Erlbaum Associates, Inc. Van Dijk, J. (2006). The network society: Social aspects of new media. London, UK: Sage Publications, Ltd. Webster, F. (1995). Theories of the information society. London, UK: Routledge.

KEY TERMS AND DEFINITIONS Civic Engagement: Exercising the rights and obligations pertinent to democratic participation. Development Management: A philosophy of management applicable to addressing development challenges. Digital Inclusion: Having access to the resources and power to engage in electronically mediated actions and participate in public cyberspace. e-Development: Social or economic value creation through advances in ICT diffusion, sophistication, access, and usage. e-Governance: Electronically mediated engagement between government and citizens in pursuit of development. Public Policy: The explicit governmental directions required to achieve development goals. Social Inclusion: Having access to the resources and the power required to take action for social well-being. Universal Household Broadband Internet Service: Affordable broadband services for effective household Internet usage.

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ENDNOTES 1



2



3

A legal system of racial discrimination, segregation and minority rule Approximately USD70 per month The local municipalities are Merafong, Randfontein, Kungwini, Nokeng, Westonaria,

4



5



6



Lesedi, Emfuleni and the metropolitan municipality is Ekurhuleni. Approximately USD67 per month at an exchange rate of 7.5ZAR to 1USD Unmediated consultations with communities at face-to-face gatherings Short message service over a mobile phone channel

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Chapter 14

Implications of e-Government in Botswana in the Realm of e-Participation: Case of Francistown Vako Mbako University of Botswana, Botswana Kelvin Joseph Bwalya University of Johannesburg, Center of Knowledge & Information Management, South Africa Tanya Du Plessis University of Johannesburg, Center of Knowledge & Information Management, South Africa Chris Rensleigh University of Johannesburg, Center of Knowledge & Information Management, South Africa

ABSTRACT Countries the world over have drawn e-Government interventions placing much emphasis on erecting affluent ICT infrastructures, institutional, legal, and regulatory frameworks. However, most of these interventions lack carefully-drawn e-Government awareness strategies, which translates into most of these interventions being typically unknown by the general public and causing low e-Participation. This chapter presents the novel interventions that are being authored towards robust e-Government development for Botswana where e-Government development is at the very intial stages. Using exploratory and empirical study of Francistown and surrounding rural areas, the chapter presents a critical analysis of the state of e-Government preparedness and further presents the current status of e-Government adoption in Botswana. This study establishes that whilst many e-Government strategies are being authored in Botswana, the e-Participation component has not been adequately considered in drawing the different e-Government interventions. This is negatively impacting on the overall anticipated value prepositions for e-Government implementation.

DOI: 10.4018/978-1-4666-0116-1.ch014

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Implications of e-Government in Botswana in the Realm of e-Participation

INTRODUCTION Governments throughout the world are mandated with decision-making, managing the different national resources and coordinating the socio-economic business processes on behalf of the general citizenry. Recently, there has been a paradigm shift where this decision-making, management and coordination is done with input from citizens, businesses, and the civil society at large. This participatory governance is being made possible with the use of information and communication technologies (ICTs), a phenomenon called electronic government (e-Government). There have generally been no commonly-agreed upon definition of e-Government and several authors have attempted to define it strictly with reference to their domains. Although e-Government is often defined as “online government” or “Internet-based government”, many non-Internet “electronic government” technologies such as telephone, fax, short message service (SMS), multimedia messaging service (MMS), wireless networks, Bluetooth, television and radio-based delivery of government services can be used in the context of e-Government (Antiroiko and Malkia, 2006; Heeks, 2004; Ngulube, 2007). Implementation of e-Government centers on the use of ICT, provision of an efficient public service, and promotion of participatory/responsive decision/policy-making. E-Government facilitates the reaping of maximum advantage and value out of ICTs to support socio-economical and political development with a view to improve the quality of public services, and provide an avenue for citizens to interact with government institutions and processes in a democratic, transparent and equitable manner (Ngulube, 2007). It cannot be overemphasized that proper use of e-Government applications offers a plethora of socio-economic development opportunities. Fuller utilization (applying for government services such as passports, accessing policy and law documents, taking advantage of interactive platforms and

forums to communicate with political leaders, accessing government services anywhere, anytime, etc.) of e-Government may potentially create value on the part of the citizen. This entails that citizens can collaboratively participate in decision/policy making through the use of ICTs (e-Participation). Further, implementation of e-Government enables citizens and businesses to access information and services (such as accessing business opportunities in the public sector, utilization of e-Procurement channels, etc.) in a faster and efficient manner. This may change people’s general perception on government which has been that governments are complex, mammoth bureaucratic establishments with a set of information silos that erect barriers to access of information and make the provision of services cumbersome and frustrating (Coleman, 2006). Apart from the general benefits of e-Government mentioned above, it is a well known fact that it can also result in huge cost savings to governments, businesses, and citizens alike; increase transparency and reduce corrupt activities in public service delivery. e-Government has the potential to reduce the cost of providing efficient public services as demonstrated in the following cases: a) with a total volume of over US$44bn transactions done over the G2B Korean e-Government platform1, a total of US$4.5bn cost savings were realised in 2006; b) in India, US$3.6bn worth of e-Procurement transactions were done using the Indian e-Government platform, resulting into cost savings of over US$238.2mln in 2005, c) in Brazil, 51% savings in transaction costs and 25.5.% reduction in prices were realised during a period from the year 2000 to 2006, and d) in Romania, 650000 electronic auctions were done between the year 2002 and 2006 inclusive, resulting into cost savings of over US$178mln. Not only in cost savings, e-Government may also reduce corruption levels as presented in a large portion of e-Government literature in an anecdotal perspective. However, several concrete cases have demonstrated that eGovernment does contribute to the reduction of

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Implications of e-Government in Botswana in the Realm of e-Participation

corruption to a greater or lesser extent as presented in the following cases: a) South Korea’s Seoul Metropolitan’s online procedures enhancement for civil applications (OPEN -) project, and South Korea’s Government e-Procurement System (GePS) have been extensively utilised as anti-corruption platforms (Iqbal, & Seo, 2008). b) In India, the impact assessment of five e-Government projects was conducted and this resulted in reduction in the percentage of transactions involving bribes (Bhatnagar, Rao, Singh, Vaidya, & Mandal, 2007). c) In another e-Government strategy impact assessment in India, departments dealing with passport computerization showed increases in bribes while the ministry of corporate affairs’ computerizations showed signs of reduction in bribes (NeGP Report, 2007). d) Pathak and Prasad (2006) analyzed nine e-Government initiatives in India and arrived at a conclusion that e-Government is effective in reducing corruption or eliminating it altogether. Also, from a study by Csaki and Gelleri (2005), effective use of decision support systems which can be embedded into e-Government applications, in public procurement systems (G2B e-Government) can limit the damaging effects of corruption, and e) Kumar and Best (2006) posit that village Internet facilities enable villagers in India to participate in obtaining agriculture services such as recommended prices of their agriculture produce on the market. Bhatnaga, S. (2003) has ascertained that in addition to low probability of discovery, and perceived immunity against corruption, secrecy in government, restrictions imposed on access to information resources by the general citizenry, including ill defined/complex and excessive rules, procedures and regulations leading to low chances of being discovery are the major factors that support growth of corruption. These cases presented here are just some of the many cases that demonstrate the importance of e-Government applications on the socio-economic setup of any given location. Having realized these different benefits that proper implementation of e-Government has to

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offer, Botswana has started putting in place deliberate policies and initiatives that delve for the proliferation of future e-Government applications. As e-Government applications either fail or succeed (Bwalya, 2010; Finger & Pecaud, 2003), it is important a proper e-Government strategy is in place, and the different factors that may contribute to either success or failure are known before the actual full-scale implementation is undertaken. In this regard, it is important to note that the hallmark of citizens’ perception on e-Government applications lies on the trust of the information and channels through which e-Government is provided; and the general democratic culture in a given country. Botswana is a good democracy and the citizens have trust in their leaders because most of the government business processes are done on public platforms and transparency is the order of the day (Lekorwe et al., 2001). There are a couple of e-Government initiatives underway in Botswana: erecting of a dedicated radial (Kgalagadi) fibre network and government data network (GDN), subscription to regional submarine cable systems (such as EASSy and South Atlantic-3/West African Submarine Cable, SAT-3/ WASC), putting in place sound institutional, legal and regulatory frameworks (such as the establishment of the Botswana Telecommunications Authority), and setting up of an e-Government task force (mandated with driving the e-Government agenda). These initiatives call for massive monitory, technical and strategic investments which could otherwise be allocated to other national development initiatives. Investments in ICTs make sense when these bring about e-Inclusion (use of ICTs as a common platform where information can be accessed and individuals regarded as equals regardless of social or economic status) which further matures and transcends into socioeconomic inclusiveness of all individuals, even marginal ones (individuals who are disadvantaged in one way or the other either socially such as the physically challenged, or economically such as the unemployed).

Implications of e-Government in Botswana in the Realm of e-Participation

Are the e-Government initiatives worth it considering that the ICT infrastructure in Botswana may not be that developed to accord the different stakeholders such as line ministries and government departments a seamless integration of services and interactive access of government files/forms? Are aforesaid interventions valueless prepositions? What is the current adoption status (technological buy-ins?) of e-Government services by individuals and businesses? Is the phenomenon of e-Government bringing interaction amongst government departments, citizens and businesses? These questions provide a guideline of how e-Government should be assessed in Botswana and this chapter attempts to answer some of these questions. Using extensive document/publications reviews, surveys, and some interviews with subject matter experts from the Botswana e-Government office, this chapter presents an exploratory and empirical study that aims to answer some of the questions outlined above. Specifically, it outlines the adoption status of ICTs to access public service delivery by both individuals and/or businesses. The chapter also presents interventions and challenges that have been met in as far as driving this e-Government agenda is concerned. The study was done in Francistown (the second city of Botswana) and the surrounding villages within a radius of 30 kilometers (Shashe, Tati siding, Gerald estate, Chadibe, Shashe mooke, Mathangwane and Matshelagabedi). This chapter is timely as it presents lessons that are being learnt in setting up and consolidating e-Government initiatives from a developing country’s perspective. In addition, this chapter aims to test the following hypothetical assertions: 1. The implementation of e-Government in Botswana will result into efficient communication channels amongst the government, citizens and businesses; improve public service delivery; and avoid social exclusion from the governance hierarchy.

2. Formulation of a citizen-centered e-Government adoption model will guide the implementation of e-Government to encourage speedy adoption of e-Government by citizens in Botswana. 3. Successful implementation of e-Government in Botswana will enable the benefits of eGovernment to track down to the citizens at the community level. This chapter is arranged as follows: the next section presents the background section that presents the theoretical and technical underpinnings of e-Government implementation. Thereafter, an exploratory section detailing the different e-Government interventions in Botswana is presented. Then, empirical findings of the study done in Francistown are presented, together with the analysis of the current e-Government adoption in Botswana and some recommendations for future works. The chapter concludes by outlining the conclusion of the study.

BACKGROUND This section is divided into two sub-sections providing theoretical and practical foundations of e-Government.

A. The e-Government Phenomenon The Internet, coupled with massive adoption of ICTs world over positions e-Government as a type of application that cannot be ignored. This culminates from the fact that the growth of the Internet has had a transformational effect on the global society, making information and services accessible in ways that were not conceived, let alone imagined, just some 30 years ago (Napoli et. al., 2000). Further, the use of the Internet and Web tools for supporting participatory actions in legislative processes, political or societal decisionmaking in governmental or communities’ context,

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but also user friendly e-Government services is becoming a common practice. E-Government and e-Governance are in most of the times used interchangeably. E-Government, together with e-Administration and e-Governance, is the final result of the digitization process of public service delivery systems (Michel. 2005). Backus (2001) referred to e-Government as the transformation of the business of the government; including processes, operations, and transactions; which are driven primarily by effective use of ICTs. Finger and Pecaud (2003) posit that e-Government brings about socio-economic development opportunities by opening up new channels and platforms for accessing government, and contemporary systems for organising and managing information and public services. Bedi et al. (2001) has defined e-Governance as “a government structure which is efficient and effective and is duly controlled by the citizens” through the use of ICTs. E-Governance cannot exist if there is no e-Participation (the use of ICTs by citizens’ involvement in different e-Government applications) as distinct to e-Government which can exist by the mere existence of platforms and channels that make it possible for ICTs to be used n the government business processes. Other institutions have defined e-Government and eGovernance as follows: The World Bank2 has defined e-Government as “the use by government agencies of information technologies (such as Wide Area Networks, the Internet, and mobile computing) that have the ability to transform relations with citizens, businesses, and other arms of government. These technologies can serve a variety of different ends: better delivery of government services to citizens, improved interactions with business and industry, citizen empowerment through access to information, or more efficient government management. The resulting benefits can be less corruption, increased transparency, greater convenience, revenue growth, and/or cost reductions.”

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Further, the US e-Government Act of 2002 (Section 3601)3 defines e-Government to mean “the use by the Government of web-based Internet applications and other information technologies, combined with processes that implement these technologies, to(A) Enhance the access to and delivery of Government information and services to the public, other agencies, and other Government entities; or (B) Bring about improvements in Government operations that may include effectiveness, efficiency, service quality, or transformation”. UNESCO4 has defined e-Governance as ...the exercise of political, economic and administrative authority in the management of a country’s affairs, including citizens’ articulation of their interests and exercise of their legal rights and obligations. E-Governance may be understood as the performance of this governance via the electronic medium in order to facilitate an efficient, speedy and transparent process of disseminating information to the public, and other agencies, and for performing government administration activities. Some of the common differences between the characteristics of e-Government and e-Governance can be shown in Table1. Precisely, e-Government entails ICT usage to promote responsive government and encompasses such characteristics as electronic workflow, electronic voting (e-Voting), electronic service delivery which correspondingly culminates into increased electronic productivity. Distinctly, eGovernance entails the procedural aspects of eGovernment and brings forth the societal synthesis of government policies and developmental programmes, thereof. E-Governance entails the processes that bring about participation in the

Implications of e-Government in Botswana in the Realm of e-Participation

Table 1. Distinction between e-government and e-governance e-Government

e-Governance

ICT superstructure and institutional approach to public service delivery systems using ICTs

System functionality and performance

Rules and roles in public service delivery frameworks

Business processes for public service delivery

Implementation

Electronic consultation (e-Consultation)

Electronic productivity (e-Productivity)

Electronic participation (e-Participation)

Electronic voting (e-Voting)

Coordination of public service delivery systems

Electronic workflow

Goals and outcomes

government processes using ICTs (e-Participation). Some of the characteristics of the e-Governance phenomenon are the following: electronic consultation (e-Consultation), electronic controllership (e-Controllership), electronic engagement (e-Engagement), and networked societal guidance. There are different types of e-Government applications meant to provide automation and streamlining of government business processes so that efficiency and accountability are maximized and ordinary transaction costs in public service delivery are minimised. The following paragraph discusses the different types of eGovernment applications. Government-to-Citizens (G2C) applications allow interaction between the government and its citizens in a setup where citizens are given chance to effectively participate in the governance protocols and influence the direction of policy using ICTs. The major cornerstone of G2C applications is information symmetry between the government and its citizens. From the government’s side, citizens can be able to access basic services such as application for passports, license renewals, agriculture services, acquiring of marriage/ birth/death certificates, applying for government schemes, income taxes, and information on basic public services such as health care, libraries, hospital information, and education. Government-toBusinesses (G2B) allows interaction between the government and different business establishments. This enables the business community to partici-

pate in policy formation and to be abreast with government information such as memos, policies, rules and regulations. Businesses can also benefit from this arrangement because they can download business registration forms, obtain permits, renew business licenses and pay taxes. G2B also involves e-Procurement, which is a government dispensation for the exchange and purchase of goods and services. E-Procurement makes the bidding process for government projects transparent and aims not to leave room for corruption practices. This is one way in which e-Government contributes to reducing corrupting in the public service delivery networks. Correspondingly, e-Procurement enables cost savings on the part of the government as there are no middlemen or agents in the procuring process. Government-toGovernment (G2G) enables different government line ministries and agencies to seamless integrate, thereby culminating into faster and efficient public service delivery and transparency. G2G also provides an ICT platform for governments from different countries to collaborate and exchange ideas on developmental issues. When used in this way, G2G is used as an application for international relations and diplomacy. Effective e-Government implementation demands that the internal systems and procedures which allow collaboration amongst different government departments be strengthened before electronic transactions with citizens and businesses can be successful (Bwalya and Healy, 2010). There is

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Implications of e-Government in Botswana in the Realm of e-Participation

also the Government-to-Employees (G2E) model which aims to place the public service human resource base at a competitive advantage so that affluent service delivery is achievable. With this platform, government provides human resource training so that employees are abreast with their professions. This mode also allows interaction between the government and the employees so that employees can access employment opportunities, can be conversant with their scope of work, employee welfare schemes, rules and regulations and articulation of the desired public service work culture. G2E platforms also promote collaboration amongst the different employees and can be used as an e-Learning platform.

As indicated above, the benefits of e-Government can be so massive that this has motivated many governments the world over to employ ICTs in most of their governance systems. Almarabeh & AbuAli (2010) have provided a tentative list on the major areas where e-Government is implemented as shown in Table 2. These different areas of e-Government will eventually culminate into improving public service delivery for the different government departments. Table 2 has shown that e-Government can be used in socio-economic and governance value chains to simplify the overall government business and bureaucratic processes. For these different benefits of e-Government to be retrieved, there is need that the necessary prerequisites such as

Table 2. Areas under the ambit of e-Government Sector Governance

Economic

Social

e-Government benefit or focus Core business

Workflow Management, finances, personnel, documentation, records, information, knowledge, internal communication, executive information and decision making.

Transparency

E-Procurement, government portal, on-line availability of laws, regulations.

Participation

On-line petitions, notices, comments, citizen’s network, publication of election results, e-mails to parliamentarians.

Revenue general

Taxation, custom, fee information and management.

Financial management

Budget planning, accounting, expenditure, investment, payroll and other information.

Resources management

Geographic and natural resources information and management, land/ property/dwelling management, urban planning, development planning.

Business management

Enterprise registration, investment, technology and technology transfer information, patent information, market information, statistical analysis, economic forecasting, laws or regulations.

Social services

Civil applications, civil registrations, land and property registrations, personal identification documents, social security, vehicle registration.

Education and culture

Digital libraries, community information centers, education institutions – information and management.

Health

Distant medicine and prescription services, hospital information and appointment, blood availability reports, health insurance reimbursements, direct settlement.

Public safety

Crime information, drug monitoring and control, prison information and management, transportation information and management, natural disaster forecasting and management.

Natural environment

Natural environment information management, weather forecasting.

(Source: partly adapted from Almarabeh & AbuAli, 2010)

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Application

Implications of e-Government in Botswana in the Realm of e-Participation

affluent ICT backbone infrastructure; sound institutional, legal and regulatory frameworks; effective awareness campaigns leading to increased e-Participation, are in place. An environment with such kind of attributes will make sure that there is acceptable adoption and usage of ICTs in the government realm. The implementation of eGovernment passes through a set of distinct steps before most of the benefits of e-Government implementation can be amassed. According to Bhatnaga (2003: 2), the first entry point of eGovernment implementation is a step where information about services is published on a Website according the generally citizenry an opportunity to interact with the site to download application forms for a variety of public services. In most of the cases, the next stage involves the use of ICT in “the actual delivery of service such as filing a tax return, renewing a license, etc”. After that, a fully integrated e-Government approach is going to involve more sophisticated applications such as processing of on-line payments. These different stages of e-Government development are modeled by a variety of eGovernment maturity models. The following section discusses some of the most common eGovernment maturity models.

B. E-Government Maturity Models The most generic model of e-Government ‘metamorphosis’ has been given by Michel (2005) who has identified three different levels of e-Government service provision. In the first level, “customers” are at the centre of all the e-Government initiatives. The primary motive of governments in this stage is to increase citizen satisfaction by increasing efficiency in the public service delivery systems. The second level enables governments to deploy such techniques as electronic voting which enables citizens to rate their acceptance levels of government’s policies and overall management of a nation’s socio-economic resources. In the third level, citizens are not only looked at as spectators

nor only customers for public services or only inert actors who should be submitting to the political will, but also as active agents who are taking part in the decision and policy-making processes. These three levels are the conceptual levels of contemporary e-Government phenomenon and are the cardinal and desired characteristics of all e-Government applications. Implementation of e-Government follows some distinct phases as outlined in different maturity models of e-Government. The maturity models details the steps and processes that need to be followed when e-Government initiatives are being implemented. Some of the common e-Government maturity levels are the Layne and Lee four-stage (catalogue, transaction, vertical integration, horizontal integration) model; the Delloite’s six stage (information publishing/dissemination, ‘official’ two-way transaction, multi-purpose portals, portal personalization) model, Deloitte & Touche (2001); the World Bank three stage (publishing, interactivity, completing transaction) model, World Bank (2003); United Nations five stage (emerging presence, enhanced presence, interactive presence, transactional presence, networked) model; the West’s four stage (billboard, partial service delivery, full integrated service delivery, interactive democracy with public outreach and accountability) model; Gartner (Web presence, interaction, transaction, transformation) model, Baum and Di Maio, (2000); Asia Pacific six stage (Setting up an email system and internal network, enabling inter-organizational and public access to information, allowing 2-way communication, allowing exchange of value, digital democracy, Joined-up government) model; Accenture five stage (Online presence, Basic capability, Service availability, Mature delivery, Service transformation) model; Chandler and Emanuel’s three stage (information, interaction, transaction) model; Howard’s three stage (publishing, interaction, transaction) model, Horward (2009); Hiller and Blanger’s five stage (Information dissemination, Two-way communication, Service and financial

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Implications of e-Government in Botswana in the Realm of e-Participation

transaction, Vertical and horizontal integration, Political participation) model, Hiller and Blanger (2001); Moon five stage (Simple information dissemination (one-way communication, Two-way communication (request and response, Service and financial transaction, Vertical and horizontal integration, Political participation) model, Moon (2002); and the Public Sector Process Rebuilding (Cultivation, extension, Maturity, Revolutionary) as an extension of the 2001 Layne and Lee model, Andersen and Henriksen (2006). The Public Sector Process Rebuilding (PPR) Model) was proposed by PPR takes the customer centric approach whereas Layne and Lee model puts more emphasis on technological capability. Comparison of these different models reveals that these models can work with appropriate consideration to the local context where e-Government is implemented. The different models discussed were implemented in different areas worldwide thereby being subjected to the local conditions of these different areas. This is to say that there

is no global or optimal e-Government maturity model amongst the existing e-Government maturity models. These models give a guideline as to what issues any e-Government strategy should concentrate on at any stage of the e-Government maturity level. Table 3 shows characteristics of the different e-Government maturity models. All the above mentioned adoption models may be used to assess the penetration of e-Government in Botswana and chat a way forward on how future e-Government endeavors should be pursued. However, when using the Hiller and Blanger model, it is fair to classify the e-Government status in Botswana as being at the stage of information. This is because an e-Government portal, www.gov.bw, is available allowing users to access information on different government departments. This governmental portal acts as a central store to accessing information from other government line ministries and departments. However, most of the ministries do not have their own websites. When one clicks on the link to a particular gov-

Table 3. Characteristics of different adoption models Name of Adoption Model

Stages involved

Major characteristics

West

Four-stages (billboard, partial service delivery, full integrated service delivery, interactive democracy with public outreach and accountability)

Functionality and citizen-centric; fair consideration to both technical and non-technical security attributes.

Asia Pacific

Six-stages (publishing, interaction, transaction)

Focuses on citizen-centric and functionality together the potential impact on e-Government applications which can be brought about by sudden political changes. Model does not succinctly consider security issues (Wescott, 2009).

Chandler and Emanuel’s

Three-stages (information, interaction, transaction)

Ascertaining the functionality and whether e-Government applications are citizen-centric; consideration given to security aspects of the applications. Considers sudden political changes on the e-Government environment (Chandler & Emanuels, 2002).

Howard

Three-stages (information, interaction, transaction)

Maintains acceptable functionality of e-Government application and doesn’t ignore the issue of citizen-centric applications. It does not consider the adverse effects, potential benefits of political changes or any non-technical issues of e-Government applications (Howard, 2009).

Hiller and Blanger

five-stages (Information dissemination, Two-way communication, Service and financial transaction, Vertical and horizontal integration, Political participation)

Enables citizens to participate in politics through online voting (e-Voting) and e-Forums.

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ernment department, a new page opens within the government portal. In this regard, the portal is mostly utilized as an information dissemination platform, providing static information to a variety of users. Interactivity of the users with the content provided on this Website is however not developed as of yet. The limitation of the presented models is that they do not give consideration to any security-related issues including those which are no-technical. Note that security is only given at the financial transaction stage (Moon, 2002).

E-GOVERNMENT IN BOTSWANA A. Exploratory Study To ascertain the level of e-Government penetration, we explore the current status of ICT adoption and e-Readiness in Botswana. The overall e-Government Interventions and status have been benchmarked against the criteria suggested by Almarabeh and AbuAli (2010). Coupled with other e-Government metrics, e-Readiness is used as a precondition for successful e-Government development. Effective e-Government cannot be realized in an environment which is not e-Ready as e-Readiness is one of the preliminary requirements for e-Government applications. The e-Readiness parameters for Botswana are shown in Table 4.

Generally, Botswana shows an acceptable ICT infrastructure preparedness. Fibre optic technology is actively being installed: such as the Tlokweng fibre optic system which acts as a relay network to handle traffic to South Africa; and the Trans-Kgalagadi fibre optical cable system which connects with the Namibian fibre optic system. In the capital city, a government wide network (GWN) has been implemented for service integration amongst government departments and line ministries. On the legal, regulatory and institutional framework front, the Botswana government and co-operating partners have established the Botswana Telecommunication Authority (under the Telecommunications Act, No. 15 of 1996) and the Botswana Telecommunications Corporation (under the BTC Act of 1980, as amended in 1996). An e-Government team has also been put in place to come up with the e-Government strategy and drive the e-Government agenda. All these initiatives are costing millions in US dollars and this shows the direct commitment of the government in making sure that ICT is used in many socioeconomic frameworks. The obvious lacking eReadiness component in Botswana is the low Internet users as depicted in Table 3. This means that e-Participation is very low and, assuming all public services were to be offered through the Internet, less than 5 out of 100 people could be reached. Although this is the case, the Botswana

Table 4. E-readiness parameters for Botswana Rank

Country

Index Value

Estimated Internet users per 100 inhabitants

Main fixed telephone lines per 100 inhabitants

Mobile subscribers per 100 inhabitants

Personal computers per 100 inhabitants

Total fixed broadband per 100 inhabitants

111

Algeria

0.1248

10.34

9.06

81.41

1.07

0.85

112

Namibia

0.1219

5.33

6.61

49.39

23.94

0.01

121

Botswana

0.1081

4.16

7.41

77.34

4.83

0.19

153

Zambia

0.0427

5.55

0.72

28.04

1.12

0.04

156

Cameroon

0.0411

2.93

1.04

32.28

1.12

0.00

↓

↓

(Source: UN e-Government survey, 2010)

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government has actively been experimenting with the use of ICTs in its service delivery systems for over a decade now. However, a dedicated eGovernment strategy has been lacking and hence not many people have benefited from any eGovernment endeavors currently being promoted. Against this background, it then becomes imperative that there is need to understand the overall perceptions of e-Government applications.

B. Problems/Current Status of e-Government in Africa Realizing the e-Government brings about many benefits such as improving power relations between the politicians (and the government at large) and the general citizenry, most African countries have started pursuing e-Government implementation. Although almost everywhere in Africa it can be shown that the level of adoption of ICTs, and correspondingly e-Participation, is still very low, most countries do not want to pay the opportunity cost that comes from shunning away from e-Government. Countries in the forefront in as far as e-Government implementation is concerned are Mauritius, South Africa, and Egypt. Other countries such as Botswana, Uganda, Tanzania, Namibia, Nigeria, and Kenya have also started drawing e-Government development plans. All these countries have at least a government portal as an entry point to accessing government information. Two-way communication (interactivity brought about by dynamic Web content) is missing even amongst the leaders of e-Government implementation in Africa. The rest of the countries are mostly at the ICT policy development levels. The following paragraphs give a snapshot view of overall e-Government development in selected African countries. Mauritius is the leader of e-Government Readiness and implementation on the African continent (UN e-Government survey, 2010). Its strength lies in its implementation of an integrated Web portal, www.gov.mu, allowing an array of sophisticated

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transaction-based services to static information to different e-Government stakeholders and users; and a relatively high Human Development Index (0.800) and an adult literacy rate of 84.4%. Mauritius’s e-Government has steadily developed because of government’s desire to transform it into a Cyber island and transcend towards putting in place an information-based society where interactive platforms are readily available for citizens and businesses to readily interact with the government (e-Government Initiatives, 2005) Some of the e-Government projects implemented have been the Contribution Network Project (CNP) which is a Government-to-Business (G2B) initiative of the Ministry of Finance. The CNP allows large employers to pay tax electronically. In 2001, the e-Government Task Force was set up to spearhead the e-Government mandate in Mauritius. E-Government Initiatives (2005) details the specific initiatives that were implemented in a bid to promote e-Government as follows: set up of the Government Online Centre (GOC) infrastructure at the Ebene Cybercity; Unveiling of e-Government Master Plan for the Civil service and set up of the Government Web Portal; appointment of Chief Information Officers (CIO) within individual ministries; set up of a Central IT Committee (CITC) at the Prime Minister’s Office; and set up of a CIO Council. To account for appropriate change management initiatives, a training programme targeting 5000 civil servants was set up in 2002 to provide the necessary ITrelated training; introduced the e-Government Interoperability Framework which sets out the technical policies and specifications to achieve interoperability and information coherence across the public service. South Africa (SA) is one of the countries that has also achieved some considerable strides in utilizing ICTs in its public service platforms. With the successful hosting of the World Cup 2010, it is anticipated that more robust and appropriate ICT infrastructures have further been put in place. These are correspondingly going to contribute

Implications of e-Government in Botswana in the Realm of e-Participation

towards encouraging faster adoption of ICTs. Some of the notable e-Government initiatives are the e-Filling that is used by the Southern African Revenue Service – SARS5; the Cape Gateway portal presented in three languages – English, Afrikaans and iXhosa6 offers transparency in public service delivery by offering all government information online; and the Judicial Inspectorate of Prisons, the South African Department of Correctional Services7, and the Home Affairs National Information System (HANIS) where citizens can access birth and death registration forms online (The e-Business Handbook, 2005). Commitments have been shown by co-operating partners such as the government and the private sector to transform SA into an information society. Some of the notable initiatives have been the Electronic Communications and Transactions Act of 2002 which came up with an e-Strategy especially hinged on developing a world class telecommunications infrastructure; and the putting together of a presidential National Council on ICTs directly answerable to the president. All the e-Government interventions and vision are entrenched onto SA’s Vision 2014 (e-Gov News Oct/Nov 2002).

C. Empirical Study To probe whether these different interventions are transcending into appropriate value prepositions, an empirical study was conducted in Francistown and surrounding areas. The study aimed to understand the different implications of e-Government implementation in Botswana and whether there was adequate participation in government value chains to translate into effective e-Participation. The study specifically considered the influence of rural/urban residence, ICT infrastructure, and education level as driving factors on e-Government adoption. To explore the argument of the possible implications e-Government has on an individual in Botswana, questionnaires were distributed

to 206 citizens and informal and open-ended interviews were conducted with two officials from the Botswana e-Government office who are engaged in e-Government research, initiation and policy making. 175 responses were received. After eliminating incomplete responses, the researcher selected 163 usable responses as the sample giving a response rate of 79.1%. The participants were selected randomly from different socio-economic strata in Francistown and surrounding areas as long as they have attained a certain level of education and are ICT literate and are at a stage where they can be potential e-Government customers. This was done because it is understood that e-Government users and/or customers lie at the center of e-Government implementation as they are the active agents, and correspondingly enablers of various e-Government value prepositions. After the questionnaire was designed, a pilot testing was done using six randomly selected representatives. This was done in order to improve the questions and to test respondents’ comprehension and clarity of questions before a whole lot of questions were distributed on a large scale. The questionnaire compromised 13 questions, unambiguous and easy for respondents to complete. Some of the questions were open ended type questions while others used the original measurement scales for perceived usefulness and perceived ease of use included four levels in the Likert scale. Each item of the closed ended questions was measured on a four-point Likert scale with end points of “strongly agree” (4) and “strongly disagree” (1). The questions were designed in a manner that they will at the end address the aims and objective of the study, capture the individuals knowledge on e-Government and mainly the possible implications that individual will or are experiencing. Before the questionnaire was given to a potential respondent, the term e-Government was thoroughly explained so that each participant answers with the same understanding. The following charts represent the demography of the sample population that was used in

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Implications of e-Government in Botswana in the Realm of e-Participation

Figure 1. Age range and educational level of respondents

answering the questionnaire. As seen below, the sample represents the age range and educational level of respondents. Research participants were given a chance to articulate their expectations on what government should do to promote proliferation of e-Government in Botswana. The research probed the availability of ICT platforms within their reach which can have an impact on overall e-Government

adoptions. Also, they were asked to indicate what they think are the major factors that influence e-Government implementation and adoption. The questionnaire asked the participants on different items of e-Government by classifying these items verbatim on a scale of 1 to 5, 5 being ‘strongly disagree’ and 1 being ‘strongly agree’. The results of the different responses is shown in table 5.

Table 5. Empirical survey Probed parameter

e-Government aspect probed

Count

Corresponding Mean Score on the Likert scale*

Usability

The e-Government portal is easier and friendly to use?

163

3.95

E-Government: what it is?

Familiarity with the term e-Government and able to define what e-Government is.

147

2.96

Availability of ICT platforms

Access to basic ICT gadgets for access of e-Government applications.

123

1.79

Opportunity cost

Is e-Government worth it considering how expensive e-Government projects are?

162

3.23

e-Government adoption

Frequency use of e-Government in everyday life.

162

2.90

e-Government awareness campaigns

Effectiveness of government campaigns to promote e-Government?

160

1.95

Security and trust

Protection of the user in the e-Government environment.

126

0.74

Overall benefits

Implementation of e-Government will enable citizens to participate in government processes, lead too social inclusion, and enable efficient public service delivery.

163

2.82

*(Scale: 1 = strongly disagree, to 5 = strongly agree)

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As mentioned, a different set of questions were given to the participants to test their basic knowledge of e-Government. Generally, villagers unlike city dwellers had shown ignorance of what is happening in as far as e-Government is concerned because of lack of adequate ICT infrastructure in the country areas and the technological divide between country and city areas. To start with, before the respondents were to answer the rest of the questionnaire, the first question asked the respondents if they were familiar with the term e-Government. Only 53.8% of the respondents responded as yes to the question. From the demographic information presented above, it could be seen that most of the respondents have a tertiary background therefore they might be having an idea of what the term means. Age wise, most respondents were between 22 and 26 years followed by 27 to 31 years. The second question was about how the respondents understand e-Government; the question was made open to allow the respondents to state their views. Only 51.9% of the respondents responded to the question, their thoughts where different but in the end the responses led to the following, i) the use of the Internet by the government to interact with its citizens and businesses, ii) a shift to digitalization (automation) and lastly iii) a move towards a world driven by technological means were the use of Internet and computers will be highly valued. With regard to improving public service delivery, 32.7% of the respondents strongly agreed that e-Government generally improves public service delivery whereas 42.3% of respondents opted to barely agree that e-Government does improve service delivery. On the other hand, 15.4% of respondents disagreed while the remaining 9.6% of respondents chose to strongly disagree. The assumption here is that those who chose to disagree might be from the country side where they do not have the necessary tools to access these services. The other reason might be that, even though certain processes and actions can

be performed online the issue of timely reaction often remains a problem. Derived from the respondents’ reasons the general response seems to be that an entire different era is ahead where almost everything will be conducted online. A paperless society will soon be possible and this will mean there will be heavy reliance on the Internet for communication, business transaction, services and the way information will be disseminated. The respondents were asked what the impact of digitization of government business processes would be on the gap between the country and city dwellers. The research showed that 48.1% of respondents strongly agreed while 38.5% of respondents opted to agree with the fact that e-Literacy will be popular among city and country dwellers. On the other hand, 13.5% of the respondents showed a tendency to disagree. This entails that the gap will widen between the country and city dwellers in as far as accessing public services is concerned as the former does not have adequate ICT infrastructure and ICT access points as compared to the latter. On whether the implementation of e-Government has brought about any noticeable positive change in public service delivery, 13.5% of respondents strongly agreed and 5.8% of respondents barely agreed. Of the respondents, 48.1% disagreed that there is no difference while the remaining 32.7% of respondents strongly disagreed. Follow-up snap-shot questions to this revealed that despite introducing e-Government, there still remain long queues at service-provision departments such as the Department of Roads and Transport. This was attributed to the fact that citizens can download the forms from the Botswana government website (www.gov.bw), and complete it, but citizens still have to take it manually to the department for submission. This brings us to the fact that the current e-Government portal may not be as interactive as desired. The next question asked respondents to list some of the benefits of e-Government. Only

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51.9% of respondents responded to the question. Of those who responded to the question, the following benefits surfaced, i) efficient and cost effective on the side of the individual basically looking at the time taken, ii) improvement in service delivery by the government, iii) access to current information and lastly, iv) transparency within the government. Approximately two years have passed since the project of e-Government was launched, therefore the question that was presented for the respondents was that, do they as individuals, think the government has done enough to disseminate information that has lead to the individuals being familiarized with what e-Government is and what it has install for them. A total of 72.7% of respondents responded to this question with most answers being given as no, and some respondents explained their reasoning. Those who explained, indicated that, i) people residing in the country side knows little about it, ii) people are not proficient in IT services and, iii) the government usually does little to make citizens aware of its services. The questionnaire also gave a list of probable benefits of e-Government applications. The respondents identified the following as the major possible uses of e-Government applications: Retrieval of current information on government policies, laws and other relevant decisions; platform for online voting (e-Democracy); buying and selling of goods and services (e-Commerce); meaningful interaction platform for individuals and the government; and ICT platform for responsive decision and/or policy-making. Some of the respondents indicated that e-Government can improve information management processing and will create synthesis within different government departments. Since e-Government involves a shift to automation, it means that most of the middle men will be reduced. In response to the question “Does this mean that the middle men will be eliminated?”, 21.2% of the respondents strongly agreed with the 63.5% of respondents who agreed. Surprisingly none of the respondents

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opted to strongly disagree and only a few, 15.4% disagreed with the motion. Those who chose to disagree might be right in the sense that most of the time there is need for someone who will demonstrate how to do things, give advice on who to see and basically being there at the help desk for additional information and assistance to individuals. The research investigated whether digitization was likely to widen the gap between the country and city dwellers by rendering most of the country dwellers digitally isolated and therefore socially excluded. It is true that there is a high possibility that this might be the case because city dwellers presumably have better access to information communication tools compared to their country counterparts. The discussions with workers in the e-Government office of Botswana indicated that the ICT infrastructure in country areas of Botswana is not developed. This entails that even though e-Government is being promoted, there is chance that country dwellers will benefit less from this initiative compared with their city counterparts. The government of Botswana has taken the implementation of e-Government with keen interest. For example, the Kgalagadi fund has been established to contribute in ICT infrastructure development, and a substantial amount of money has been pledged. Respondents were asked whether the implementation of e-Government in government departments results in a positive change in the way public services are delivered. According to the responses obtained, only 13.5% of respondents strongly agreed while 5.8% of respondents nominally agreed as shown in Figure 2. The responses further showed that 48.1% of the respondents disagreed thereby indicating that irrespective of the use of ICTs by government departments, they did not experience an improvement in public service delivery. The remaining 32.7% of respondents strongly disagreed that there is some improvement in service delivery when ICTs are utilized. It is worth noting that there seems to be strong criticism

Implications of e-Government in Botswana in the Realm of e-Participation

Figure 2. Responses towards whether citizens benefit from e-Government or not

of the value of e-Government implementation in Francistown looking at the responses as illustrated in Figure 2 above. This might be due to the poor services that the citizens are still experiencing, for example, long queues at the department of roads and transport and the national registration office. The last question required respondents to indicate if recession, lack of infrastructure and resources like skilled personnel are among the major factors that lead to poor implementation of e-Government. In answer to this question, 50% of the respondents strongly agreed to those factors while an additional 40.1% of the respondents agreed that these factors are the major barriers to e-Government. However, the responses obtained show that no respondents chose to strongly disagree and only about 9.6% of the respondents chose to disagree. Technology is dynamic therefore people generally would want to keep abreast with its pace so that they can be able to perform optimally and benefit from the IT applications on their digital devices. Responses to the last question presented to respondents revealed that those born in the digital era will benefit more than those before them. Some of the responses from the questionnaires are the following, i) those born into the digital era are have ICTs as part of their lifestyle, so they will benefit more, ii) those born before the digital era face many challenges in adopting ICTs in their

everyday lives as compared to those who will be born when ICTs are used in major socio-economic sectors, iii) others think that the adoption of ICTs depend on individual factors as individuals have choices whether to accept or reject ICTs. It can be inferred from this empirical study that there are no adequate e-Government awareness campaigns, and that e-Government implementation is at its very first stage of development in Botswana. This has resulted in having a weaker demand side of e-Government applications. ICT platforms through which individuals can access e-Government applications are not readily available and this presents a huge challenge to e-Government implementation efforts. The study has also outlined the fact that the supply side of e-Government in Botswana is to some extend developed as there are many interventions that have been put in place especially at the policy level. The existing or current e-Government portal needs to be developed so that citizens can interact with the e-Government contents in a convenient manner.

FUTURE RESEARCH DIRECTIONS Despite the fact that in Botswana, e-Government implementation is at the very first stage (pilotphase, to be specific), there is hope that proliferation of e-Government implementations may

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be achieved in Botswana in the near future. The government of Botswana and other co-operating partners should be commended for the affluent e-Government interventions that are being put in place. Some of these interventions include the putting in place of an e-Government task-force team mandated with developing an e-Government strategy for Botswana, erecting appropriate ICT infrastructures, establishing enabling institutional, legal and regulatory frameworks, etc. Despite this being a good start in the promotion of eGovernment, it is still premature to ascertain that all is well with e-Government implementation in Botswana unless the e-Government strategy is appropriately implemented with proper monitoring and evaluation of interventions at each stage of the implementation process. Once the different reasons that influence people’s involvement or shunning away from e-Government are understood (looking at the empirical results from this study with references to other studies that have focused on e-Government adoption in developing countries), the next step would be to develop a conceptual e-Government adoption model. This adoption model should correspondingly be subjected to empirical testing for validation before it could be adopted to guide e-Government strategic and monitoring interventions. This then may be incorporated into a robust and an appropriate e-Government adoption model for Botswana. Other future research should be devoted towards investigating how Botswana can take advantage of its higher mobile penetration to transcend towards implementing a blended approach of e-Government (also involving mobile government (m-Government)). This would reach most of the people who may not have access to traditional Internet but have access to mobile devises such as mobile phones. Viability of a paradigm, model, implementation issues of proposed programs, etc., may be included in this section. If appropriate, suggest future research opportunities within the domain of the topic. 292

CONCLUSION This chapter has looked at the status of e-Government implementation in Francistown. It has looked at the information access divides between the rural and urban communities. The chapter has outlined the background of the e-Government interventions in Botswana, the e-Government phenomenon, value prepositions of e-Government implementation, the current status of Botswana’s e-Readiness status, and the role of e-Participation in facilitating the proliferation of e-Government implementation. The empirical study presented in this chapter has shown that there is limited level of e-Government adoption by individuals in Botswana. This is because most citizens who participated in this research did not even know what e-Government is, let alone its existence. Many citizens’ lack of knowledge of e-Government existence indicates that there are no adequate e-Government awareness campaigns in place. For those citizens who knew of existence of e-Government implementation in Botswana, most were found to have limited requisite ICT skills to engage and thrive in e-Government applications. Also, there is generally limited availability of resources such as telecommunications lines, computers, the Internet (especially in rural areas). The research participants identified the following factors as the ones responsible for limitation of e-Government proliferation in Botswana: lack of adequate funds to appropriately implement eGovernment programmes, poor road networks to most rural areas which has prevented ICT vendors to make available to rural areas any ICT products, lack of ready availability of ICT platforms through which the Internet can be accessed, ignorance of e-Government platforms and applications, and high costs to access ICTs by the rural populations who in most cases have no jobs. The other reason preventing people’s engagement in e-Government has been attributed by the local culture which is not very susceptible to enveloping new cultures. Although most young individuals look at ICT as

Implications of e-Government in Botswana in the Realm of e-Participation

a new wave in civilization, the older generation has not been very keen to accept this wave. Out of the results from the empirical study, it is evident that the following are some of the recommendations to consider for e-Government implementation to be a success in Botswana: A. There should be massive awareness campaigns to the citizens on the importance of e-Government applications, that is why it is important that information that is disseminated to citizens must reach individuals in the right format (right media, example, the radio as it is the one that has a wide coverage) and in the right package (language, it should be noted that language is one of the major barrier to most things including eGovernment because people have no interest if they cannot read or let alone understand). Further, these awareness campaigns should take into consideration the different disabilities (visual impairments, limitation in ICT skills, etc.) that citizens may have. B. Educate citizens so that they can be ICT literate in order for them to be encouraged to utilize ICTs in their bid to interact with the government. To achieve this not only does information need to be disseminated to people but also, demonstrations need to be done because learning is best acquired through visualization as compared to listening. C. To encourage e-Participation, robust and relevant ICT infrastructure must be put in place. Through the successful implementation of Nteletsa 2 (Community ICT project) this can be achieved as about 197 villages around Botswana will have access to telecommunications infrastructure which will allow the Internet to be accessed by everyone. It is a fact that lack of ICTs mainly in rural areas is the major driving force towards the digital divide between rural settlers and town settlers, which on the other hand has widened

the e-literacy rate between the two. It might easily be mistakenly concluded that town dwellers are more receptive to technology than rural dwellers, but this is made so by a small element of culture, rural dwellers still value their traditional social norms of charting, interacting and doing things. For them to be receptive to change, a carefully designed approach should be used to induce that change. This list of recommendations is not exhaustive as more factors influencing citizens to either engage or not in e-government implementations can be unveiled through extensive national eGovernment readiness study. This current study, however, has highlighted the extent of development of the demand side of applications with limited participants.

REFERENCES Almarabeh, T., & AbuAli, A. (2010). A general framework for e-government: definition maturity challenges, opportunities, and success. from http://www.eurojournals.com/ejsr.htm. European Journal of Scientific Research, 39(1), 29–42. Retrieved June 7, 2010 Andersen, K. V., & Henriksen, H. Z. (2006). E-government maturity models: extension of the Layne and Lee model. Government Information Quarterly, 23(2), 236–248. doi:10.1016/j. giq.2005.11.008 Anttiroiko, A.-V., & Malkia, M. (Eds.). (2006). Encyclopedia of digital government. Hershey, PA: Idea Group Reference (IGI) Publishing. Backus, M. (2001). E-Governance in developing countries. Research Brief No.1. London, UK: McGraw Hill. Baum, C., & Maio, D. (2000). Gartner’s four phases of e-government model. Gartner’s group.

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Bedi, A. S., Manda, D. K., Nafula, N. N., & Kimalu, P. K. (2001). Primary school enrolment in Kenya. Draft KIPPRA Discussion Paper. Bwalya, K. J., & Healy, M. (2010). Harnessing e-government adoption in the SADC region: A conceptual underpinning. Electronic Journal of E-Government, 8(1), 23–32. Chandler, S., & Emanuels, S. (2002). Transformation not automation, (pp. 91-102). Paper presented at the 2nd European Conference on e-Government, St Catherine’s College Oxford, UK. Coleman, S. (2006). African e-governance – Opportunities and challenges. University of Oxford, Univ. Press. Deloitte &Touche. (2001). The citizen as customer. CMA Management, 74(10), 58. E-Gov News. (2006). e-Government in South Africa. E-Government Initiatives. (2004). E-government initiatives 2000 – 2004. Retrieved October 3, 2010, from http://www.gov.mu/portal/ goc/telecomit/ files/ e-gov%20initiatives.pdf Finger, F., & Pecaud, G. (2003). From e-government to e-governance. In D. Remenyi & F. Bannister (Eds.), Proceedings of the 3rd European Conference on e-Government, Dublin. Heeks, R. (2004). E-government for development basic definitions page. Retrieved May 25, 2009, from http://www.egov4dev.org/ egovdefn.hml Hiller, J. S., & Bélanger, F. (2001). Privacy strategies for electronic government. In Abramson, M. A., & Means, G. E. (Eds.), E-Government 2001 (pp. 162–198). Lanham, MD: Rowman & Littlefield Publishers. Howard, M. (2009). E-government across the globe: How will ‘e’change government?Retrieved.

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Lekorwe, M., Molomo, M., Molefe, W., & Moseki, K. (2001). Public attitudes toward democracy, governance and economic development in Botswana. Afrobarometer Paper No.14 March 26, 2009, from http://www.gfoa.org/services/gfr/ archives/2001/08/gfr0801.pdf. Michel, H. (2005). E-administration, e-government, e-governance and the learning city: A typology of citizenship management using ICTs. The Electronic Journal of E-Government, 3(4), 213–218. Moon, M. J. (2002). The evolution of e-government among municipalities: Rhetoric or reality? Public Administration Review, 62(4), 424–433. doi:10.1111/0033-3352.00196 Napoli, J., Ewing, M. T., & Pitt, L. F. (2000). Factors affecting the adoption of the Internet in the public sector. Journal of Nonprofit & Public Sector Marketing, 7, 77–88. doi:10.1300/J054v07n04_07 Ngulube, P. (2007). The nature and accessibility of e-government in Sub Saharan Africa. International Review of Information Ethics (IRIE), 7. Retrieved June 7, 2010, from www.ejeg.com. The e-Business Handbook. (2005). The 2005 review of innovation at work in South African business. An IT web informatica Publication. Cape Town, South Africa: Creda Communication (Pty) Ltd. UN e-Government Survey (2010). Leveraging e-government at a time of financial and economic crisis. Retrieved October 4, 2010, from http://unpan1.un.org/intradoc/ groups/public/documents/ UN-dpadm/unpan038853.pdf Wescott, C. G. (2009). E-government in the AsiaPacific region. Retrieved April 5, 2010, from http:// www.adb.org/documents/papers/ e_government/ egovernment.pdf.

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World Bank. (2003). Issue note. E-government and the World Bank. World Bank. (2003). World development indicators. Retrieved January 10, 2009, from http:// www.worldbank.org/ data/wdi2003

ADDITIONAL READING Eddowes, L. A. (2004). The application of methodologies in e-government. Electronic Journal of e-Government, 2(2), 115–126. Retrieved August 6, 2010, from http://www.ejeg.com/volume-2/ volume2-issue2/ v2-i2-eddowes-pp115-126.pdf Fang, Z. (2002). E-government in digital era: Concept, practice, and development. International Journal of the Computer, the Internet and Management, 10(2), 1 – 22. National e-Strategies. (2010). National e-strategies for development global status and perspectives 2010. Retrieved August 20, 2010, from http:// www.itu.int/wsis/implementation/ 2010/forum/ geneva/docs/ publications/e-strat-flyer.pdf

KEY TERMS AND DEFINITIONS Democracy: Practicing of democratic principles using ICTs to provide an interaction platform between parliamentarians and citizens. Through e-Democracy, citizens are accorded a chance to participate in decision-making, electronic voting (e-Voting) and how to address other public challenges. E-Government: Is a platform through which the government (government line ministries, branches and organs) interacts with its citizens and business entities for the sake of exchange of information, public services and participatory democracy through the use of ICT platforms.

E-Participation: The willingness and actual use of ICTs by individuals regardless of their socio-economic status. ICT: This acronym stands for information and communications infrastructure. ICT Infrastructure: It encompasses all the devices, networks, protocols and procedures that are employed in the telecoms or information technology fields to foster interaction amongst different stakeholders. Francistown: The second largest city in Botswana sitting at the border with Zimbabwe. SADC: This acronym stands for Southern African Development Community – is a regional socio-economic grouping of countries in the Southern African region.

ENDNOTES 1



2



3



4



7 5 6

For informatiopn on this section, please refer to the following sites: www.g2b. go.kr, http://www.pps.go.kr/english/, http:// ccaharyana.gov.in/e-procurement.htm, http://www.relogiodaeconomi.sp.gov.br/ br/home_results.asp, http://www.mcti.ro/ index.php?id=28&L=1&lege=1289 S o u r c e : h t t p : / / g o . w o r l d b a n k . o rg / M1JHE0Z280 (Retrieved June 03, 2010) Source: ‘E-Government Act of 2002; http://frwebgate.access.gpo.gov/cgi-bin/ getdoc.cgi?dbname=107_cong_public_ laws&docid=f:publ347.107.pdf (Retrieved June 03, 2010) Source: http://portal.unesco.org/ci/en/ ev.php-URL_ID=4404&URL_DO=DO_ TOPIC&URL_SECTION=201.html (Retrieved June 03, 2010) www.sars.gov.za/home.asp?pid=340 http://www.capegateway.gov.za/eng (http://judicialinsp.pwv.gov.za/Annualreports/annual2000.asp

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Chapter 15

Impact of Internet Use on Civic Engagement in Chinese Rural Areas: A Preliminary Research Jian-Chuan Zhang Northern Illinois University, USA Ying Qin China Internet Network Information Center, China

ABSTRACT Few prior studies have addressed the political impact of the Internet on civic engagement in rural areas. This preliminary study aims to explore the connection between Internet use and civic engagement of rural Internet users. Based on the surveys implemented by the China Internet Network Information Center (CNNIC), the authors find that using the Internet does enhance the level of civic engagement among rural Internet users in China. However, better use of the Internet faces some obstacles, too. They are the young age of rural users and the limited Net bandwidth. Implications of these obstacles are discussed. The chapter concludes that, under certain circumstances, there is great potential for Chinese rural Internet users to become more actively engaged in public affairs in the future.

INTRODUCTION The Internet, an interactive and enabling peerto-peer information and communication technology (ICT), has proven to be an invaluable communication means that continues to change the conduct of public life (Bimber, 1998, 2003; DOI: 10.4018/978-1-4666-0116-1.ch015

Chadwick, 2003). In addition, what economists call the positive externalities of technology might also be a significant contributor to the broader public interest. Numerous speculations have emerged about the impact of Internet use on civic engagement in the populace (Katz & Rice, 2002; Macintosh & Stephen, 2003; Norris, 2001). The idealistic speculations see the Internet as

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Impact of Internet Use on Civic Engagement in Chinese Rural Areas

strengthening civil society and democratic politics more generally as it expands the opportunities for communication and mobilization. Besides, the worldwide efforts to deploy the Internet in the public sector (digital or electronic government) and the explosion of political information on the web mean that the Internet has already become an important resource for civic information and a significant platform for civic engagement and participation. For example, among those of the 191 United Nations member states, 179 interact with citizens via e-government portals (United Nations Online Network of Public Administration and Finance [UNPAN], 2006). Thus, how to engage citizens online to improve governance and facilitate the democratic citizenship has become one of the key challenges for the proponents of e-government in specific and e-citizenship more broadly (Mossberger, Tolbert, & McNeal, 2008; Pratchett & Krimmer, 2005; Welch, Hinnant, & Moon, 2005; West, 2007; Yildiz, 2007). However, few discussions have mentioned the impact of Internet use on rural civic engagement. This absence may not be a big problem for developed countries, since the disparity between the urban and rural areas is no longer significant in these countries after decades of industrialization and urbanization. Nevertheless, this is not the case for many developing countries. In fact, there is a consensus in the international community that the arrival of broadband Internet constitutes a critical take-off point in a rural community’s path to economic and social development in less developed countries (International Telecommunication Union, 2009). Even in the United States, recognizing that ICTs play a critical role in expanding business and education opportunities as well as enhancing the competitiveness of the nation’s small towns and rural communities, the Obama administration has decided to inject $6 billion into the rural broadband internet project through the American Recovery and Reinvestment Act of 2009 (White House, 2009). Unfortunately, these recent efforts focus more on economic and

development dimensions rather than being concerned with the impact of Internet use on civic engagement in rural areas. This study is intended to fill the void. In light of the survey data provided by the China Internet Network Information Center (CNNIC), the leading Internet research organization in China, we have the opportunity to explore whether Internet use among rural people has an impact on their engagement in public affairs preliminarily. We believe China’s case has peculiar implications not only because China is characterized as a country with a starling urban-rural gap, but also because this country is known for operating possibly the most sophisticated Internet censoring and monitoring system in the world (Cherry, 2005). Such control can translate into an imagined surveillance force, forcing Internet users into self-censorship (Harwit & Clark, 2001), and the consequence of which may be a widespread indifference to public affairs. The absolute control over the Internet has also created a popular image that Chinese Internet users can do nothing but play. Nevertheless, this misleading image may ignore the real struggles of Internet users in China (Yang, 2009). We assume that the impact of the access to the Internet among the rural users deserves a careful examination. The popular image mentioned above may be reinforced by the unfavorable conditions in which farmers live. Historically, the agricultural industry and its workers (i.e., farmers or villagers) have existed under extremely unfavorable conditions compared to their urban counterparts. Although China has experienced an exponential economic growth over the past three decades, the development of the farming industry and rural communities has lagged far behind the economic expansion. While farmers account for roughly three-quarters (or 0.8 billion) of the total population in China, they have primarily been working as cheap laborers to contribute to the economic growth. Generally, the rural-urban migrant workers are permitted only in the lowest wage, lowest skill, and least pleasant urban jobs that are not

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wanted by urban residents (Knight, Song, & Jia, 1999). In other words, the majority of the rural population has not shared the benefits generated from the economic development. The frightening disparity has emerged as such a serious obstacle to the sustainable development and social justice that observers believe China will collapse if nothing is changed (Dreyer, 2004; Shirk, 2007). Since the 1990s, the Chinese government began to pay special attention to the Three Agrarian Issues (TAIs)—a nationwide drive in addressing the developmental issues regarding agriculture, rural communities, and farmers. Specifically, between 2004 and 2010, the Party’s central committee and the state council have consecutively issued seven “No. 1 Documents” 1 that highlight the importance of the TAIs in the construction of a “harmonious society” 2 and aim to bridge the rural–urban gap. The improvement of the rural communication infrastructure and information services, known as Village Informatization Program (VIP), 3 is an important and integral part of these efforts. Although VIP is meant to facilitate both IT access and IT applications in rural communities, it in fact lacks a consistent and explicit objective and regulatory regime (Xia, 2010). The fragmented and obscure nature of the program hinders the realization of some expected goals responding to the TAIs. Meanwhile, the Internet has undergone an impressive development in China since the connectivity was officially established in 1994. In that year, there were only about 10,000 Internet users (Yang, 2003). However, just after fourteen years, the number of web sites in China has reached 1.9 million and the number of Internet users has reached 253 million by July 2008. China thus jumped ahead of the U.S. to become the world’s largest Internet user community (CNNIC, 2008a). These developments contribute to the emergence of a new virtual public space in China. Seeing the rapid expansion, some scholars have been interested in assessing the impact of the Internet use on civic engagement in China (Jiang &

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Xu, 2009; Yang, 2003). However, most of these studies focus on the component analysis or the functional discussion of the role of the Internet (e.g., analyzing the components of governmental web sites and discussing the function of one specific Internet application, say an online forum, to draw a conclusion of whether Internet use is able to advance democracy or civic engagement). Few, if not all, have employed the research from a user’s perspective. Having found that most of the existing literature on e-government pays limited attention to citizens’ perspective, Dimitrova and Chen (2006) provide a conceptual framework combining both the supply and demand sides of e-government to analyze the impact of the Internet on civic engagement. The key point here is that the supply side simply refers to the possibility of engaging citizens, while the demand side can really denote citizens’ demand to interact with government online and their perceptions towards the real effect of the web portals. Similarly, Norris (2005) has developed the political market model as a theoretic perspective to understand the impact of the knowledge society on democracy. In this account, the impact of the knowledge society depends upon the interaction between the “supply” side—political information and communications made available via the Internet from political institutions—and the “demand” side—the use of information and communications about politics among the online public. This study will explore the influence of Internet use on civic engagement in China from the perspective of the users who are dwelling in rural areas, including their features and perceptions of Internet use.

BACKGROUND In a broad sense, civic engagement refers to “the participation of individual citizens in the association of civil and political society” (Brint & Levy, 1999, p. 164). It should be understood

Impact of Internet Use on Civic Engagement in Chinese Rural Areas

as a multifaceted concept, consisting of political knowledge, political discussion, and political interest (Mossberger et al., 2008). While civic engagement is at the heart of republican virtue, there is no single widely agreed definition for this concept (Adler & Goggin, 2005). How the term is defined depends on the perspective and interests of the definer. Putnam (2000) uses the term civic engagement quite broadly. Since his primary interest is in studying social capital, the term is used to refer to the entire gamut of activities that build up social capital. Therefore, his definition includes both formal and informal social activities, as well as community and political participation. Diller (2001) emphasizes the participation in voluntary service of the local community, either by an individual working independently or as a participant in a group. Hollister (2002), on the other hand, stresses the importance of one’s collaboration or intensively joint activity with others in pursuing community issues through work in all sectors. However, Cooper (2005) reminds us that it is necessary to distinguish civic engagement from citizen participation. In Cooper’s opinion, civic engagement means people develop civic identity, involve people in governance processes, and participate together for deliberation and collective action within varieties of interests, institutions, and networks. By contrast, citizen participation, a term mainly used several decades ago, usually means the programs contrived by government to provide opportunities for citizens to have input into the policy-making process. Carpini (2006) adopts this framework by defining political participation as individual and collective actions designed to identify and address public issues through institutions of the polity. For them, civic engagement seems to be a bottom-up process where the grassroots users can get involved, which is different from the top-down process imposed by government. Hence, civic engagement contains more initiatives from the citizens and pays more attention to their collaboration and deliberation.

Some existing research has demonstrated a positive link between Internet use and participation, such as citizen-initiated contact with government (Bimber, 1999; Thomas & Streib, 2003) and voter turnout (Institute for Politics, Democracy & the Internet, 2004; Tolbert & McNeal, 2003). However, according to Mossberger et al. (2008), civic engagement may help to explain the findings on political participation only if the link between Internet use and participation is accompanied by enhanced engagement. There are conflicting accounts of the impact of the Internet use on civic engagement (and social capital more generally). Many studies on this topic found that once researchers controlled for the educational background and income level, Internet users became indistinguishable from nonusers on civic engagement measures (Bimber, 1999; Pew Research Center for the People and the Press, 2009; Putnam, 2000). In other words, due in part to the “digital divide” factors, such as the differential access to the Internet and the preexisting resources and skills, the people with more beneficiary status and resources will simply adopt the Internet as another tool. As a result, the Internet could exaggerate the existing inequalities in terms of civic engagement (Margolis & Resnick, 2000). Like Margolis and Resnick conclude, “the Net is now and will continue to be a boon to those who already have an active and sustained interest in public affairs, but there is little evidence that the Internet by itself will increase the attentive public” (2000, p. 212). Other skeptics view the Internet as a depoliticizing medium. Just as television should be responsible for the decline of some forms of civic engagement, the Internet has been judged as suspect for potentially deflecting people from social connections and civic engagement (Putnam, 2000). After all, when facing such diversified Internet applications, why should ordinary people choose the Internet to enrich their civic lives? When the Internet has gradually become a social and occupational medium, as well as a shopping and entertainment platform, it may even exacerbate

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this bleak trend. Similarly, Garson (2003) criticizes that shortcomings of Internet use in public sector nowadays prevents the dream of advancing authentic public participation from happening. On the other hand, a growing body of literature on the importance of information access through Internet in civic engagement provides some evidence of the positive connection between these two issues. For instance, drawing on a fifteen-year panel data, Jennings and Zeitner (2003) find that the Internet use does magnify civic engagement. In this process, however, those who have been engaged in public affairs before the rise of the Internet are more likely to use the new technology to follow or engage in public affairs. In addition, Price and Cappella (2002) report that online political discussions increase civic engagement and general community participation. The participants of online political discussion during the 2000 election are more politically interested and knowledgeable and more likely to report increased social trust than those non-participants. Mossberger et al. (2008) confirm that the use of online news promotes and encourages civic engagement.

DATA, METHODOLOGY, AND MAIN FINDINGS Introduction to Data and Methodology The data used in this article come from the surveys conducted by the China Internet Network Information (CNNIC). Authorized by the competent ministry of Chinese central government, CNNIC is responsible for systematically collecting and analyzing the information with respect to the access condition, web applications, and Internet users’ behaviors in China. Since 1998, CNNIC has consecutively published the Statistical Report on the Internet Development in China twice a year. It began to mine the data about the rural

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Internet users from these original surveys from 2006 and published the specific survey reports on the Internet development in China’s rural areas. Without specific notification, all the figures and tables hereinafter used in this article are drawn from the data contained in these specific reports (CNNIC, 2007, 2008b, 2009, 2010). Simply to say, CNNIC’s survey is rest on a set of sampling processes in which the interviewers do telephone interviews with the assistance of a standard questionnaire. 4 The sample consists of two groups in mainland China (Hong Kong, Macau, and Taiwan are not included): one is the population with fixed-line telephones and the other is the population with cell phones but no residential telephones. Due to the dramatic development of the telecommunication industry, CNNIC’s research team assumes that the individuals with neither type of phone include only a very small portion of the whole population. Moreover, this portion of population is not online at all, and thus will not be counted as the target population. A two-stage stratified random sampling is employed for the fixed-line telephone users. To begin with, the population is divided into 31 segments (strata) since there are totally 31 provinces (or autonomous regions, or provinciallevel municipalities. All of them will be referred to as “province(s)” in the remaining part of the article) in China. Within each province, every city or county is selected and the sample size is decided by the ratio of the telephone numbers in the city or county to the provincial ones. Within each city or county, the interviewing telephone number is chosen by random-digit dialing (RDD). The interviewer conducts the survey with the assistance of Computer Assisted Telephone Interviewing System (CATI). To take the sample of cell phone users, each province’s size is decided by the ratio of the provincial cell phone numbers to the national ones. Then the respondents’ cell phone numbers are randomly chosen by RDD within each province. Taking into consideration both the accuracy of sample size and the cost of

Impact of Internet Use on Civic Engagement in Chinese Rural Areas

the survey, a typical survey generally consists of 15000 fixed-line telephone users and 15000 cell phone users as the sample.

Features of Chinese Rural Internet Users As Figure 1 and Figure 2 indicate, there exists huge gap between rural and urban areas with regard to the size of Internet users in both the absolute number and the penetration rate. Meanwhile, China

has witnessed a startling increase of rural Internet users over the last five years (see Figure 3). Table 1 summarizes the demographic characteristics of the rural Internet users. From the table, we can find that the majority of Internet users in rural area are young (under 19 years old) male students with relatively low education and monthly income levels. Looking at the information contained in Table 2, it is not surprising to find that two of the top three online activities for rural Internet users are

Figure 1. The size of Internet users in urban and rural areas respectively

Figure 2. Penetration rate of Internet users 5

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Impact of Internet Use on Civic Engagement in Chinese Rural Areas

Figure 3. Growth rate of Internet users

entertainment-orientated (particularly the online games) when comparing with their urban counterparts. Urban users tend to use the Internet more to acquire information and conducting business/ transactions. Although it is hard to say that the

latter types of applications are more “advanced” than the former ones, the tendency of using Internet for amusement among the rural users does not help eliminate the existing gap between them and the urban users. In addition, it seems like the

Table 1. The demographic characteristics of rural Internet users Demographic Sex

Urban 52.7%

58.0%

Female

47.3%

42.0%

Total Age

100.0%

100.0%

=60

2.3%

0.8%

100.0%

100.0%

Primary school and below

7.3%

12.6%

Middle school

21.9%

39.5%

High school or equivalent vocational education

41.5%

36.6%

Three-year college degree

14.3%

6.7%

Undergraduate

13.6%

4.3%

Graduate and above

1.4%

0.2%

100.0%

100.0%

Total Education

Total

Rural

Male

continued on following page 302

Impact of Internet Use on Civic Engagement in Chinese Rural Areas

Table 1. Continued Demographic Employment

Urban Student in school

27.4%

32.3%

Government or quasi-government

8.9%

3.8%

Corporation/Enterprise Manager

3.8%

1.3%

General staff in corporation/enterprise

16.6%

10.6%

Researchers or Engineers

10.9%

9.1%

migrant workers

1.7%

4.0%

Non-technical labor and manual workers

4.4%

4.6%

Employers of individual enterprise or self-employed entrepreneurs

13.1%

12.9%

Agriculture sector

1.1%

7.2%

Retired

2.7%

0.4%

Unemployed

8.5%

13.1%

Other

0.8%

0.8%

Total Individual Income per Month

Rural

100.0%

100.0%

Zero

9.0%

12.6%

under 500

15.6%

24.3%

501~1000

13.8%

16.5%

1001~1500

13.4%

14.8%

1501~2000

14.1%

11.6%

2001~3000

16.9%

11.6%

3001~5000

10.9%

5.3%

5001~8000

3.2%

1.5%

Above 8000

3.2%

1.9%

100.0%

100.0%

Total

urban users are likely to use the Internet as a new means to reinforce their existing social and economic advantages.

Main Findings and Discussions Besides the objective information showed above, CNNIC’s analysts are also interested in understanding the rural users’ subjective feelings or evaluations towards use of the Internet. They compare six subjective feelings between urban and rural Internet users and find that three of them are given higher recognition by rural users. These three higher perceptions include using the Internet as social networking tool, the feeling of social isolation, and enhanced social participation,

respectively (see Table 3). Except for the feeling of isolation, the other two perceptions indicate that the expansion of Internet use in rural areas actually creates two unexpected results. One is the significant increase in users’ perception of civic engagement. Rural Internet users have demonstrated a higher percentage of positive attitudes towards the perceived civic engagement than the urban users. On the one hand, 44.5% of rural users view the Internet as the primary channel to give voices, while 40.9% of urban users believe so; on the other hand, 77.6% of rural users believe that using the Internet makes them become more attentive to social events as compared to 76.6% of urban users. The other unexpected result is the higher percentage among the rural Internet users

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Impact of Internet Use on Civic Engagement in Chinese Rural Areas

Table 2. Popularity of Web applications among urban and rural Internet users in 2009 (growth rate is compared with that of 2008) Applications

Urban

Rural

Disparity (ruralurban)

Annual Growth Rate (rural)

Annual Growth Rate (urban)

Music

83.8%

82.7%

-1%

29.2%

28.4%

News

82.8%

72.4%

-10.3%

33.2%

30.6%

Games

68.6%

69.9%

1.3%

47.5%

39.4%

IM

71.9%

68.2%

-3.7%

21.3%

21.2%

Search Engine

75.9%

66.5%

-9.4%

43.3%

37.5%

Videos

64.5%

57.3%

-7.2%

19.9%

18.6%

Blogging

58.4%

55.5%

-2.9%

45.1%

33.8%

E-mail

61.0%

44.6%

-16.4%

25.1%

28.7%

Novels

42.7%

41.2%

-1.6%

—

—

Social Networking

47.9%

41.0%

-6.9%

—

—

Forum/BBS

32.9%

23.3%

-9.6%

48.0%

21.9%

Shopping

31.7%

17.6%

-14.1%

44.7%

44.6%

Banking

27.7%

15.2%

-12.5%

103.2%

55.1%

Payment

27.7%

15.1%

-12.6%

101.7%

72.3%

Speculating in Stocks

16.9%

8.5%

-8.4%

153.7%

54.8%

Booking & Reserving

9.4%

3.3%

-6.1%

60.2%

80.2%

Table 3. Subjective feelings towards Internet use (CNNIC, 2009) Categories Assistance to Daily Life

Information Channel

Social Networking Tool

Social Isolation Online Trust and Security Social Participation/ Civic Engagement

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Wordings of the Feelings

Agreed by Urban Users

Agreed by Rural Users

Total

I cannot work and study normally without the Internet.

39.6%

37.3%

39.0%

My leisure time will become very boring without the Internet.

59.6%

57.9%

59.1%

Online service reduces the inconvenience of on-site service.

70.5%

66.0%

69.3%

Generally, I first get to know the important news through the Internet.

63.4%

57.5%

61.8%

I first go to the Internet to get solutions when I have problems.

67.3%

57.5%

64.6%

I make many new friends through the Internet.

62.9%

72.5%

65.4%

The Internet intensifies my connections with my friends.

81.7%

84.9%

82.5%

I feel lonelier in the age of the Internet.

19.2%

22.1%

19.9%

The Internet reduces the time I stay with my family.

28.5%

30.6%

29.0%

I often provide real information when registering online.

48.2%

45.7%

47.5%

I believe online transactions are safe enough.

29.3%

22.9%

27.6%

The Internet is the primary channel to voice my opinions.

40.9%

44.5%

41.9%

I become more attentive to the social events after using the Internet.

76.6%

77.6%

76.9%

Impact of Internet Use on Civic Engagement in Chinese Rural Areas

who hold positive attitudes towards the Internet as a useful social networking tool. The networks of friends through the Internet can be viewed as a facilitating factor that enhances civic engagement further (this point will be discussed in detail later). It is noteworthy that the term social participation (strictly literal translation) rather than civic engagement is used in CNNIC’s surveys. It is not only because the meaning of “participation” and that of “engagement” have no difference in Chinese, but also because it is a wise strategy to implement the surveys. As mentioned before, the term “civic” is more politically sensitive under the contemporary political context in China. On the contrary, the word “social” sounds more neutral. In fact, the wordings in the questionnaire that the researchers use to describe “social participation” convey the meaning of “civic engagement.” Two wordings are quoted as follows: (1) The Internet is the primary channel to voice my opinions; (2) I have become more attentive to social events after using the Internet. The higher perception of civic engagement among rural Internet users is unexpected or surprising since it seems to contradict with the historical background and conventional wisdom. As mentioned before, Chinese farmers or peasants have been historically living under so disadvantaged conditions that they should be more easily sensitive to agriculture-related information such as the rural policies, technologies and marketing that are rarely found in the traditional mass media. Some of rural users may hope to voice their needs through the Internet as a new channel, but the severe Internet control forbids it from happening. In fact, the VIP in rural communities focuses on the economic dimension (improving farmers’ living condition to ease the potential resentment), rather than the political dimension (making them become more active in civic engagement). That explains why most of the observers believe that the Internet in China just represents an effective means to bring sub-national level of government under greater scrutiny and control by the central

government as well as to reinforce the monopoly control over the government-citizen relationship (Harwi & Clark, 2001; Seifert & Chung, 2009). Therefore, from the perspective of conventional wisdom, it seems to be unsurprising that online entertainment has become so popular among the rural users. However, the findings challenge one of the skeptical views regarding the role of the Internet in civic engagement. That is, people will become indifferent to the civic affairs because of Internet use. The findings match Yang’s (2003) observation that the Internet has given rise to online critical debate and thus facilitated the articulation of social problems. The findings also demonstrate the potential key role of the Internet in Chinese politics. Through Internet use, citizens may become better informed about and more engaged in public affairs. In this process, Chinese rural Internet users demonstrate more enthusiasm and courage towards civic engagement. Another two figures (under the category of Social Networking Tool) in Table 3 also match and even support these findings. One is the percentage of rural users who recognize that the Internet is very helpful in making new friends, and the other is the percentage of rural users who believe the Internet intensifies the connections with friends. Although we do not obtain direct evidence from the surveys that the intensified interactions with friends will facilitate civic engagement, we do believe it is not just a coincidence that the rural users with a higher perception of civic engagement also have a higher perception of social networking tool. A reasonable deduction can be made that networks of friends will foster similar political knowledge and interest when they discuss or debate the public events with common interests. This deduction gets support from studies on Internet use in China. Studies observe that Internet use is positively related with online network size and in favor of constructing citizen groups (Shen, Wang, Guo, & Guo, 2009; Yang, 2003). An empirical study in the U.S. (Pew Research Center for the People

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Impact of Internet Use on Civic Engagement in Chinese Rural Areas

and the Press, 2009) also supports the above deduction. According to Pew’s researchers, forms of civic engagement anchored in blogs and social networking sites can alter long-standing patterns that are based on socioeconomic status.

The Obstacles to Better Internet User and Implications Unfortunately, the data above also demonstrates two features that may become obstacles to facilitating civic engagement. First, as Table 2 shows, except for the online news, the entertainmentorientated activities, including online music (downloading and listening) and online games, serve as the most popular online activities among rural Internet users. Moreover, the percentage of rural users playing online games overtakes that of urban users. Although online entertainment might be the stepping stone for farmers or villagers to start the Internet tour, the high percentage of simply using the Internet to watch movies, listen to music, or play games will surely prohibit rural Internet users from trying more useful or beneficial applications that may improve their social-economic status. The most valuable web applications for rural users to bridge the gap from their urban counterparts include, but is not limited to, information searching, job hunting, performing online transaction, and participating online forums, etc. Without these value-added applications, the Internet is only a new media that simply reinforces the existing disparity among Internet users with respect to their social and economic status. The overreliance on entertainment is closely related to the younger age of rural Internet users. Among the 84.6 million farmer users, around 29.1 million (34.4%) are under the age of 19. The number of juvenile users doubled within only one year from the end of 2007 to the end of 2008. In addition, 81.6% of these young rural users are students. Limited by their age and life experiences, these teenagers tend to be easily addicted to playing online games rather than showing interests in public affairs. Furthermore, Internet bars are their first 306

choice to surf the net (CNNIC, 2009; 2010). Since there is no regulation on what services should be provided, numerous Internet bars tend to primarily provide entertainment-orientated services in order to please their customers, which in turn enhances their commitment to online amusement. Nevertheless, the dominant young rural Internet users may be an encouraging profile too, as it promises a stronger likelihood that the impact of the Internet will keep growing in the future. The second possible obstacle is the limited Net bandwidth in rural areas. As Figure 4 indicates, the percentage of broadband users in rural areas is 82%, around 12 percent lower than their urban counterparts. However, the number of narrowband users in rural areas is roughly 12 percent higher than urban Internet users. Fortunately, most of the rural narrowband users in China access the Internet through cell phones rather than the personal computers by dial-up (see Figure 5). The percentage of cell phone users in rural areas is even higher than that of cell phone users in urban areas. Constrained by the income level, the number of personal computers may not be largely increased in the near future, and using cell phones to access the Internet will stay dominant. However, cell phones have become a facilitating means that contributes to socio-political mobilization in developing countries (Castells, Fernandez-Ardevol, Qiu, & Sey, 2005) because they are easier to obtain at low price, to be carried, and to be used anywhere at any time. Over the last three years, there have been increased peaceful protests (called “walks” or sanbu in Chinese) mobilized through cell phones in China. For instance, the people in the City of Xiamen, Fujian walked against the PX Chemical project in 2007 and the Shanghai residents walked against the Maglev Railway program in 2009. Similarly, it is reasonable to expect that more and more rural Internet users will make use of cell phones to participate in public events that concern them and even voice their opinions via this communication technology.

Impact of Internet Use on Civic Engagement in Chinese Rural Areas

Figure 4. Bandwidth in urban and rural areas respectively in 2009

Figure 5. Terminals used to access the Internet

CONCLUSION Based on the previous discussion, there is evidence that the Internet does have a positive impact on civic engagement among rural Internet users in China. Meanwhile, some characteristics of the Internet users in rural areas may weaken their engagement in public affairs as active citizens. They include, among others, the relatively young age of the user group and the related tendency to enjoy online entertainment, and the barrier of Net bandwidth. However, these features do not simply

lead to a pessimistic outcome. By contrast, under certain circumstances, those energetic young users and the inherent advantages of cell phones may break through their own disadvantages and become powerful factors that facilitate active civic engagement. Readers need to pay attention to some limitations in this study. First, most of the questions about the rural Internet users’ perceived feelings towards Internet use are “yes-no” questions, which make it difficult to identify the extent to which the respondents feel about the impact of

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the Internet. Furthermore, we do not know exactly what factor(s) may contribute to their positive perceptions. Second, it is a puzzle that the same group of respondents is not only prone to entertainment online but also more enthusiastic for civic engagement. Third, this study does not mention Chinese government’s policies on regulating the Internet in the future at all. Rigidly-regulated Internet may influence the civic engagement in a negative way. Lastly, more case studies will be helpful to solidify the findings by providing empirical support.

Castells, M., Fernandez-Ardevol, M., Qiu, J. L., & Sey, A. (2005). Electronic communication and socio-political mobilisation: A new form of civil society. In Glasius, M., Kaldor, M., & Anheier, H. (Eds.), Global Civil Society 2005/6 (pp. 113–131). London, UK: LSE Global Governance. Chadwick, A. (2003). Bringing e-democracy back in: Why it matters for future research on e-governance. Social Science Computer Review, 21, 443–455. doi:10.1177/0894439303256372

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Delli Carpini, M. (2006, December 5). Michael X. Delli Carpini’s definitions of key terms. Retrieved from http://spotlight.macfound.org/ blog/entry/ michael-delli-carpinis- definitions-key-terms/ Diller, E. C. (2001). Citizens in service: The challenge of delivering civic engagement training to national service programs. Washington, DC: Corporation for National and Community Service. Dimitrova, D., & Chen, Y.-C. (2006). Profiling the adopters of e-government information and services: The influence of psychological characteristics, civic mindedness, and information channels. Social Science Computer Review, 24(2), 172–188. doi:10.1177/0894439305281517 Dreyer, J. T. (2004). Democratization in greater China: The limits to China’s growth. Orbis, 48(2), 233–246. Garson, G. D. (2003). Public Information Technology: Policy and management issues. Hershey, PA: Idea Group Inc. Harwi, E., & Clark, D. (2001). Shaping the Internet in China: Evolution of political control over network infrastructure and content. Asian Survey, 41(3), 377–408. doi:10.1525/as.2001.41.3.377 Hollister, R. (2002, Feburary). Lives of active citizenship. Inaugural lecture for the John DiBiaggio Chair in Citizenship and Public Policy. Tufts University. Medford, MA. Institute for Politics. Democracy & the Internet. (2004, March). Political influentials online in the 2004 presidential campaign. Washington, DC: The George Washington University. Retrieved from http://www.ipdi.org/UploadedFiles/ political%20 influentials.pdf

International Telecommunication Union (ITU). (2009, November). Bringing broadband access to rural areas: A step-by-step approach for regulators, policy makers and universal access program administrators. Retrieved from http://www.itu. int/ITU-D/treg/Events/ Seminars/GSR/GSR09/ doc/GSR09_ Jennings, M. K., & Zeitner, V. (2003). Internet use and civic engagement: A longitudinal analysis. Public Opinion Quarterly, 67(3), 311–334. doi:10.1086/376947 Jiang, M., & Xu, H. (2009). Exploring online structures on Chinese government portals: Citizen political participation and government legitimation. Social Science Computer Review, 27(2), 174–195. doi:10.1177/0894439308327313 Katz, J. E., & Rice, R. E. (2002). Social consequences of Internet use: Access, involvement, and interaction. Cambridge, MA: MIT Press. Knight, J., Song, L., & Jia, H. (1999). Chinese rural migrants in urban enterprises: Three perspectives. The Journal of Development Studies, 35(3), 73–104. doi:10.1080/00220389908422574 Kraemer, K. L., & Dedrick, J. (1994). Payoffs from investment in information technology: Lessons from the Asia-Pacific region. World Development, 22(12), 1921–1931. doi:10.1016/0305750X(94)90183-X Macintosh, A., & Stephen, C. (2003). Promise and problems of e-democracy: Challenges of online citizen engagement. Paris, France: OECD Publication Service. Margolis, M., & Resnick, D. (2000). Politics as usual: The cyber space revolution. Thousand Oaks, CA: Sage. Mossberger, K., Tolbert, C. J., & McNeal, R. S. (2008). Digital citizenship: The Internet, society, and participation. Cambridge, MA: The MIT Press.

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Norris, P. (2001). Digital divide: Civic engagement, information poverty, and the Internet worldwide. New York, NY: Cambridge University Press.

The White House. (2009). Technology. Retrieved fom http://www.whitehouse.gov/ issues/technology/

Norris, P. (2005). The impact of the Internet on political activism: Evidence from Europe. International Journal of Electronic Government Research, 1(1), 20–39. doi:10.4018/jegr.2005010102

Thomas, J. C., & Streib, G. (2003). The new face of government: Citizen-initiated contact in the era of e-government. Journal of Public Administration: Research and Theory, 13(1), 83–102. doi:10.1093/jpart/mug010

Pew Research Center for the People and the Press. (2009). The Internet and civic engagement. Retrieved from http://www.pewinternet. org/Reports/2009/ 15--The-Internet-and-CivicEngagement.aspx Pratchett, L., & Krimmer, R. (2005). The coming of e-democracy. International Journal of Electronic Government Research, 1(3), i–iii. Price, V., & Cappella, J. N. (2002). Online deliberation and its influence: The Electronic Dialogue Project in campaign 2000. IT & Society, 1(1), 303–329. Putnam, R. D. (2000). Bowling alone: The collapse and revival of American community. New York, NY: Simon & Schuster. Seifert, J. W., & Chung, J. (2009). Using e-government to reinforce government-citizen relationships: Comparing government reform in the United States and China. Social Science Computer Review, 27(1), 3–23. doi:10.1177/0894439308316404 Shen, F., Wang, N., Guo, Z., & Guo, L. (2009). Online network size, efficacy, and opinion expression: Assessing the impacts of Internet use in China. International Journal of Public Opinion Research, 21(4), 451–476. doi:10.1093/ijpor/ edp046 Shirk, S. L. (2007). China: Fragile superpower: How China’s internal politics could derail its peaceful rise. New York, NY: Oxford University Press.

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Tolbert, C. J., & McNeal, R. S. (2003). Unraveling the effects of the Internet on political participation? Political Research Quarterly, 56(2), 175–185. United Nations Online Network of Public Administration and Finance (UNPAN). (2006). Global e-government readiness report 2005: From e-government to e-inclusion. New York: United Nations. Welch, E., Hinnant, C., & Moon, M. J. (2005). Linking citizen satisfaction with e-government and trust in government. Journal of Public Administration: Research and Theory, 15(3), 371–392. doi:10.1093/jopart/mui021 West, D. (2007). Digital government: Technology and public sector performance. Princeton, NJ. Oxford: Princeton University Press. Xia, J. (2010). Linking ICTs to rural development: China’s rural information policy. Government Information Quarterly, 27(2), 187–195. doi:10.1016/j.giq.2009.10.005 Yang, G. (2003). The Internet and civil society in China: A peliminary assessment. Journal of Contemporary China, 12(36), 453–475. doi:10.1080/10670560305471 Yang, G. (2009). The power of the Internet in China: Citizen activism online. New York, NY: Columbia University Press. Yildiz, M. (2007). E-government research: Reviewing the literature, limitations, and ways forward. Government Information Quarterly, 24(3), 646–665. doi:10.1016/j.giq.2007.01.002

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ADDITIONAL READING Alport, K., & Macintyre, C. (2007). Citizens to netizens: Grass-roots driven democracy and e-democracy in South America. International Journal of Electronic Government Research, 3(4), 38–57. doi:10.4018/jegr.2007100103 Boyte, H. C. (2005). Reframing democracy: Governance, civic agency, and politics. Public Administration Review, 65(5), 536–546. doi:10.1111/j.1540-6210.2005.00481.x

CPC Central Committee & State Council. (2009). Suggestions on the promotion of the steady development of agriculture and the consistent increase of farmers’ income for the year of 2009 (in Chinese). Beijing, China. CPC Central Committee General Administration Office & State Council General Administration Office. (2006). National informatization strategy for the years of 2006–2020 (in Chinese). Beijing, China.

Brainard, L. (2003). Citizen organizing in cyberspace: Illustrations from health care and implications for public administration. American Review of Public Administration, 33(4), 384–406. doi:10.1177/0275074003257430

Horrigan, J. (2004). How Americans get in touch with government: Internet users benefit from the efficiency of e-government, but multiple channels are still needed for citizens to reach agencies and solve problems. Washington, DC: Pew Internet & American Life Project.

Carroll, J. M., & Rosson, M. B. (1996). Developing the Blacksburg electronic village. Communications of the ACM, 39(12), 69–74. doi:10.1145/240483.240498

Hudson, H., & Pittman, T. (1999). From northern village to global village: Rural communications in Alaska. Pacific Telecommunications Review, 21(2), 23–34.

Castells, M. (2009). Communication power. New York, NY: Oxford University Press.

Hudson, H. E. (2006). From rural village to global village: Telecommunications for development in the information age. Mahwah, NJ: Lawrence Erlbaum Associates.

Chadwick, A. (2001). The electronic face of government in the Internet age: Borrowing from Murray Edelman. Information Communication and Society, 4, 435–457. Cooper, T. L., Bryer, T. A., & Meek, J. W. (2006). Citizen-centered collaborative public management. Public Administration Review, 66(special issue), 76–88. doi:10.1111/j.15406210.2006.00668.x CPC Central Committee & State Council. (2008). Suggestions on the earnest enhancement of the construction of rural infrastructure and the further promotion of the development of agriculture and increasing famers’ income (in Chinese). Beijing, China.

Hun Myoung, P., & Perry, J. L. (2008). Do campaign web sites really matter in electoral civic engagement? Empirical evidence from the 2004 post-election Internet tracking survey. Social Science Computer Review, 26(2), 190–212. doi:10.1177/0894439307309026 International Telecommunication Union (ITU). (2007). World telecommunication/ICT development report 2006: Measuring ICT for social and economic development. Geneva, Switzerland. Kavanaugh, A. (1999). The impact of computer networking on community: A social network analysis approach. Paper presented at the Telecommunications Policy Research Conference.

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Lupia, A., & Baird, Z. (2003). Can websites change citizens? Implications of Web White and Blue 2000. PS: Political Science & Politics, 36(01), 77–82. doi:10.1017/S1049096503001732

Zhao, Y. (1999). Labor migration and earnings differences: The case of rural China. Economic Development and Cultural Change, 47(4), 767–782. doi:10.1086/452431

Ma, L., Chung, J., & Thorson, S. (2005). E-government in China: Bringing economic development through administrative reform. Government Information Quarterly, 22(1), 20–37. doi:10.1016/j. giq.2004.10.001

KEY TERMS AND DEFINITIONS

Margolis, M., & Resnick, D. (2000). Politics as usual: The cyberspace “revolution.”. Thousand Oaks, CA: Sage. Millard, J. (2006). User attitudes to e-government citizen services in Europe. International Journal of Electronic Government Research, 2(2), 49–58. doi:10.4018/jegr.2006040103 Quinn, A. C., & Ramasubramanian, L. (2007). Information technologies and civic engagement: Perspectives from librarianship and planning. Government Information Quarterly, 24(3), 595–610. doi:10.1016/j.giq.2006.08.005 Skocpol, T., & Fiorina, M. P. (Eds.). (1999). Civic engagement in American democracy. Washington, DC: Brookings Institution Press. Russell Sage Foundation.

Civic Engagement: The engagement of individual citizens in the civil and political society. It consists of political knowledge, political discussion, and political interest. Internet User: In China, an Internet use refers to the individual who is at least 6 years old and has used the Internet at least one time during the last six months when he or she is interviewed. Rural Internet User: An Internet user who primarily live in rural areas during the last six months when he or she is interviewed. Urban Internet User: An Internet user who primarily live in urban areas during the last six months when he or she is interviewed.

ENDNOTES 1



2



3



Verba, S., Schlozman, K. L., & Brady, H. (1995). Voice and equality: Civic voluntarism in American politics. Cambridge, MA: Harvard University Press. West, D. (2004). E-government and transformation of service delivery and citizen attitudes. Public Administration Review, 64(1), 15–27. doi:10.1111/j.1540-6210.2004.00343.x Wines, M. (2009, June 17). Civic-minded Chinese find a voice online. The New York Times, p. A6. Xia, J., & Lu, T. J. (2008). Bridging the digital divide for rural communities: The case of China. Telecommunications Policy, 32(9-10), 686–696. doi:10.1016/j.telpol.2008.07.006

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As a usual practice, in the beginning of each year, the Central Committee of Chinese Communist Party (CCP) and the State Council will jointly issue a “No. 1 Document” highlighting the central government’s priorities of the year. The latest political doctrine formally endorsed by China’s Party leadership in 2006. It calls for a shift in the party’s focus from promoting all-out economic growth to solving worsening social tensions. Observers believe the doctrine reflects a balanced perspective on both rapid growth and on ameliorating the problems that may threaten the social stability.. The term informatize or informatization (xinxihua) is officially used by Chinese

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4



government to indicate the ICT initiatives (e.g., government informatization, rual informatization). Literally, it means the employment of ICTs. More broadly, it includes the production and use of IT hardware, software, and services (Kraemer & Dedrick, 1994) in different fields. The more detailed introduction to the survey methodology can be found in any of the CNNIC’s statistical reports on its official web site: http://www1.cnnic.cn/en/index/0O/02/ index.htm.

5



In the 2006 report, CNNIC defines an Internet user as one who in average uses the Internet one hour each week. However, since July 2007 (the 20th survey report), the definition has been changed to an individual above 6 years old who has used the Internet at least one time during the past six months. Therefore, the readers need to pay special attention to the size of the Internet users at the end of 2006.

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Chapter 16

Rural E-Governance through the “Panchayati Raj” Institutions in India: Prospects and Challenges Malathi Subramanian Amity University, India

ABSTRACT In India, the administrative system, with roots in the colonial past, is largely perceived as unresponsive and insensitive to the citizens’ needs particularly in its vast rural hinterland. The common citizens at the rural village level often find themselves at the receiving end of a cumbersome, iniquitous, and unfair service delivery system with very little involvement or inclusion in governance processes despite the best intentions of the government. It is believed that Information Communication Technology (ICT) enabled e-governance through the local self governing units (Panchayats) at the village level could simplify civic governance, improve the public services delivery system, make government and administration more democratic and inclusive, and more accessible to the citizens at the local village level. In this context, the chapter attempts to examine the challenges to, and dimensions of the task of electronic delivery of government services through the local self-government Institutions called “Panchayati Raj” in India.

INTRODUCTION E-governance, refers to digital governance processes in which Information and Communication Technology (ICT) is used to induce changes in the delivery and standards of government services and more importantly, in the way citizens interact DOI: 10.4018/978-1-4666-0116-1.ch016

and participate in the governance sphere. (DigitalGovernance.org). It integrates various services between Government and Citizens (G2C), and Government and Business (G2B) through dissemination and exchange of information with the help of ICTs. This further involves an integration and networking of back office processes and interactions within the entire framework of Government requiring provisions of hardware,

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Rural E-Governance through the “Panchayati Raj” Institutions in India

software, networking, process-re-engineering and change management (Nath, 2008). E-government which underlies e governance progresses through different modes and stages: First, the cataloging stage which is marked by online presence of government documents which offer public information relating to government services. Second, the transaction stage where the focus is on connecting the internal government systems to online interfaces making it possible for citizens to electronically transact with government institutions. This further calls for vertical integration, of federal, state and local governments to ensure compatibility and interoperability between various government databases. The most complex stage is horizontal integration where different services and functions within the same level of government are integrated to provide a one-stop-shop for all major services. This requires a transformation of how government functions are conceived, organized and executed and is more difficult to realize than the initial stages (Weerakkody & Dwivedi, 2006). E-governance is seen as an opportunity to transform the nature of governance and revolutionize public administration in India. Its potential for delivery of service by government efficiently with, and across a wide geographical reach at high speed and low cost is officially acknowledged (Moily, 2007). However, for bringing about the desired changes with the help of Information Communication Technology (ICT) through the local self governing units (Panchayats) at the village level towards better civic governance, a fundamental change is called for in the organizational culture to design and solve problems based on grassroots level experiences. For this ICTs would have to be adapted and integrated with the local needs. However, the sheer size and diversity of the area and population to be covered, the number of village Panchayats to be e-enabled, the existing ground level realities and pre e-governance features of the legacy public administration at the local level are challenges to be reckoned with for achieving

the aims of e-governance through the Panchayati Raj institutions in rural India. These challenges need to be examined to assess the contours of the problem which is the objective of this chapter.

BACKGROUND The implementation of “e-governance” in India began with the National Informatics Centre’s (NIC) efforts to connect all the district headquarters in the States through computers in the 1980s. This typically included connectivity, networking, and technology up gradation, selective delivery systems for information and services and an array of software solutions. The 90s saw a spate of experimental e-government initiatives in India in various States in the Indian federal structure that addressed issues such as land records management through digitisation, issue of government documents to public and collection of various dues via kiosk-based centres etc. at the local level (De, 2006).

E-Governance in India In the more recent times the e-governance perspective has taken deep roots in India. Under the umbrella of the basic policy laid down by the Government at the Centre, every State has an IT policy in place and a huge budget for e -governance as well. The domains are clearly laid out. The overarching IT policy is laid down by the Central Government under which there are projects initiated by the Central Government and sub programmes by State Governments. There is also a domain of integrated projects with collaboration of both the Centre and the States. Accordingly the core policies, core infrastructure, and support infrastructure are in the domain of the Central government. Integrated services, technical assistance, manpower & training etc. are in the domain of the States.1

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The ICTs have facilitated the design of possible solutions to deliver government services for social development at the village level where most of India’s rural poor dwell (Datta, 2004; Manzar, 2010). ICTs are now accepted as an effective tool for delivery of service by government efficiently with a wide geographical reach at high speed and low cost. Thus e-governance is acknowledged as ‘using IT to bring about Simple, Moral, Accountable, Responsible, and Transparent (SMART) Governance’ (Karwal, 2009). and a convergence is seen between e-governance and good governance. The mechanisms and processes of e-governance, are expected to lead to a more citizen centric governance in India by bringing to its citizens ‘a multi-channel single window delivery structure for channelising all types of government services at the local level in the most efficient manner possible using modern IT (Moily, 2009). With e-governance it is expected that the citizens will be able to avail Government services in a more convenient, efficient and transparent manner at the local grass roots level. However, in India, the existing manual (legacy) system of administration, rooted in the colonial mould of public administration historically, is driven more by a spirit of authority and control rather than that of a spirit of service (Sharma, 2004). By and large it is perceived as unresponsive and insensitive to the citizens’ needs. It is a system where information is considered to be a privilege rather than a citizen’s right. In this mould, the process for access to many government services and schemes has been quite cumbersome in operational terms involving long winding procedures and inconvenient steps. This has encouraged patronage and corrupt practices in administration. It is, further, a system marked by lack of coordination among different departments, complete lack of transparency and accountability, and considered inefficient and hardly citizen friendly. Particularly in the rural areas the common citizens are generally at the receiving end of a cumbersome, iniquitous, and often unfair service delivery system rather than

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their being included in participatory governance processes despite the best intentions on the part of government agencies (Aiyar, 2010). Given the realities of rural India (Datta, 2004) ICTs must be adapted and integrated with the local needs. But IT mediated processes may also involve issues of power, class, gender, race, culture, economy and ideology. Poor rural communities lack access to social intellectual and financial capital and therefore may find it difficult to take advantage of ICT networks. And it is possible for them to be indirectly excluded for these reasons. Thus it is necessary to examine people’s capabilities to receive, process, use, and transmit information There is therefore need to evaluate the importance, utility and relevance of the information that the technology of ICT facilitates in the context of the needs of rural e-governance (Subuddhi, 2006). In India for it to be truly effective, electronic delivery of services calls for a stupendous data bank creation involving an enormous volume of digitization of manual records, tracking and monitoring systems, interlinking of the various departments of government and other related organizations and a vast amount of integration and networking of back office processes and interactions which has not taken place fully as yet. In addition, in order to realize e-governance in the true sense, successful ICT projects have to involve in the design process, all stakeholders ranging from the government officials, legislators and regulatory agencies, to the citizens, voluntary organizations, technology consultants, vendors, funding agencies, academics researchers and grassroots level workers.

E-Governance in Rural India The current Indian Government at the Centre approved the National e-Governance Plan (NeGP), comprising 27 Mission Mode Projects (MMPs) and 10 components in May 2006 with the centrality of citizen services delivery and use of ICT and

Rural E-Governance through the “Panchayati Raj” Institutions in India

e-Governance to improve governance systems. One of the MMPs pertains to Panchayati Raj Institutions as one of the key projects under NeGP.2 The National e-governance Plan (NeGP) is a bold initiative to bring public services closer home to citizens in a friendly, assisted format. In rural India accessing a Government/Public service in the non electronic mode often involves commuting long distances, waiting in public offices and making many trips. E-governance and NeGP promise to dramatically improve this situation by enabling vast sections of the population transcend the barriers of time, distance, and infrastructure to access government schemes and services more easily. The National Institute for Smart Government (NISG) is engaged in partnering with egovernance inititatives envisaged under NeGP. The NISG has a strategic tie- up with National e-Governance Division (NeGD) an independent Business Division set up by the Department of Information Technology(DIT), Government of India. The NiSG provides expert resources to NeGD in areas such as programme management for NeGP, capacity building, strategic planning, standards, change management and technology.3 Under the catalytic and enabling role of the Central government in India there have been a variety of government and non government egovernance initiatives to connect rural India to the rest of India and the world. However, most of these efforts have been in the nature of pilot projects testing suitable and sustainable approaches with a limited spread and not covering all the villages in rural India as now aimed through Panchayati Raj institutions with full scale government initiative and support. Thus most of the specific IT enabled projects for rural India have so far been organized by the state governments, non governmental organizations, corporate sponsors and sometimes by a combination of these. Though many states have taken such segmental e-governance initiatives, these varied greatly in orientation, priorities and level of activity.

Various uses and applications of ICTs in rural areas of India include issues such as finding markets for farm produce, handicrafts, negotiating prices, arranging transport and delivery of inputs, information about market prices, financial transactions, educational opportunities, telemedicine, support for self help groups, participatory decision making etc. (Subuddhi, 2006). Some such notable initiatives are: e-services for the rural areas4 (CARD, the Computer Aided Registration Department5, both in Andhra Pradesh, ‘Tarahaat’6 to open up village market (‘haat’) through the internet in Madhya Pradesh and Punjab, ‘Raj Nidhi’ (State Information Kiosk) in Rajasthan,7 The ‘Gyandoot’ (messenger of knowledge) programme in the Dhar district of the State of Madhya Pradesh8, the ‘Warana Wired Village Project’ in the State of Maharashtra in Western India linking up 70 villages of Kolhapur district9 The Sustainable Access in Rural India (‘SARI’), a joint collaborative initiative between international and local agencies in Madurai district in Chennai in South India, Village Knowledge Centres (VKC) in Pondicherry in South India,10 ‘Bhoomi’, initiative to computerize land records in Karnataka, ‘Akshaya’ e-literacy initiative in Kerala, e-Choupal e-commerce initiative in Madhya Pradesh. As indicated, while governmental and non governmental agencies have been involved in different innovative schemes for rural e-governance, these do not cover the entire rural area nor all the rural concerns. Most of the segmental rural e-governance initiatives in different states of India have been on a public private partnership basis and have had a limited impact in benefiting the rural areas. There is a consensus at the policy level that the value of e- governance will not be truly realized unless it touches and improves the lives of masses and is specially targeted at improving the livelihood of the poor and vulnerable. Though there are poor both in urban and rural areas, the majority of the poor in India live in its rural areas.11 Hence the stated policy objectives of e-governance schemes whether in the Centre or the States can

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be achieved only if it succeeds in transforming the nature of governance in the rural areas. Succeeding at the local level is thus imperative for e-government success at the national level. Therefore e governance through ICTs should result in better administration not only in terms of accessibility, transparency and accountability but in the more visible outcome of reducing the urban and rural digital divide and poverty alleviation. With this conviction the Ministry of Information Technology in India has decided to directly intervene and has a plan to set up state wide information kiosk network connecting 0.6 million villages in India in the next few years involving the investment of requisite funds for meeting the huge cost of wiring rural India. The importance of vernacular content in e-governance of rural India is also consciously acknowledged by official agencies keeping in view the linguistic diversity of the country. For the first time it is now proposed to implement the various social development schemes of the government through the application of the ICT directly through the Panchayati Raj Institutions (PRIs), which would be responsible for implementing these schemes rather than through partially government supported initiatives and public private partnership.

RURAL E-GOVERNANCE THROUGH PANCHAYATI RAJ INSTITUTIONS (PRI) Panchayati Raj System and PRIs “Panchayat,” “Panchayati Raj,” and Panchayati Raj Institutions The term Panchayat traditionally denotes a group of five (panch) persons, generally village elders, chosen by the village community and entrusted with the management of the village affairs. The term Panchayat also refers to reconciliation of disputes by the group. The term ‘Raj’ denotes

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authority to rule. Panchayati Raj thus denotes the rule by those chosen to manage the village affairs called ‘ panchayats’. The term Panchayat came generally to refer to village level institutions of self- rule during the national freedom movement in India. During the early post independence period, Panchayati Raj legislations were enacted by the respective state legislatures in various States in India. Gram (village) Panchayats were organized as units of self-government in pursuance of the promise of the freedom movement expressed in Article 40 of the Indian Constitution according to which the State shall take steps to organize village Panchayats and endow them with such powers and authority as may be necessary to enable them to function as units of self government. Accordingly village Panchayats or ‘Gram Panchayats’ (GPs) as they are called were established in most of the States under the legislations enacted by the respective State Legislatures. But these units were endowed with insignificant powers, authority, responsibilities, resources and autonomy to function effectively. The Balwantrai Mehta Study Team set up in 1957 to examine how this could be rectified recommended that there should be administrative decentralization for the effective implementation of developmental programmes; and the decentralized administrative system should be under the control of the elected bodies. Establishment of statutory local bodies with devolution of necessary resources, power and authority was recommended. Consequently the three tier Panchayati Raj (structured in three tiers of District, Block and Village levels) was established in almost all the States under the State legislations enacted for the purpose. The official thinking on democratic decentralization involving the Panchayats has gone through many phases and engaged many committees over the years recommending greater devolution of functions, functionaries and finances to the PRIs. Finally the decision to give it a statutory and constitutional position came through the

Rural E-Governance through the “Panchayati Raj” Institutions in India

Constitution Seventy Third Amendment Act 1992 which became operative from April 1993. The amendment establishes Panchayati Raj: a system of local democracy through local councils known as Panchayats. The amendment mandates that resources, responsibility and decision making power be devolved from central government and placed in the hands of rural grassroots people, with elections every five years. It created a three-tier system of local democracy linking the lowest village level (gram panchayat), the block level (panchayat samiti, (encompassing 10–20 panchayats), and the district level (zilla panchayat, comprising 4–10 blocks). Conforming Panchayati Raj legislations were enacted by the State legislatures within a year under which the new Panchayats were elected in almost all the States. The term Panchayati Raj now denotes the three tier system including the one established under the Seventy Third Amendment of the Constitution of India that gave it a statutory constitutional status With the adoption of the 73rd amendment to the Indian Constitution, India began a process with the potential to create genuine democracy at the village level. Article 243G of Part IX of the Constitution empowered the Panchayati Raj Institutions (PRIs) to function as “institutions of self government.” It represented a historic opportunity to transform the face of rural India. The 11th Schedule of the amendment specifies 29 areas of responsibility, covering all key aspects of village life, which State governments may transfer to the panchayats along with sufficient resources and decision-making authority. Panchayati Raj (PR) is thus the third tier of governance in India. The Central and State governments are the chief units of the Indian federal polity. ‘Panchayati Raj’ (local self government) system refers to the functioning of a decentralised, locally elected governance body. The Panchayati Raj Institutions (PRI) are the ‘Zilla’ Parishads and District Rural Development Agencies at District level, Panchayat ‘Samitis’ at Block level, (Blocks are development units within the Districts) and

Gram Panchayat (Village local body). These are the existing structures and levels through which activities for rural governance are carried out in the field by PR Department in India.12 With a firm Constitutional status, democratically elected three tier Panchayats as institutions of self government were sought to be established throughout the country in all the States. Gram Sabhas (village assembly) were to be established in all villages. Regular elections to the Panchayats on the basis of adult franchise were to be held every five years and no area was to remain without an elected Panchayat to govern it at any time for more than six months. There is reservation of one third seats of members as well as of Chairpersons in favour of women, and 22.5% in favour of Scheduled Castes (SCs) and Scheduled Tribes (STs) which are identified as socially disadvantaged groups for affirmative action in public policies by the Indian Constitution in proportion to their respective populations to ensure equitable representation. Specific development role has been assigned to the Panchayats including the preparation and implementation of plans for economic development and social justice covering the 29 subjects listed in the Eleventh Schedule of the Constitution. Preparation of a Development Plan for the entire district by a District Planning Committee to be set up for the purpose has been mandated in the Constitution. An independent State Election Commission for organizing, conducting and monitoring of all elections to the Panchayats has also been provided for. An independent State Finance Commission to periodically review financial position of the Panchayats and to recommend the principles to govern the distribution of financial resources between the States and Panchayats is also in place. The State legislatures were authorized to endow the Panchayats with such powers and authority as my be necessary to enable them to function as institutions of self – government thus laying the road map for inclusive and participatory federal structure of governance and development.

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Subsequently these new provisions were extended to the Scheduled Areas through the provisions of the Panchayats (extension to Scheduled Areas) Act (PESA) 1996. In addition to the application of the restructured Panchayati Raj system, the PESA provides for greatly strengthened Gram Sabha (village assembly) in the tribal areas (scheduled areas) to facilitate direct democracy, transparency and accountability to the general body of voters in the village. In principle the tribal Gram Sabhas have been empowered with many responsibilities. PESA applies to nine States, Andhra Pradesh, Chhattisgarh, Gujarat, Himachal Pradesh, Jharkhand, Madhya Pradesh, Maharashtra, Orissa and Rajasthan which have tribal areas under the Fifth Schedule of the Indian Constitution. A separate Ministry of Panchayati Raj was set up at the level of the Central Government in May 2004 with commitment for strengthening the Panchayati Raj System with a focus on the uplift of the rural poor and disadvantaged sections by generating employment, strengthening rural economy, particularly agriculture and social development through provision of health care and education. With these aims and objectives, the new Ministry of Panchayati Raj at the Centre convened seven Round Tables of Ministers in charge of Panchayati Raj in States in 2004 to evolve a consensus on effective implementation of the Panchayati Raj as set out in Part IX of the Constitution of India. Consensus and commitment evolved on 150 action points covering 18 dimensions of Panchayati Raj through these Round Tables. To monitor and facilitate the effective implementation, there is a Council of State Ministers of Panchayati Raj headed by the Central Minister of Panchayati Raj. In spite of such wide ranging provisions, the PRIs are yet to be endowed with adequate powers and authority (functions, functionaries and finances) by the State governments to enable them to function as institutions of self-government. (Prasad, 2006) A number of commissions and committees between the year 2000 and 2007 have

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examined and reviewed the problems and made many recommendations. However there is concern over the creeping widespread corruption in the PRIs and the role of money and muscle power in indirect elections to the decisive offices of Chairpersons of Panchayat Samitis (Block level) and Zilla Parishads (District level).

Panchayati Raj and ICT In India for making governance more inclusive, the importance and need to give the local self governing units, the Panchayati Raj Institutions (PRIs) the central role in the implementation of schemes sponsored by the Government at the Centre was officially acknowledged in the Second Administrative Reforms Commission Report on Local Governance. (Moily, 2007) Direct administration of beneficial schemes for the rural areas through PRIs with the help of ICTs, it is believed, will help better governance and ensure that benefits will reach all the citizens at the village level. The deployment of ICTs and Information technology enabled services (ITES) for implementation of e-governance policies and schemes at the local ‘panchayat’ level is expected to revolutionize public administration and public services delivery system in the vast rural hinterland in India and make it truly democratic and inclusive by covering ‘the last mile’ in every village. Given the size of the vast area and population to be covered along with the complexity of the ground level realities of the legacy public administration in rural India, this is bound to be a daunting and challenging task indeed and perhaps a unique experiment whereby so many villages will be wire linked. In 2004 the Seventh Roundtable of the Panchayati Raj Ministers recognized ICT enabled e-Governance as ‘a decision-making support system for Panchayats themselves, a tool for transparency, disclosure of information to citizens, social audit, a means for better and convergent delivery of services to citizens, a means for

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improving internal management and efficiency of Panchayats, a means for capacity building of representatives and officials of the Panchayats and as an e-Procurement medium. It was held that introduction of Information and Communications Technology at the Panchayat level will not only allow experimentation with technology but also give immense opportunity to the people to handle technology and also create large-scale job opportunities at the grassroots level, as it has done in urban areas, in the form of operational services, maintenance and other ancillary areas. The Planning Commission and Ministry of Panchayati Raj Report of the Working Group on Democratic Decentralisation & PRIs in its Report of November 2006 recommended e-governance for all Panchayats and indicated the activities that need to be supported. (Planning Commission Report, 2006) The expert committee appointed by the Central government on information technology for Panchayati Raj in its report submitted in 2008 recommends use of ICT to be an integral part of the multi-mode training and capacity building. The Committee gave extensive recommendation on hardware, system software, application software, open standards, connectivity, domain specific Data and Meta Data Standards, capacity building, adoption of National Panchayat Portals (NPP), and facility management etc Computerisation of Panchyati Raj Institutions is a mission mode project under the ambitious National e-Governnance Plan (NeGP) of government of India. With e-governance, it is anticipated that the grass root organisations will benefit in many ways which would lead to decentralised planning, effective monitoring of centrally sponsored schemes (CSSs), transparency and accountability, enhancing the ability of local bodies to generate, manage and collect local revenue and at the same time automate their own functioning with data bank on records of the minutes of meetings of the gram sabha etc. The Expert Committee of the Planning Commission felt that this could be

the biggest connected government project in the world as nearly a quarter million gram panchayats in the country are proposed to connect through this project over the next three years). The needed funding was also allocated.13 More recently the Ministry of Panchayat Raj of the Government of India has adopted ambitious and wide ranging e-governance policies and schemes to achieve better, more efficient, transparent and corruption free government at the local level with the application of information technology. Careful attention has been given to the requirements both to the suitable and available technology needed and the measures required for implementation processes involved. While many ICT driven schemes are already in operation on a public private partnership basis in different states primarily in urban areas14, the initiatives for e-governance through formal local government institutions of Panchayat Raj is a first serious attempt directly by the government to revolutionize public administration and service delivery system at the local level in the rural areas where its impact is most crucial and decisive for the democratic outcomes, and where the intervention of the State matters. With this it was expected that people in the rural areas of India, will soon be able to get services like birth and death certificates, on line tax payments, e-mail etc, nearer home in their gram (village) panchayat offices, through e-governance mode. With the induction of information and communication technologies (ICTs), the Gram Panchayat President or Sarpanch would soon be able to monitor panchayat centric schemes, do financial accounting and reporting, keep records of panchayat meetings on the computer in the panchayat office. Introduction of ICT at the Panchayat level would not only allow experimentation with the technology but also create large-scale job opportunities at the grassroots level, as it has done in urban areas, in the form of operational services, maintenance and many other ancillary areas. (Oneworld Southasia, 2004)

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E-GOVERNANCE THROUGH PRIS IN INDIA: ISSUES AND CHALLENGES Networked Readiness Given the size and diversity of the country and the number of Panchayats which have to be woven in the ICT driven e-governance net, the building of the data base itself is a gigantic task. It would be relevant in this context to examine the networked readiness of India. Networked Readiness Index (NRI) is a measure to indicate a country’s potential to use ICT for development. The measure is also a pointer towards the kind and scale of investment that would be required for realizing the potential of ICT. For the year 2003-04 India was ranked 45th in the Networked Readiness Index out of 102 countries. Moving up two positions, in 2009 -2010 India has been ranked 43 out of 133 countries. (The Global Information Technology Report 2009–2010). There are different parameters for the index covering environment readiness, the individual, business and government readiness and individual usage, business usage and government usage which in combination indicate the e government readiness of a country.

E-government Readiness The e-government readiness measure is an assessment of availability of information and services at the government websites. Presence of a very sophisticated website full of services and information is not of much value until there is enabling environment to access and use these information and services. E-government readiness measure therefore combines measure of information and service availability on the websites, with measures of availability of technological infrastructure and capability of the stakeholders in using these services. E-government readiness is considered to be an assessment of a state’s use of Internet and the World Wide Web for provision of information, products and services plus the level of telecom-

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munication and human capital infrastructure development in a country (Ray et al, 2006). A Study by the Department of Information Technology (DIT) India defines e readiness as the preparedness of states to provide governance equitably and cost effectively and the capability reflected in the degree of integration the deprived segments of society attain after application of ICT as an e-governance tool. Apart from this the ability of the state to provide business, the capacity to participate in the local level digital economy and further networking with the national level digital economy are also important (DIT, NCAER, 2004). According to the conceptual framework of the UN Global E-Government Readiness Report 2004, the representative services for testing e governance effectiveness are: Health, Education, Social Welfare, Labour and Finance because these are representative of what services citizens require most from the government. In India the important government departments for these services are Agriculture, Health, Labour, Food & Civil Supplies, Education, Panchayat & Rural Development and Social Welfare (Ray et al, 2006). These departments are relevant for measuring government effectiveness in the delivery of basic economic and social services to the citizen. In terms of networked readiness or e readiness India cannot be considered totally ready for full scale e governance due to many shortcomings on the requisite parameters. The e governance readiness ranking of India at 0.39 is lower than other Asian countries like China. In fact the impetus for e-governance through Panchayati Raj institutions in India came not due to networked readiness but from the need for reliable data for realistic assessment of the financial needs of the Panchayats and for which the Finance Commission was mandated (Annamalai, 2009). The exercise of digitization of data on panchayati raj actually started with this need. In the context of enhancing decentralization process in terms of powers, functions and funds to the PRIs it was important to have a reliable and

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accurate data base for planning and monitoring of schemes and funds management and collection of revenue by Panchayats. Better service delivery and efficient management of Panchayats at all levels was an expected outcome. It was realized however, that there was no mechanism of collection and collation of data on the revenue and expenditure of the various tiers of the rural and urban bodies at a nodal place where it could be compiled, processed and made available for use. In the absence of any reliable financial or budgetary data no realistic assessment of the needs of the Panchayats and municipalities for basic developmental functions could be made nor could information on the flow of funds to the local bodies for the implementation of various developmental schemes be obtained. Hence the 11th Finance Commission propelled a process of development of a database on the finances of the Panchayats and municipalities needs at the district, state and central levels. This was expected to facilitate availability of computerized and networked data which could be accessed by different agencies. For this purpose the Commission allocated a sum of 2 billion rupees for computerization of the database of the finances of the PRIs. This step initiated the process of computerization of Panchayats at policy and field levels. However, the task is a daunting one as it meant servicing a rural population of nearly 7 million covered by around 0.25 million Panchayats and involving approximately 0.7 million villages (Census of India, 2001). There are many state and central government schemes which need to be monitored and which would generate a large amount of data flow in both directions. A huge data base also needs to be built at the Gram Panchayat level upwards on activities related to finances and planning and implementation of projects. The magnitude of the task calls for a matching investment even just to provide the basic infrastructure ranging from the location to the provision of hardware, software, telephone, electricity, internet and intranet connectivity, computer maintenance and software support etc.

for each Panchayat. Further, the need for customized software for different states and for various applications of Panchayats adds to the complexity of the task. The linguistic diversity of the States is itself a challenge to customization of software. And then there is the question of sustainability of these infrastructures through self financing or government support.

Infrastructural Problems and Social Development Issues In India there is no dearth of new technologydriven companies, tech savvy administrators and managers, a political class aware of the possibilities of IT, social entrepreneurs and Non Profit organizations that are willing to participate in the e-governance processes to reach the benefits of networked technologies to rural and less privileged groups. However, this is countered by the problems of intermittent, inconsistent electrical power, inadequate, unreliable telephony and Net connectivity. Power supply is erratic. According to the Confederation of Indian Industries (CII) National Broadband Economy Committee, Vision 2010, to give broadband connectivity to 48% of the rural population an estimated 100,000 broadband kiosks need to be set up. It has been estimated that presently less than 10,000 Indian villages out of a total of 0.6 million have seen the presence of internet. Teledensity growth is sluggish in rural India (Teledensity: 2009). The relationship between politics and business is marked by features of feudalism. Deeply ingrained ideologies of caste hierarchy, gender inequity, and religious- communal differences, as well as significant deprivations of basic human needs are marked features of the Indian social structure. Thus even the basic needs of social infrastructure, including schools, healthcare centres, balanced nutrition, gender equity, employment, and transportation are lacking in the Indian villages. 50% of the villages in India are not connected by motorable roads (Ghosh & Banerjee, 2006). 323

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Among many hurdles to the use of Information Technology in rural areas is the question of language of web content. The vast majority of Web sites are in English, a language which the majority of Indians do not speak. With 70% of Indians living in its 0.6 million villages and 95 percent not speaking English, e-governance models which do not support the rural delivery system will not contribute much towards good governance. Under such conditions how much can technology achieve? It is therefore not surprising that social development issues like poverty alleviation, primary education and health care are considered more important problems to be tackled rather than access to a computer, telephone or the internet. However, ICT with its far reaching potential has emerged as an important instrument for delivery of critical services like health and education cutting across diverse and dispersed geographical areas. Thus it is not a choice between ICT and health or ICT and education, but choosing the most effective way for ICT to be used for the delivery of health, education and other services. Telemedicine through the application of ICT for example can help in delivery of health care services to the villagers who can avoid the cost and hardship of long distance travel for medical attention and diagnosis. ICT can also help in medical data and record management which are important in health care services. For rural e-governance through Panchayat Raj system to deliver, diverse social and infrastructural needs would have to be addressed more or less simultaneously. The three basic infrastructural requirements for rural ICT initiatives are electricity, telephony (or its equivalent), and network connectivity. The problems associated with these inputs need to be recognised as inherent features of the landscape of rural India, and tackled as an integral part of the implementation process. Projects in Pondicherry and Warana, for example, allowed users to access offline content, which is updated several times a day with incoming data. In this way, a range of services may be

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continuously provided, notwithstanding narrow bandwidth, slow transfer rates, and intermittent connectivity. Several projects are now attempting to provide information and services to rural citizen-consumers, via, human-mediated intranet systems. The Village Knowledge Centers Project run by the M S Swaminathan Research Foundation in Pondicherry represents an early experiment in providing information and knowledge resources to rural communities despite infrastructural limitations.

Urban Rural Gap, Digital Divide and Rural Poverty The real challenge for E governance in India however lies in reducing the gap between the urban and rural populace and between the rich and poor towards a more democratic and inclusive governance system benefiting all including the last citizen in the village particularly the poor and vulnerable. Digital divide is pervasive in the Indian context (Kaushik & Singh, 2004). A narrow definition of the digital divide focuses on access to computers and the Internet. But access alone does not bridge the technology gap. The social development issues are as important as technology to be addressed for success in e-governance. The issue of e-governance is much more than a technological initiative but is made of a complex set of relationships between the stakeholder’s commitment, structured developmental processes adequate infrastructural resources and targeted outcomes. The success or failure of e governance projects and whether they are doing well or falling short of expectations can be judged against this measure. A closer look at the Indian rural society shows that almost half of the population lives below poverty line, with a majority of the population deprived of basic civic amenities like primary health care, drinking water facilities, housing and education. Poverty remains India’s most intractable problems. India stands at 119 in the ranking

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of the UNDP Human Development Index (UN Human Development Report, 2010). In addition the rural society in India is plagued by illiteracy, exploitative market forces, caste and class cleavages, poor governmental delivery systems, etc. There is a wide disparity of literacy rate between the rural and urban areas; urban literacy rate is 80.06% compared to rural rate of 59.21% (Planning Commission, 2002). This is further compounded by the inadequate info-communication infrastructure. An ICT based strategy for economic development of rural society has to transcend these barriers. It has to be based on the understanding of information-related needs of people. “...there is an urgent need to examine the catalytic and enabling role to be played by the government in ensuring that IT provides new opportunities for the 40 per cent of the people who are living below poverty line, so that they may move above it.” (Government of India Working Group on Information Technology for the Masses).15

MEASURES NEEDED FOR EFFECTIVE E-GOVERNANCE THROUGH PRIS There is a need for identifying strategic roles for the three main actors in the rural society, viz. official agencies, non profit non governmental organizations (NGOs) and people, for developing a right blend of initiatives suiting the needs of the rural society in order to make e- governance at the local level effective in expected outcomes. Successful e governance implementation is about four main components: End users need identification, Business Process Modification, Use of Information Technology and most importantly committed government intent. Deficiencies in any of these would result in e governance projects failing to achieve their objectives. Identifiable and measurable parameters to assess the success of e-governance projects are not easy to formulate. This is especially true regard-

ing the indirect benefits which are in the forms of increased transparency, sense of economic and social empowerment by access to information and better efficiency in delivery of public services. Benchmarking of best practices especially in rural e-governance might take some time to evolve but is important. Moreover in a country like India with its regional diversities, benchmarking itself might have diverse parameters and not universally applicable. One of the major challenges facing the NeGP is Capacity Building that is required to be built at various levels of the Government starting at the Policy and Decision makers, to the Management and Operational Level and creating awareness amongst the general masses. It is also recognized that different States are at different levels of readiness and with varying range of capacity gaps. E governance through Panchayati Raj calls for the requisite changes in the processes about the way government will deal with citizens in order to bring about the change from the manual system to the electronic system. For example lack of horizontal integration and back end data coordination would mean that e governance projects would continue to deliver services in a fragmented and unsatisfactory fashion resulting in the end users having to approach a multitude of government agencies in spite of a ‘single window’ promise of e-governance thus defeating the aim of reducing direct dealing with government (Shukla, 2003). Thus e-governance anticipates and involves a great deal of back end data and record integration and coordination if it has to be truly effective. While connecting the citizens directly to government is desirable, creating a framework of interactions is just as important and this calls for a change in the design of government to citizen interaction. E-governance calls for business process re-engineering (Gautam, 2006). Automation of backend procedures and data coordination between different Departments alone would eventually result in e-governance and this

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is important particularly if e-governance through Panchayat Raj institutions is to become a reality. The application of ICTs on the existing inequitous scenario in the rural India (Prasad, 2006) might reiterate the inequalities and existing cleavages. ICT access is likely to increase socio-economic opportunities for dominant caste landholding elites, rather than for the relatively non-elite non landholding artisan communities as the services provided may have cultural assumptions and economic needs of the land owning dominant caste. It remains to be seen whether dalits, adivasis (socially disadvantaged groups) and other marginalised groups will be able to access and take advantage of the opportunities offered by rural connectivity. It is of the utmost importance that rural ICT projects be carefully designed with a view to enabling and including the very rural non-elite non-agricultural communities that are most likely to be left out. This is critical for making the crucial difference between inclusivist, empowering projects and exclusivist elitist information centers. Where and how the information center is located, the hardware and software design, the content, language, accent and font of audiovisual interfaces, the kind of services available at the center are all decisive factors. This would require finding ways of working and innovating from the ground up, working always in partnership and dialogue with local communities. This would call for a change in the assumption of executive infallibility, and stronger institutional relationships with scholars, intellectuals, and knowledge workers. The major factors which underlie the successful implementation and sustenance of ICT projects for social development in India would depend on the degree of efficiency and transparency in the services offered, the extent of reduction in cost and at the same time improvement of convenience for citizens, extent of re-engineering and improvement of back end services, the extent of integration of back end processes with citizen interface and the website, change management and the extent of

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employee involvement for change management, the nature of public private partnership (PPP), the kind of service delivery arrangement through PPP, and the cost implication for the citizen and the revenue possibility for the service provider. Apart from these factors, keeping the diversity of India in view, a single development model of e-governance cannot be sustained in every place. Hence suitable designing of the e-governance scheme which addresses the specific needs of the area and community is important. Selection of appropriate technology and adopting them to meet local needs with the aim of evolving a practically workable, functionally reliable, economically viable, socially acceptable easily replicable ‘connectivity model’ are all important determinants (Hermon: 2006). Added to this is the problem of relevant information based on local needs, and its availability in local language. The distinctive initiatives for computerization of panchayats depends to a large extent on the availability of finances and the continued state support without which it would be difficult to sustain the efforts in financaially weak panchayats. Even in comparatively successful states in e-governance of the panchayats as in Kerala for instance, full scale of computerization of panchayats is yet to be reached because of poor communication connectivity, erratic or lack of power supply in remote tribal areas (Annamalai, 2009). Moreover, the experiments of one state may not be possible to replicate fully in other states due to the unique factors there which impinge upon their scalability in terms of funds, infrastructure and acceptability. Thus the important conditions for the success of e-governance through panchayati raj in India depends upon firstly, political will and support to the goal of and conviction in e-governance as a necessary step towards good governance. Citizen interface services and their effective implementation through ICTs is equally important. Empowering the common man to access information and knowledge to be able to be a participant in e-governance is the very basis of e-governance.

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E-learning and e-health initiatives are integral parts of operationalizing e-governance through panchayati raj institutions in India.

AN ASSESSMENT Public interacts with government in three ways: as consumers of government information; as customers of government services and as citizens participating in government decision making and policy making. In none of these aspects has egovernment made substantial difference in India. Improving the internal processes of government and providing a seamless public service delivery system has not yet been fully realized. E- governance through the PRIs are seen as a measure with great potential towards realizing the democratic goal of ‘power to the people’ in India. Also it is seen as that ideal situation whereby the ‘unnecessary’ interaction of the common man with government officials would be eliminated with the computers taking over such interactions. This raises the expectations of the citizens in looking forward to a corruption free system where each individual is treated equally according to rules which are transparent. This enthusiasm for IT enabled e governance has led governments to announce and launch mega e-governance schemes which often translate into just large scale expenditure on hardware and software and related activities. Many e-governance inititatives are currently operational in rural India. The Central government has launched ambitious projects like the NeGP project at a cost of 1.3 billion dollars to connect 0.6 million villages seeking participation from various state government agencies and corporates. The many multi purpose kiosks to be set up are expected to enable services like e-learning, e-training, e-teaching, e-health, telemedicine, e-farming, e-tourism, e-entertainment, and e-commerce for village entrepreneurs. It is interesting to note that despite several pilot projects for ICT application for rural e-governance,

some of them with visible results, there is a dearth of replicable models for wider applications. Mostly the application of ICT has helped in building database by converting the manual data to digital mode. In some cases selective customization has been done which is serving as an input partially in e-governance efforts. Though most states are spelling out the ICT policies and IT priorities, objective need assessment at the ground level has taken off only partially. In most cases the ongoing governmental schemes and programmes are being implemented rather than on the basis of needs assessment. Most such initiatives and interventions based on the need of the local area and people are those by some corporate sectors and Non Governmental Organizations (NGO).16 There are many rural e-governance projects in India which are successful as silos but when the integration with large projects is required these fail to deliver. Pockets of success can be seen in pilot projects in a district but when it comes to full scale roll out there are many difficulties. A number of NGOs have implemented many pilot projects based on kiosk model in India but have failed to roll out integrated projects. The projects succeed in controlled environment but fail beyond it. The integration of Central, State and Local governments is not only complex but difficult to implement. The web portals of the national government, with links to local government should provide a single point of contact for egovernment. However, it is yet to function as a proper web portal that offers a gateway to local and national government websites to provide a single point of contact for fully interactive and integrated online service delivery. Various political, organizational and technical challenges may hinder bridging the gap between the national expectations for e-government implementation at the local grass roots level and its actual shape. Some of the problems in addition are lack of awareness, lack of access to e-services, usability of e-government websites, lack of trust, security concerns, resistance to change, lack of skills and

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funding, data protection laws and lack of strategy and frameworks. For these reasons the expectation that the Panchayati Raj Institutions will constitute the most crucial delivery mechanism is somewhat misplaced. PRI’s role has been considered to be debatable (Prasad, 2006).

CONCLUSION This chapter set out to examine the dimensions of the problem of e-governance through Panchayati Raj in India and the challenges to it. While ICT has facilitated the design of possible solutions to deliver government services for social development at the village level there are still many challenges to the prospects of achieving the goals of e-governance encompassing rural India. In the earlier format of administration in India, invariably the rural population would have to travel long distances to the district headquarters to submit applications, meet officials, acquire copies of public records, or seek different kinds of information relevant to them. Apart from having to travel distances, it also involved cost of transportation and taking off from their income generating activities. Often repeated visits at additional cost would become necessary if the information or the official concerned was not available. ICT has helped in collapsing the distance between the government and citizen thus transforming the relation of government with citizen and business to some extent. It is possible to procure documents, land records and some public services through ICT services set up close to the citizen’s abode such as the service kiosks in the e-seva (e-service) centers in Andhra Pradesh. The ICT enabled services bring with them increased transparency, less corruption, more timely delivery of government services and better government responsiveness which marks it off from the pre e-governance features of government services delivery. Apart from this, so far ICTs have been largely effective as a new kind of media or telecommu-

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nications infrastructure, which allows the dissemination of information, and to some extent, education across distances. Developmental ICT projects, therefore, have attempted to assist rural communities by providing them news, information, advice, and knowledge relevant to them that has hitherto been inaccessible to them. These kinds of inputs have allowed rural citizen consumers to make more informed economic decisions while providing them information useful to them. For e-governance to unfold to its true potential however, a lot more needs to be achieved. The transfer of public administrative processes from a largely inefficient and bureaucratic manual state to an e-enabled real-time automated state in India would involve fundamental changes to processes at both local and national government levels. The typical public administrative processes such as accountability arrangements, budgeting, monitoring and reporting, decision-making and performance management would have to be re engineered. However the ICT enabled change of state services will depend to a large extent on the ICT resources available to the different governments and their attitude to IT enabled change. It also seeks redesign of not just the structure of governance but indeed the architecture of the administration (Gautam, 2006). There are thus process and systems integration challenges in local government in India. The current ICT infrastructure in place in India does not provide an adequate platform for process and ICT integration which restricts sharing of resources and information. The citizen data bases where they exist are dispersed within different departments and citizens have to contact these departments to access different services. Outdated ICT infrastructure can further hamper e governance efforts as they are unable to support citizen’s queries online as a result of which contact has to be made in person at the government offices defeating the very purpose of e-governance. The exchange of information at the vertical level from the local village level to the upper

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administrative levels if ineffective will seriously hamper e-governance efforts. Also it calls for integration of customer records and verification from different departments both at the Central and local levels. Such information may take many days to reach before the citizen benefit can be discharged. Thus there would be a need for databases from different departments to be integrated at the local government Panchayat level so that there is a single set of citizens’ records and the capability of the local government officials to access the latest information from central government on their computer screens. Data sharing should be possible between local government departments and central government and online access for citizens to apply for e-services such as social welfare schemes, education, health etc. While there are web portals of the various state governments in the context for the need to offer a one stop shop for key public services such as health, education, agriculture, employment etc. moving beyond the cataloguing stage to the vertical and horizontal integration will require a great deal of process and information systems redesign that needs to be supported by new integration/networking technologies such as web services failing which inefficient processes due to fragmented information systems would only make the exchange of information between processes and systems impossible. Almost all States and union territories in India have a web presence. However, few have progressed to delivering comprehensive e-services even at the State level. Some rural e-governance initiatives have been successful but only in silos. Many State governments in India are yet to computerize all the panchayats. They are still to create the requisite and needed data base for the purpose of assessment of the real needs of the panchayats, monitoring of schemes and creating appropriate interface with citizens for service delivery. The very complexity of collection and building data base involves thousands of panchayats which also involves funding. Complete computeriza-

tion that e-governance calls for is still not fully achieved. ‘IT for masses’ thinking is yet to take shape in practice. State specific IT policies have to yet to determine the most appropriate ICT for citizen interface. ICT in domains of agriculture, health, education, local language, welfare of socially disadvantaged groups are yet to become people centered with their wide participation for e-governance to translate into good governance in practice.

REFERENCES Aiyar, M. S. (2010, November 24). The dilemma of development and democracy in India. Address at Nehru Memorial Museum and Library, New Delhi. Annamalai, V. (2009). E-governance at Panchayat level: Role of infrastructure in ICT development . In Misra, H. (Ed.), Governance of rural information and communication technologies: Opportunities and challenges (pp. 217–227). New Delhi, India: Academic Foundation. Census of India. (2001). Retreived from http:// www.censusindia.gov.in/ Census_Data_2001/ India_at_glance/ rural.aspx Datta, P. (2004, July. 03). The great Indian divide. In Frontline, 36(14). Retrieved from http://www.hinduonnet.com/fline/fl2114/ stories/20040716002009000.htm De, R. (2006). The impact of Indian e-government initiatives: Issues of poverty and vulnerability reduction and conflict. Paper presented in Regional Workshop for ‘Capacity Building of Asia-Pacific e-Government Initiatives’. Bangkok, Thailand. Retrieved from http://www.apdip.net/projects/egovernment/ capblg/casestudies/India-De.pdf DIT. NCAER. (2004). India e-readiness assessment report 2004: For states/union territories. Delhi, India: Department of Information Technology, Government of India, New Delhi.

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E-readiness assessment. (n.d.). Retrieved from http://unpan1.un.org/intradoc/ groups/public/ documents/ APCITY/UNPAN014673.pdf E – readiness index of the States in India. (n.d.). Retrieved from http://darpg.nic.in/arpg-website/ Conference/ 10thconference/cd/Chap2.pdf Gautam, V. (2006). E-governance ‘paradigms’ revisited: Constraints and possibilities . In Sahu, G. P. (Ed.), Delivering e-government (pp. 1–5). New Delhi, India: Gift Publishing. Hermon, R. R. (2009). ICT infrastructure for rural development: Issues and priority for application . In Misra, H. (Ed.), Governance of rural information and communication technologies: Opportunities and challenges (pp. 265–272). New Delhi, India: Academic Foundation. India’s Rural Poor. (2007). Why housing isn’t enough to create sustainable communities. Retrieved from http://knowledge.wharton.upenn. edu/ india/article.cfm?articleid=4219 Karwal, A. (2009). E-governance and citizen’s charter: An agenda for an effective delivery mechanism – The Ahmedabad experience . In Misra, H. (Ed.), Governance of rural information and communication technologies: Opportunities and challenges (pp. 67–96). New Delhi: Academic Foundation. Kaushik, P. D., & Singh, N. (2004). Information Technology and broad-based development: Preliminary lessons from North India. World Development, 32(4), 591–607. doi:10.1016/j. worlddev.2003.11.002 Manzar, O. (2002). Rural development through broadband, wireless and mobiles. Retrieved from http://Www.Livemint.Com/2010/06/ 20211100/Rural-Development- Through-Broa. Html?Atype=Tp

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Moily, V. (2007). Local governance: An inspiring journey into the future. Sixth Report, Second Administrative Reforms Commission (p. vi). New Delhi, India: Government of India. Moily, V. (2009). Citizen centric administration: The heart of governance. Twelfth Report, Second Administrative Reforms Commission (pp. i–iii). New Delhi, India: Government of India. Nath, K. (2008). E-governance: Strategy, policy, prescription and prospect for the ‘common man’: A Case study of government of Orissa vis-à-vis India. Paper presented at the 17th Biennial Conference of International Telecommunications Society (ITS), Montreal, Canada June 24-28. Retrieved from www.its2008montreal.org Networked Readiness Index 2009-2010. (2009). The Global Information Technology Report 2009–2010. World Economic Forum. Retrieved from http://www.insead.edu/facultyresearch/ centres/elab/rightnav/documents/ NetworkedReadinessIndex_2009_10_Rankings.pdf Oneworld Southasia (2004). Retrieved from http://southasia.oneworld.net/ OWSAInfo/ FunctionalArea/ KnowledgeServicesDeliveryForGrassroots Planning Commission. (2006). Ministry of Panchayati Raj report of the Working Group on Democratic Decentralisation & PRIs, 2006. New Delhi, India: Government of India. Prasad, K. (2006). Indian administration: Politics, policies and prospects. Delhi, India: Pearson Longman. Rao, M. V. (2009). ICT for rural development . In Misra, H. (Ed.), Governance of rural information and communication technologies: Opportunities and challenges (pp. 203–216). New Delhi, India: Academic Foundation.

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Rattan, N. (2005). National e-governance plan of India: Driving good governance using ICT. Retrieved from www.digitallearning.co.in Ray, D. (2006). A study on e-government readiness of Indian states . In Mitra, R. K. (Ed.), Egovernment: Macro issues (pp. 107–122). New Delhi, India: Gift Publishing. Sharma, B. D. (2004). The little lights in tiny mud pots defy 50 years of anti-‘Panchayat’ Raj (p. 75). New Delhi, India: Sahyog Pustak Kuteer Trust. Shukla, S. (2003). Why e governance projects fail. Retrieved from http://www.intosaiitaudit. org/ muscat/India-Why_EGovernance_ Projects_Fail.pdf Sood, A. D. (2001). How to wire rural India: Problems and possibilities of digital development. [Mumbai, India]. Economic and Political Weekly, 36(43), 4134–4141. Subuddhi, K. (2006). E-governance in rural India for poverty alleviation and development administration: An approach towards administrative reforms . In Mitra, R. K. (Ed.), E-government: Macro issues (pp. 295–297). New Delhi, India: Gift Publishing. Teledensity in Urban and Rural India. (n.d.). Retrieved from http://www.assams.info/2009/12/ tele-density-in-urban-and-rural-india.html The Global Information Technology Report 2009-2010. (2010). Retrieved from http://www. weforum.org/pdf/GITR10/ TheNetworkedReadinessIndexRankings.pdf UN Global E-Government Readiness Report. (2004). Retrieved from http://unpan1.un.org/intradoc/ groups/public/documents/ un/unpan019207. pdf UN Human Development Report. (2010). Retrieved from http://hdr.undp.org/en/

Weerakkody, V., & Dwivedi, Y. K. (2006). Transforming local government . In Mitra, R. K. (Ed.), E-government: Macro issues (pp. 249–263). New Delhi, India: Gift Publishing House.

ADDITIONAL READING Agarwal, N., Sahu, G. P., & Mittal, V. (2006). E-government: A study on current scenario in rural India . In Sahu, G. P. (Ed.), Delivering Egovernment. New Delhi, India: Gift Publishing. Asoka Mehta Committee Report. (1978). Committee on Panchayati Raj Institutions. Government of India, Ministry of Agriculture and Irrigation, Department of Rural Development, New Delhi. Bakshi, P. M. (1998). The Constitution of India. Delhi, India: Universal law Publishing Company. Bhatnagar, S. (2004). E-government: From vision to implementation. New Delhi, India: Sage Publications India. Bhattacharya, M. (2011). Telecom sector in India: Vision 2020. Background Paper Submitted To the Committee on India: Vision 2020. Ghosh, A., & Banerjee, G. (2006). A study of egovernance in rural India . In Sahu, G. P. (Ed.), Delivering e-government. New Delhi, India: Gift Publishing Government of India. (2004). A compendium of resolutions of the Seven Round Tables of Ministers in charge of Panchayati Raj. New Delhi: Ministry of Panchayati Raj. Heeks, R. (2000). Reinventing government in the information age. London, UK: Routledge Press. Information Technology Action Plan India. (1996). Human resources development recommendation, part III: Long-term national IT policy 1996-2008. International Labour Organization (ILO). Retrieved from http://www.ilo.org/public/english/ employment/skills/hrdr/init/ ind_1.htm#3

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Kaushik, P. D. (2002). Information Technology: Decentralisation and the rural poor in India . In Gangopadhaya, S., & Wadhwa, W. (Eds.), Economic reforms for the poor. New Delhi, India: Konarak Publishers. Kaushik, P. D. (2004). An agenda: Electronic governance for the poor . In Keniston, K., & Kumar, D. (Eds.), Experience in India: Bridging the digital divide. New Delhi, India: Sage Publications. Labelle, R. (2004). ICT policies formulation and e-strategy development. Bangkok: UNDP, Asia Pacific Development Information Programme. Mathew, G. (2003 January 11). Panchayati Raj institutions and human rights in India. Economic & Political Weekly. Mumbai, India. Mitra, R. K. (2006). E-government: Macro issues. New Delhi, India: Gift Publishing House. (2004). National E-Readiness Report. New Delhi: National Informatics Centre, Department of Information Technology: Government of India. Panchayati Raj Update. (2009 March). New Delhi, India: Institute of Social Sciences. Report, A. (2006-07 & 2007-08). Panchayati Raj Department, Government of Orissa, 2008. Retrieved from www.orissagov.nic.in Report of the Committee on Panchayati Raj Institutions. (1978 August). Ministry of Agriculture and irrigation, Department of Rural Development. New Delhi, India: Government of India. (2005). Report of the Eleventh Finance Commission for 2000-2005. Delhi, India: Akalank Publications. Report of the Expert Group on IT Programmes. (2008). Ministry of Panchayati Raj. New Delhi, India: Government of India. Report of the Twelfth Finance Commission. (2004). Local bodies. Delhi, India: Akalank Publications.

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Sahu, G. P. (2006). Delivering E-government. New Delhi, India: Gift Publishing. Second Administrative Reforms Commission Sixth Report. (2007). Local governance: An inspiring journey into the future. New Delhi, India: Government of India. Second Administrative Reforms Commission Twelfth Report. (2009). Citizen centric administration: The heart of governance. New Delhi, India: Government of India Subramanian, M. (2007 December 10 – 13). Theory and practice of e-governance in India: A gender perspective. Paper presented in the International Conference on Theory and Practice of E-Governance. Macao, SAA: China. Subramanian, M., & Saxena, A. (2006). Egovernance initiatives in an Indian state: Some observations from a gender perspective . In Mitra, R. K. (Ed.), E-government: Macro issues. New Delhi, India: Gift Publishing House. Subramanian, M., & Saxena, A. (2008). E-governance in India: From policy to reality: A case study of Chhattisgarh online Information System for citizen empowerment (CHoiCe) Project of Chhattisgarh State of India. International Journal of Electronic Government Research, 4(2). doi:10.4018/jegr.2008040102 The Constitution Seventy-Third Amendment Act 1992 on the Panchayats. (1992). Ministry of Rural Development, New Delhi: Government of India. The National Rural Employment Guarantee Act 2005 (NREGA). (2006). Ministry of Panchayati Raj, Department of Rural Development, New Delhi: Government of India. Retrieved from http://rural.nic.in/ The State of Panchayats. (2007-08). Ministry of Panchayati Raj, Volume I, II & III. New Delhi, India: Government of India.

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UN Global E-Government Readiness Report. (2004). Retrieved from http://unpan1.un.org/intradoc/ groups/public/documents/ un/unpan019207. pdf UN Human Development Report. (2008). Retrieved from http://hdr.undp.org/en/ UNDP Human Development Index for India. (2007). Retrieved from http://hdrstats.undp.org/ en/countries/ country_fact_sheets/cty_fs_IND. html Unnikrishnan, P. V. (2006). Strengthening local self governments through IT: A case study of Kerala . In Sahu, G. P. (Ed.), Delivering egovernment. New Delhi, India: Gift Publishing.

KEY TERMS AND DEFINITIONS E-governance: E-governance refers to digital governance processes in which Information and Communications Technology (ICT) play a significant role. E-readiness: e-readiness is an assessment of the telecommunication infrastructure availability and its use in a country. It is a measure of a state’s use of Internet and the World Wide Web for provision of information, products and services. Inclusive Governance: The deployment of ICTs is expected to make government more accessible to all the citizens at the village level so that no one is excluded due to geographical or other factors. Networked Readiness: Network Readiness Index (NRI) is used to measure the degree of preparation of a country to participate in and benefit from ICT development and application. It is a measure to indicate a country’s potential to use ICT for development. “Panchayat”: In India the term ‘Panchayat’ traditionally denotes a group of five (panch) per-

sons, generally village elders, chosen by the village community and entrusted with the management of the village affairs. The term Panchayat also refers to reconciliation of disputes by the group. “Panchayati Raj”: The term ‘Raj’ denotes rule. Panchayati Raj thus denotes the rule by those chosen to manage the village affairs called ‘ panchayats’. Thus the term Panchayat and Panchayati Raj came generally to refer to village level institutions of self rule during the national freedom movement in India. Rural E-governance: E-Governance of and through the local self governing units at the village level for administration and public service delivery in rural areas.

ENDNOTES 3 4 5 6 7 8 9 1 2



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www.digitallearning.co.in http://www.mit.gov.in/eg/ms.asp www.negp.gov.in www.andhrapradesh.com www.ikisan.com www.tarahaat.com www.rajgovt.org http://www.gyandoot.net www.warana.com www.mssrf.org India’s rural poor, http://knowledge.wharton. upenn.edu/india/article.cfm?articleid=4219 http://panchayat.gov.in/ http://www.telecentre.org/en/news.detail/101805 E–governance initiatives in the States in India Retrieved from http://dqindia.ciol. com/content/top_stories/103101501.asp http://itformasses.nic.in/vsitformasses/pagel.htm http://dqindia.ciol.com/content/top_stories/103101501.asp

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Chapter 17

E-Engaging India:

E-Democracy Strategies for Empowerment and Civic Participation Kavita Karan Southern Illinois University, USA

ABSTRACT E-Governance, inclusive of e-democracy, e-government, and e-business, has the power to improve processes, connect citizens, and build interactions with civil societies. The infusion of Information Communication Technologies (ICTs) by the governments, civil society organizations, and political institutions to engage citizens, have promoted greater participation in the process of governance. E-Democracy encompasses all forms of electronic interaction between the elected government and the electorate. Examples include e-voting, e-consultation, e-representatives, e-campaigning, online deliberative polling, e-petitions, and e-referendums. India is the largest democracy in the world and a frontrunner in the use of ICTs for egovernance and e-democracy. The last few elections witnessed a surge in the use of new technologies inclusive of Internet, social networking, and mobile technologies, alongside the traditional forms of electioneering. This chapter examines the e-governance and e-democracy strategies, and the innovative new media technologies used by political parties, industrial corporations, and other organizations that have e-engaged the citizens.

INTRODUCTION The infusion of Information Communication Technologies (ICTs) by the governments, civil society organizations (CSOs) and political institutions to engage citizens through dialogue and feedback have promoted greater participation in the process of governance and citizen interaction. E-GoverDOI: 10.4018/978-1-4666-0116-1.ch017

nance, inclusive of e-democracy, e-government and e-business (Riley & OkotUma, 2001) has the power to improve processes, connect citizens and build interactions with and within civil societies (Heeks, 2001; Fountain, 2001; Welch & Wong, 2001). E-government is a subset of e-governance, and its focus is largely on improving administrative efficiency, transparency and reducing administrative corruption (Bagga, Keniston & Mathur, 2005;

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Bhatnagar, 2004; Choudhary Kala, Sarwan, & Kumar, 2007; Karan, 2004; Saith, Vijaybhaskar & Gayathri, 2008). According to Warkentin, Gefen, Pavlou, & Rose (2002), governments are embarking on einitiatives to improve the process and delivery of government services, transactions as well as communications with citizens and businesses. They recognize the potential of ICTs to bring changes and increase efficiency and effectiveness in the public and private sector (Layne & Lee, 2001; Karan, 2004; Mathison, 2003; UNDP, 2004; World Bank, 2004). India is on a threshold of information revolution and the World Wide Web has opened the global world of news and information platforms, easing the way for people to connect with the governments, other commercial and noncommercial organizations, and with each other. Despite the diverse barriers that emerge from its frontiers of diversity and divide, India is emerging as front-runner in terms of ICT users in the world. The country has adopted e-governance platforms, which is a paradigm shift over the traditional approaches in public administration in rendering of government services and information to the public using electronic means. This new paradigm has ushered in transparency in the governing process; saving of time with the government services being delivered electronically through the single window systems; simplification of procedures; better office and record management; reduction in corruption; improved attitude and job handling capacity of the dealing personnel (Menon, 2004; Mitra, 2004; Monga, 2008). Given the success at the e-governance levels, efforts are on to introduce similar electronic strategies in a move towards e-democracy. Democratic processes incorporate not only voting but also citizen participation and engagement in the political process. E-Democracy refers to the processes and structures that encompass all forms of electronic interaction between the elected government and the electorate. Examples include e-voting, e-consultation, e-representatives, e-cam-

paigning, online deliberative polling, e-petitions, e-referendum etc (Choudhury, et. all, 2007; Chadwick, 2009; Kluver, 2007; Mishra, 2009;Rahul & Sen, 2004). Bentivegna (2006) explored how the use of information communication Technologies (ICTs) brought in significant changes, where citizens have refocused their political attention outside the formal political arena. Online social networks, civil associations, single issue groups and even discussion groups can be considered indicators of what has been called “life politics” or “sub-politics”. Internet has the potential to build social capital, interpersonal trust and political knowledge (Pasek, more & Romer, 2009). Recent studies have found that political party Web sites, candidate Web sites, and weblogs have become major avenues for election campaigns, where the electorate are actively seeking information, interacting with fellow citizens and debating on economic and social issues (Anstead & Chadwick, 2007; Chadwick, 2009; Bimber & Davis, 2003; Davis, 2010; Grönlund 2001; Karan, Gimeno, & Tandoc, 2009; Kluver 2007; Tekwani & Shetty, 2007). Studies have established the use of Internet by youth and civic engagement (Shaw, Kwak and Holbert, 2010). Citizens gain political knowledge, develop partisan affiliations, and acquire a sense of civic duty as a result of political campaign messages. The advent of instant news and interactivity through mass and new media technologies facilitate novel forays into news and information dissemination, thereby cultivating fresh opportunities for civic involvement, dialogue and participation among the electorate. It is clear that the relationship between the new media technology, political communication and elections is complicated and dynamic. In the largest democracy in the world with a dynamic political system, Indian elections have undergone several changes in the last six decades. Elections have become extremely high-powered with the use of high tech modern digital technologies including Internet websites, interactive media, mobile telephones etc, to the very indigenous

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mythological based folk tales and street theaters for campaigning. Western models interspersed with traditional forms are used to communicate with the diverse Indian audiences. At present professional marketing, advertising and public relations consultancies are churning out a multitude of strategies during election campaigns. This chapter will review the successful changes of e-governance in India, which has been on the forefront with e-government initiatives in many states, and is dovetailing into e-democracy. Through a case study approach, (Wimmer & Dominick, 2006; Yin, 1994), it will examine the strategic marketing and new media technologies used by political parties, the Election Commission of India (EC), the major business corporations and examine how these strategies were successful in engaging the electorate, particularly the youth of India. Further to the introduction, the chapter is divided into five sections; the first provides a theoretical framework and the background on India and reviews the e-government strategies, the second sections examines political communication in India and how new media were used by the political parties, the third section reviews the aspects of e-engagement with the profile of new voters and new media technologies used during the elections, the fourth section covers the initiatives by major national corporations for engaging the electorate and the impact of the campaigns, and the fifth section discusses the e-democracy strategies and concludes the chapter with future directions for research on new media technologies and elections in India.

BACKGROUND Theoretical Framework The extensive use of new media technologies (NMTs) in election communication are influencing the political socialization of voters, encouraging online debates, political cyber communities and

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support groups (Ackland & Gibson, 2006; Adamic & Glance, 2005; Bentivegna, 2006; Chadwick, 2009; Davis, 2010; Bimber & Davis, 2003; Davis, 2010; Grönlund 2001; Karan, Gimeno & Tandoc, 2009). Considerable literature in political communication has evolved in the western democracies as well as in Asia in the last decade (Kluver, 2007; Park et al., 2000; Takeshita & Makami, 1995; Karan, 2009; Willnat & Aw, 2009). Most studies have found that countries across the world are adopting election strategies similar to the American styles of campaigning (Diamond & Bates, 1988; Elebash, 1984; Blumler, 1987; Johnson et al., 1991; Willnat & Aw, 2009) and in recent years are following the Obama style of using new media technologies for campaigning in the 2008 elections. The vital role of the Internet and mobile technologies in the 2008 US election has further endorsed the interest and relevance of these technologies in India’s own election processes and dialogue. As a result, e-democracy has emerged as a channel to enhance political accessibility, increase citizen dialogue and build more expansive participation in India’s political processes (Prasad, 2009). Grönlund (2001) explained that it had been clear from the onset that electronic media play a significant role in opinion building and voting among the electorate by influencing the process of political opinion-formation of an individual. Social Networking Sites (SNS) are a particularly intriguing category of Internet use because they are designed to emphasize social ties and have enormous prevalence in younger age cohorts. It was reported that nearly 60% of 14-22 year olds use some social networking sites (Pasek, eian more and Romer, 2009). Though the Internet is extensively providing users with political information to encourage civic engagement, it is not clear whether it is resulting in online social networking and political knowledge. In the 2008 US Election Day, the taskbar on Facebook reminded individuals to vote and similar strategies are being used to involve and remind people to be part of the elec-

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toral process. This chapter explores how political actors in India used NMTs in political discourse. Since India is no stranger to the fact that she has become one of the strongest emerging economies in the world, where some of the new technologies are created and tested by its more tech savvy and younger population, it didn’t come as a surprise that NMTs would figure quite significantly in the political discourse in the country.

India: The Largest Democracy in the World This section presents a brief background of the politics in India, its electoral process, and its foray into new media technologies in election campaigns. India is the seventh largest country in the world, with over a billion people, accounting for 17% of the world’s population. In the 2009 elections approximately 714 million Indians were eligible to vote in the fifteenth general elections. Located in South Asia, the country is divided into 28 states and seven Union territories. There is a vast urban-rural divide with about 60% of the people living in rural India. The country presents a picture of unity in diversity, which is evident in its multiracial, multilingual and multi-religious society. The constitution of India recognizes 19 languages and there are over 200 dialects. Hindi is spoken by about 40% of the population and English is widely used for communication. Though the literacy rate has increased to 64% (75% male and 54% women) in the last decade, it is still low, and the government is making concerted efforts to substantially increase the literacy levels. Indian media system has undergone several changes in the last decade with a steady increase in the readership of newspapers and viewership of television. Most newspapers have online editions, while radio and TV reach almost 95% of the population, with some channels providing online access. The reach of the Internet is still low at 15%, while some 325 million people are mobile phone users. While only about 20% of

the Internet user base in India is from non-urban areas, mobile phones are making fast inroads into rural India. It was not long before political parties were extensively using these technologies for election campaigning. The Indian parliament comprises of the Rajya Sabha (Upper House) and the Lok Sabha (House of the People). Parliamentary elections are held every five years. The problem in Indian democracy has been the low voter turnouts over the years, with as low as 40% in some states. There is a general lack of interest, misconceptions, and presumed inefficiency of the governments that has set in indifference to the political system among the citizens. The strength of the emerging Indian economy in the global scenario has aroused the need for political stability and good governance, and this realization has evolved not only from the government, but also from the private sector and citizens themselves. Historically since independence, Indians have been revolutionary in creating mass movements that were evident in the struggle for independence, when leaders like Mahatma Gandhi, Jawaharlal Nehru and Lokmanya Tilak among others raised a collective voice in strategically creating mass awareness among the people to join the freedom struggle resulting in independence from the British. A similar integrated strategy is being adopted in India even today, with efforts being made to ‘arouse the Indians’ particularly the youth to raise their consciousness as citizens, to introspect into their present and future, to make India a better place to live, and be the catalysts of change through participation in the democratic process. The media of communication is changing, particularly for the youth, from interpersonal to mass media and to the new media technologies.

E-Governance in India One of the fastest growing Internet economies of the world, India has the fourth largest Internet market, accounting for approximately 15% of

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all new traffic online. In a latest report, the total Internet users are estimated at 52 million active users and are expected to grow to over 200 million over the next four years (Sarkar, 2008). At present 8.5% of the population is connected to the Internet according to the Internet World Stats (2010). At the same time India is taking the second position in mobile Internet consumption next to US with people accessing the Internet from mobile phones (Gupta, 2010). These technologies are being used in e-governance and other business and social activities. The concept of e-governance in India began with the National Informatics Centers’ (NICs) efforts to connect all district headquarters through computers in 1980’s, which included connectivity, networking, selective delivery systems and an array of software solutions. The creation of Centre for e-Governance to disseminate the best practices in the areas of e- governance for the Central and State Governments has met with success and acts as a nodal center to provide general information on e-governance (Sharma, 2006; Sachdeva & Mathur, 2005; Ghosh, 2003; Kaushik, 2004; Karan & Mathur, 2010; Rahul & Sen, 2004). Some of the over 70 successful projects include; Sampark and e-government technique in the Union territory of Chandigarh has resulted in a responsive and effective administration to ensure better quality services to the citizens. In the Sustainable Access in Rural India (SARI) project in the State of Tamil Nadu, the use of ICTs has enabled improved agricultural practices for the farming community. The Project Smart Government in the State of Andhra Pradesh endeavored to provide simple, moral, accountable, responsive and transparent (SMART) governance to its people. At present the urban and the rural folks in the country are benefiting from several e-government services that are providing them information services of water, land, weather, bill payments, registrations, exam memos, market information as well as matrimonial services. The seeds of development in infrastructure are in place and egovernment services are already having the impact

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in increasing transparency and accountability as well as increasing citizens levels of satisfaction, women’s empowerment, greater social consciousness, reduced corruption, exploitation and ignorance as evidenced by studies done by researchers. (Chand, 2006; Chatterjee, 2003; Ghosh & Arora, 2005, Gupta & Jana 2003; Karan & Mathur, 2010; Monga, 2008; Saibaba, 2006; Saith, et all, 2008).

POLITICAL COMMUNICATION IN INDIA: OLD AND NEW CHANNELS India has had a rich and diversified political experience since gaining independence in 1947. Amid “intense political activity” characterized by failures and downturns involving 14 elections after independence, India has remained steadfast with its democratic ideals (Karan, 2009, p. 191). Furthermore, political strategies remain dynamic as voter demographics in the country changed, along with the increase in the number of political parties and the infusion of technologies (Manor, 1988 as cited in Suri, 2002; Karan, 2009). As in most other media systems, political news coverage dominates Indian mass media. During elections, newspapers, radio and television increase coverage through special reports and special supplements to cover the campaigns and electoral trends (Karan, 2006; Kumar, 1991;Vijaypur & Balasubramanya, 2003). The use of new technologies is not new to the Indian electorate; political parties have long experimented with using audio and videocassettes and are now using the Internet and mobile technologies. The new media technologies are being interlinked with interpersonal, door-to door, public meetings and folk forms to support the online and offline activities in reaching the urban and rural audiences (Ahuja & Paul, 1992; Karan, 1994, 2010; Kumar, 1991; Manuel, 1993, Prasad, 2008) At the same time private sector organizations, NGOs and civil society organizations are raising civic consciousness and calling upon people

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to participate in the political process. The most popular campaigns were the “Jaago re” (awaken India,(Jaago re, 2009), Lead India, and My Idea campaigns that are engaging the citizens (Dina, 2009; Mohnot, 2009). These NMTs are changing the ways in which the Indians, particularly the Indian youth, are being engaged in the political process, which was not the case until the 2004 elections. Hachigian (2003) explained that the treatment of ICTs in the country: ..technology has not played an influential role in India’s politics. Many of the large political parties do have websites, and some of them are updated frequently. But parties are not using the Internet or other advanced technology to mobilize citizens or to gather input from them in part because IT penetration is quite low among the general population (p. 70). However, the 2009 elections were a landmark when the Election Commission of India (EC), political parties and corporations used NMTs for political communications as never before. The campaigning involved a host of audio and video tools, online initiatives (Web sites, blogs, online chats and social networking sites) and mobile phone campaigns and even public opinion polls sponsored by print and electronic media (Karan, 2009). Online reports suggested that the parties used the Obama style of campaigning (Gaurav Mishra, 2009). In analyzing recent political einitiatives in India, Gowda (2007) noted that these activities were initiated by young, educated Indians who wanted to break the monotony of old politics by reaching out to people of the same demographics through online campaigning. These strategies have helped to increase voter registrations, clear misconceptions of political processes and are motivating citizens to fight corruption, raising the standards of political leaders, stop complaining and take charge of themselves as citizens of the country and vote during the elections. What is interesting is the smooth convergence of the online and offline tactics in reaching the electorate and the perceived and actual impact of these strategies

on the scope of e-democracy in the future. In the following section, we study the strategic changes in the electorate and the ways in which they were engaged through the mass and new media.

E-ENGAGEMENT: THE PROFILE OF THE NEW VOTER, NEW MEDIA TECHNOLOGIES- INTERNET AND MOBILE MARKETING The New Techno Savvy Voter Technological advancements are impacting the electoral system, but the most important change is the demographic profile of India’s electoral base. More than half of India’s 1150 million people are younger than 25 years, about 42 million new voters added since 2004. The electorate comprises of 30% of youth aged between 18-30 years. However, campaigns stated that only 16% of youth voted in the elections, and there is no better way than to engage them through the use of new media. The need for new media technologies for engagement is even more, given that young people today are engaged in their own international dialogue through the most current forms of technology (Pelosi, 2007). The Indian Market Research Bureau conducted a survey across 31 cities among 19,000 households and 68,000 individuals to map the growth and the characteristics of Internet usage in India. There is an increase in the personal computer users from 72 million to 87 million on 2009 as there has been an increase in the penetration in towns and rural areas. The most used services are email, general information search, educational information and music and video downloads. As seen in Table -1, youth continue to drive the surge in Internet use among the total users and the primary use of Internet is for information and entertainment. These young voters were witnessing a range of digital initiatives from political parties, the EC, national private sector undertakings, civil society organizations and media groups.

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Table 1. Internet use by youth in India 21.6 million active Internet users in 31 cities in India There is 24% Internet penetration 37% of the people access the Internet from Cyber cafes About 4% access Internet from Mobile phones (2009) 14% of School going Kids (8-17 years) access the Internet 30% of College going students (18-25 years) 28% of Young men in the age group of 21-35 years who are not school or college going access the Internet Users were spending 9.3 hours per week in 2008 and it increased to15.7hrs in 2009 Hours per week 65% were accessing information for educational purposes Source: IMRB (2010). I-Cube 2009-10. Net Marketers guiding light since 1998. Retrieved from http://www.iamai.in/Upload/ Research/icube_new_curve_lowres_39.pdf

Election Commission of India (EC) and New Media Technologies The EC regulates the conduct of elections given the mammoth exercise of voting by an electorate of over half a billion in two to five phases across the country. The use of NMTs in successive elections has increased the efforts of EC in conducting of free and fair elections. The EC has one of the most comprehensive websites in the country with several indigenous programs that provide several links to various services across the states. Launched through the National Informatics Center (NIC), it connects to states and district centers to provide electoral services. The central website provides comprehensive data on electoral rolls and affidavits of contesting candidates. Some of the services include; hosting of State Chief Electoral Officers Websites on NIC web, Internet access through dial up connectivity (ISP) services, Data Verification and cross verification. They are also linked to elections results (http://electionss.nic.in. During the elections, the General Elections System (GENESYS) software was used for capturing the data from the Chief Electoral Officers from all the district centers across the country. The use of electronic voting machines, Internet

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and mobile electronic devices has increased the efficient functioning of the EC in the conduct of the elections. The monitoring system allowed daily monitoring and updating of complaints received on electoral rolls (Surana, 2010). A major function of EC has been to run voter awareness campaigns to educate voters for the conduct of free and fair polls. As Indian elections were marked by voters being influenced by incentives of cash and kind or by violence, every election the EC runs awareness campaigns to educate voters on the poll logistics, as well as persuades them to vote and vote freely without being influenced by such incentives or threats. Unlike most democracies, a campaign run by the government for creating political awareness was unique to India (Karan, 1994). These voter education campaigns, through newspapers, radio, television and posters, and more recently through the use of NMTs create awareness of the political process, increase voter participation and induce people to vote without fear (Indian elections can be violent). In the run up to the 2009 general elections, national corporations like the Tatas and Birlas partnered with EC with non-partisan campaigns in engaging the voters, for increasing voter registration and political participation. Some of these campaigns are discussed later in the chapter.

Electronic Voting Machines (EVMs) The use of EVMs has had a marked impact in the voting system in a large democracy like India. Though the EVMs were introduced in 1995, it was only in 2004 and 2009 elections that they were deployed in a big way across the country. Over a million (1.36) EVMs across India were deployed in 2009 elections in over 800,000 polling booths for the conduct of the Electronic Parliamentary Elections making the 2009 elections one of the largest digital elections in India. These battery-operated EVMs not only met the different infrastructure requirements in the remote parts

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of the country, but also restricted malpractices like bogus voting, rigging, booth capturing and mass voting. The votes were cast by pressing the button next to the name and party symbol of the desired candidate and recorded in the machine. As an EVM is programmed to record only five votes in a minute, a maximum of 3840 votes can be cast in a single EVM. The use of such machines not only eased the system of yards long ballot papers, but also increased the speed of voting and for building up the database for varied analyses required by the government. Counting of votes is very fast and the results can be declared within two to three hours, when compared to 30–40 hours on an average, under the ballot-paper system. It was also a source of reassurance to the voters in terms of the security of voting. GPS Mobile handsets: To control any offences during polling, GPS-enabled mobile handsets were distributed to sector officers to communicate and mobilize them quickly to rush to sensitive polling stations where electoral malpractices or voting violations occurred. The EC also built a web reporting system to upload media clippings and enable officers to easily report any violations of the voting code.

Voter Awareness Campaigns by the EC EC leads the mass voter awareness campaigns to educate on poll logistics and encourages citizens to vote without being influenced by incentives of cash or kind, or by caste or religion. The Tatas with the Jaago Re (awaken now) campaign, Aditya Birla Group’s, Ideas Celluar’s ‘Change begins with an Idea’ and the Times of India ‘Lead India‘ campaign were engaging the voters through the mass media, Internet and mobile technologies. The impact of these campaigns was reported to be good as it increased the voter registrations and voter turnout. As a result of the campaigns, there was an increase in the voter registrations and voter turnout from 5-10% across the country.

Association for Democratic Report (ADR) (http://wee.adrindia.org) ADR founded in 1999 is a non-profit organization that runs two major programs on electoral reforms and political process reforms. The comprehensive website hosted the National Election Watch (NEW) and the myneta.com. NEW is a nationwide campaign for supporting electoral reforms, improving democracy and governance in India. Using the Right to Information Act (2006), the website Nationalelectionwatch.org tracks the political parties with details of each candidate’s financial, criminal and educational backgrounds. This exercise has restricted candidates with criminal records and defaulters from contesting the elections. About 1200 Non-Government Organizations (NGOs) and citizens collect the data from affidavits filed by the candidates. Political failures and corruption are often reported in many Asian countries, but innovations in India has been another website Myneta.info (My neta.com /my leader.com) is a comprehensive website providing not only the candidate’s demographic data, but also details their educational and professional experience, their monetary assets, total movable and immovable assets, liabilities and also their criminal record. The information from the candidate’s includes party affiliation, criminal cases, education, age and gender. According to the data, 222 candidates or 16% of 1425 candidates running the elections in the first phase of elections had criminal records (Prasad, 2009). The site also has Face book page with around 7186 members. These and other similar online channels, blogs and forums will give a better choice to the citizens connecting to the Internet to make informed decisions, increase transparency and voting.

Political Websites, Hyperlinking, and Interactivity Political Web sites first launched in the late 1990s have now become commonplace as most parties

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and candidates have a web presence. The Websites of major parties provide extensive details about the party organization, ideology, history, networks, electoral performance and call for membership. During elections these websites are active with regular postings of campaign schedules, news reports, video clips of campaigns/meetings/rallies of party leaders and advertisements to mobilize voters during elections. Hyperlinking is said to have a two-way perspective when a Web site can be connected to another by linking (outlinks) and when others link back (inlinks) (Park et al, 2000 cited in Karan, et al., 2009;Williams et al, 2005). These are important in political discourse, where hyperlinks serve as an important feature of political communication. Most of the Indian political websites, particularly those of the Indian National Congress (INC) and the Bharatiya Janata Party (BJP) were interactive and linked to the many related stories of the elections, the news stories, advertisements, coverage in newspapers, public meetings and rallies (Karan & Gimeno, 2010). These, hyperlinks can bring about “a set of new and important communicative functions” that would help propel the candidates’ presence and make them more accessible to people (Ackland & Gibson, 2006 cited in Karan, et al., 2009). Hyperlinking would most certainly figure prominently as one of new technology’s contributions to current political communication. An analysis of the websites found that most of the websites had information on the parties, but were not interactive or provided hyperlinks to other sites, if viewers needed to seek more information or voice their opinions/feedback (Karan & Gimeno, 2010).

Social Networking Sites in Political Campaigning: You Tube, Facebook, and Orkut An increased use of technology in politics is the experimentation with social media by political

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parties, and their candidate’s presences across the world on Face book and Orkut, fairly active blogs, and Twitter feeds, similar to the Obama campaigns (Turkhiemer, 2007; Williams & Gulati, 2007). YouTube and Friendster are very popular among young Internet users in India. It was only logical for the political parties to turn to these sites to expand their networks and establish their presence among Indian voters. Twitter has become a rage with many political leaders who were twittering away with their fans. As broadband Internet has spread throughout India, online videos have become popular with politicians and citizens uploading videos on YouTube. Indian National Congress (INC) and the BJP had a series of videos circulating on the YouTube, while other parties and candidates also had a few party and personal videos. Other popular videos were of the young and popular Indian celebrities from film and television industry directing youth, sometimes forcefully to register and vote, all of which were a step in the right direction to motivate the young voters. Although social networking sites are increasingly being used in political campaigns, it has not yet been fully established that they can directly affect election results; but there is already a trend of positive contributions from these sites that led to voter decision in favor of a political candidate Obama (Conners, 2005). The SNS campaigning in India would likely generate a buzz in coming elections as more users from India are taking to the SNS. According to December 2009, data from Facebook, India ranked 17th in the top 30 countries with the most number of users at almost 5.5 million (Burcher, December 2009). This is negligible when compared to the number of Internet users in the country estimated at 81 million (Internet World Stats, 2009, September 30). However, Facebook also reports that the growth rate of users from India increased by 400% in 2009 (Burcher, December 2009). In future Indian political parties are likely to exploit this medium to the maximum. Social networking

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sites have become a forum for political discussions, debates and postings of news, information, views, accusations, persuasions and behavioral changes. Blogs: Blogs are a source of personal interaction among the leaders, analysts and citizens. Initiated by the BJP leader, L. K. Advani, it was not long before other politicians and parties created blogs to directly communicate with the electorate (http://blog.lkadvani.in/). Interestingly, during elections political analysts and social groups who were continuously monitoring and updating the political developments in the country also set up blogs. (Gauravonomics, 2009). These discussion blogs kept the people interested in the campaigns, voicing their opinions, and keeping the dialogue going during the election period. The analysis and comments on Blogs will provide many opportunities to understand citizens’ opinions and can be used to make changes in the policies, programs and elections issues.

NARRATIVE ANALYSIS: E-ENGAGING THE ELECTORATE-CORPORATE AND CITIZENSHIP INITIATIVES DURING THE ELECTIONS Corporate social responsibility and elections is one of the new developments in the Indian history. It was the first time that major industrial houses, civil society groups and other voluntary groups used the NMTs for increasing the voter awareness, registration and transparency in the campaigns. The three most interesting initiatives in the 2009 Indian general elections were; Jaago Re by Tata Tea, My Idea from Idea Cellular by Aditya Birla Group and Lead India, Let the vote count by The Times of India group, a leading newspaper conglomerate. At the same time Internet has been used by Non Profit organizations such as Association for Democratic reforms (ADR), Janaagraha Center for Citizenship and Democracy and Public

Interest foundation. These organizations used the Web, along with traditional media of radio and television to launch public campaigns geared toward raising awareness among the electorate. The following section gives an overview of the campaigns.

Innovations in Voter Registration The major problem in India was not only low voter turnouts, but also the problems of voter registrations. The cumbersome process of registration in the municipal offices of hometowns and lack of voting information further distanced people from participating in the elections. It was found that only 16% of the youth voted, and election days were treated as holidays to indulge in recreational activities (Jaago Re,2010). Past campaigns and efforts had little impact, until integrated efforts from the EC, industrial houses, civil society organizations, celebrities from film and television world pitched in, literally creating a social movement in arousing, motivating and directing them through several ads to register, and vote. This was an excellent marketing and advertising technique of reaching consumers/youth in spaces where they were and the ways that they could be reached was through the new media of Internet and mobile technologies. More importantly the messages were directed by youth, their peers, rather than lectured or advised by the older generation. The following paragraphs details these campaign initiatives.

Jaago Re (Wake up/Awaken India) One Billion Votes Campaign by Tata Tea A series of Jaago Re campaigns were launched by Tata Tea (The Tata Group is one of the largest industrial conglomerates in India) and Janaagraha, a leading organization that is advocating citizen participation in governance. Jaago re is a series of corporate responsibility campaigns started by

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Figure 1. The Jaago re campaign website

the Tata group since 2007 to build social consciousness and arouse people on various issues like electoral indifference, corruption, women’s issues among others. The second campaign Jaago Re One! Billion Votes during the elections was most popular in advocating people to register and participate in the elections. The campaign advertisements were initiated by youth to be key agents for a positive change in the democracy. The interactive website jaagore.com provides information on election issues, allows people to interact and also express their apprehensions or problems related to the election process. For the first time in India the website, www.jaagore.com hosted an online voter registration engine to allow citizens across the country to register as voters, a process that could be completed within five minutes. A number of interesting ads in the mass media directed them to the websites to register and reminded them to vote. The registration drive that was started in colleges in 35 cities spread throughout the country. Voters had to go to an interactive application to identify their constituency, prepare a ready-to-print voter registration form, and find the nearest voter registration center. They were updated via a SMS when their names were added to the voting list. This e-strategy persuaded several large col-

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leges and companies to enroll voters and also convinced the EC to allow bulk submission of registration forms. Large Industrial corporations and software giants like WIPRPO and INFOSYS also pitched in to participate in the Jaago re campaign. Leaders, industrial heads, celebrities and common men alike were engaging the citizens in the Jaago re social movement with inspiring speeches and advertising campaigns. One of the major innovations of new media was the online registration of voters; such tactics if connected to the voting patterns will significantly decrease the number of non-voters. Another innovative strategy of making India a successful democracy and increase participation was to motivate young persons to volunteer to pass on the messages. A customized toolkit was available online where one could download posters, fliers, emails, FAQqs, videos and banners to pass on to friends and family in creating awareness. The coordinated effort of Tata Tea and Janaagraha brought in comprehensive knowledge on electoral processes, and citizen participation. The four-pronged strategy allowed people to act (people can use their spare time to act, participate or volunteer), speak up (saying and motivating others), learn (get empowered to act) and finally connect (team up to kick start a movement). It was

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Figure 2. The My Idea website by Idea Cellular

a perfect example of corporate-public partnership aimed at bringing about meaningful change in the society. Jaago re had an active social media presence of 160,000 members on Face Book and 13,000 on Orkut. In continuation of the Jaago Re, One Billion Votes campaign, Tata Tea through a new campaign is urging the citizens of the country to awaken and fight against corruption. The campaign seeks to highlight the key message that there would be no bribes taken, if no one was to offer them. Overall, it is a highly responsible and development oriented association that companies like the Tata Group, one of the largest industrial conglomerates in the Indian corporate sector to have taken up toward strengthening and supporting the Indian democratic system. Though the overall numbers connecting to the Internet is low in the country, this continued effort can encourage e-engagement through, e-information, e-interest, e-interaction and e-participation.

Idea Campaign by Idea Cellular The second popular e-engaging movement to raise consciousness of the political process was the My Idea campaign by Idea Cellular Phone Company of the Aditya Birla Group. In continu-

ation of its participatory democracy ad campaign, Idea Cellular launched a website myidea.co.in titled ‘change begins with an Idea’. The website allows users to raise issues on socially relevant topics like politics, society, economy, sports and entertainment. The strategy behind the campaigns was to raise “the idea of Participative Management for Governance where two-way communication was encouraged between government and public.” (myidea.com.in) Further, the campaign demonstrates the power of new media, where there is a direct interaction between the government and public through the mobile phone. For example; a lady politician, aided by her tech-savvy assistant Abhishek Bachchan (famous Indian film hero), gathers the views of the citizens in her constituency using mobile phones on making a decision based on the responses of the citizens. The purpose was to provide a platform for meaningful political debate for leaders and people to make right choices. The website ‘change begins with an Idea’ has become a popular theme and the campaign has been successful in generating ideas for development, thereby increasing political comment, debate and interest among the citizens.

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Figure 3. The Lead India website by The Times of India

Lead India by the Times of India The Lead India campaign by the leading newspaper group, The Times of India (TOI) was a movement that began on Independence Day in 2007 to mark 60 years of India’s independence to arouse Indians into leadership positions which included a nationwide televised ‘talent-hunt’ to search for the next generation of Indian leaders. The inspiring campaign urged the people to stop complaining, realize their responsibilities, be active citizens, participate in nation building and be a nation of doers to realize their dreams. Supported by the former President, APJ Abdul Kalam, major celebrities from Amitabh Bachchan, Sharukh Khan, industrialists like Sunil Mittal and other popular stars and intellectuals came together to join the movement. The strategy created the required stimulus and provoked national participation. During the elections The Lead India 09 campaign with the slogan; Lets make this vote count raised political consciousness through a series of ads and urged citizens to participate in the elections. The website provided extensive information and analysis of issues, party’s candidates and campaigns and encouraged voters to register and make informed choices. Positioned as the voice of young India it featured active discussions fo-

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rums on various topics and the interactive online campaign allowed citizens to raise issues, give opinions and provide suggestions.

Vote Report India (VRI) The 2009 election may go down in the history of cyber communication and Indian election with the extensive use for advertising on social networking sites and daily analysis. While the impact of these new technologies may take time, it was an effort well done in creating the awareness, promoting healthy dialogue to engage the people and increase voter interest and participation. The Vote Report India (VRI) needs to be mentioned as one of the most interesting collaborative citizenpowered election-monitoring platforms during the 2009 elections. The VRI was an innovative and interesting collaborative citizen-powered election-monitoring platform that provided a complete and objective review and analysis of the elections. Managed by eMoksha (http://emokhsa. org) a non-profit organization, the website aimed to build stronger democracies through increased citizen awareness and engagement. Linked to various newspaper articles, political videos and other information, the interactive site also had users contribute their opinions directly through

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SMSs, email or Twitter. The editors aggregated information with news reports, blog posts, photos, videos and posted them on an interactive map (Gauravonomics, 2009). The information from the online report was also covered in the mainstream media of newspapers and television news. Such an objective, non-partisan and comprehensive evaluation would go a long way in not only increasing political knowledge and help in voting decisions, it would also help in furthering research in the area of political communication.

Indian Elections: Search EnginesGoogle, Yahoo, and Rediffusion Digital media was explored and used by most parties to grab voter’s attention and interest. Given the expanse of the online elections and also the revenue generated though advertising, big online giants like Google, Yahoo and Rediffusion pitched in to track the Indian elections to bring up to date information and urged people to make informed choices. Google’s (http://www.google. co.in/intl/en/landing/loksabha2009/) Yahoo’s site; http://in.elections.yahoo.com/ and Rediff website India Votes 2009 provided extensive updates on the Indian elections that allowed national and non-resident Indians to participate in the electoral process.

Mobile Phones and Political Discourse E-governance and e-democracy would not be complete without considering the role of mobile phones in the political discourse in one of the most active, diverse, and democratic nations. The intense penetration of the mobile phones has increased its capacity as the tool of communication particularly in developing countries (Ghyasi & Kushchu, 2004; Noll & Wallsten, 2005-06). India is on the threshold of a mobile revolution According to Pyramid research (2008) by 2012, India will be the fourth largest market for mobile

data with a revenue in excess of USD 14 billion, which is huge compared to USD 2.2 billion for all of 2007 (Pyramid Research, 2008). In India even the most marginalized communities have mobile access and the move is to bridge the digital divide to digital unite (Chandrashekhar, 2007; Garg & Garg, 2005; Kalba 2008; Karan & Khoo, 2008; Mishra, 2009). In the 2004 elections citizens were surprised to hear the voice or get a message from the prime minister himself to vote for the party. An analyses of mobile phone campaigning in the last decade points to this tool as the most utilized by candidates to reach segments of the population beyond urban areas. Most of the contending parties launched an online and mobile campaign through text messaging. In 2009, it was estimated that 3-4 billion SMSs were sent out by all the political parties along with multimedia messages, songs and wallpapers. These direct marketing strategies, comparatively less expensive will be extensively used in future, to support interpersonal communication and increase the dialogue between the candidates and citizens. It may not be long before the country may be use of Internet and mobile technologies the interactions of which are said to encourage ‘informational democracy’ (Sactell, 1996, p353 cited in Jackson and Lilleker, 2010).

Impact of the Campaigns Though there is an extensive level of web activity by both the political parties and the civil society organizations, it is yet to accurately measure the impact of such newly developed technologies on the political knowledge and the increase in political participations. However, as a result of the campaigns, there was an increase in the voter registrations and voter turnout from 5-10% across the country. According to VRI the campaigns met with success in building a number of important relationships, with civil society organizations, like Jaago Re/ One Billion Voters. They were able to generate a lot of buzz, on blogs, on Twitter, and

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in mainstream media within a very short time. They have been able to build a vibrant Vote Report India community that has been active in supporting them on both the technical and outreach side (Vote Report India, 2009). Reviewing the results of a survey conducted by a leading research organization; The Indian Market Research Bureau (IMRB) international, in the first week of May, 2010 on individuals aged 18 to 29 from respondents in four metropolitan cities; Delhi, Bangalore, Mumbai and Kolkata found that the messaging of the online campaigns from political parties did not reach nor resonate with voter (Dina, 2009). The influence of the social and political awareness campaigns were low on the young urban voters as only 18 per cent respondents spontaneously recalled the Jaago Re campaign and six per cent recalled Lead India. The advertising campaigns of the Congress and BJP had better recall amongst the youth, according to the survey. Only about a third of the respondents knew that the Congress and BJP have their own websites. About a tenth and fourth visited the Congress and BJP websites, respectively. Only about one per cent visited websites dedicated to political leaders like Lal Krishna Advani, Sonia Gandhi, Rahul Gandhi and Manmohan Singh. Even though the findings from a study conducted by a leading market research company, IMRB International, on the impact of the new media and political campaigns on youth in India was low, we would still contend that, a big and very strong beginning has been made in arousing the young Indians by the integrated efforts by the various partners; government, the private sector and other non-governmental organizations who have started a solid social movement of building civic consciousness. If carefully steered, with continued integrated efforts as was done before and during the elections, similar to other successful e-governance strategies, India will be rapidly moving towards political transparency and it may not be long before such e-democracy

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strategies may make a much wider impact in the following Indian elections.

DISCUSSION AND CONCLUSION The Indian Elections: Interlinking Campaigning Strategies Indian elections have gone hi-tech with the use of digital technologies in campaigning and in the conduct of elections. E-democracy as a part of e-governance has firmly established its roots in the Indian electorate. In the last two decades, every available new technology has been used in Indian elections to reach the diverse Indian electorate. Though the mainstream media for advertising continues to be dominant for greater reach and impact, what has changed now is the use of e-strategies, the use of the Internet and mobile technologies in particularly reaching the technology savvy youth. The interesting aspect has been to link the mainstream media, Internet and NMTs of news reports and television commercials to the party websites or posted on YouTube for greater access and popularity. All the offline activities like election rallies and door-to-door canvassing, that have traditionally been at the core of election campaigning in India are also recorded and posted on the websites and on SNS. The use of new media technologies are enhancing and supporting traditional campaigning strategies. The professionally driven election campaigns may also be attributed to the new generation of techno savvy, well educated party leaders who are taking over the reigns as campaign managers, hiring media and technical experts as advisors and executors of campaigns. The use of such tactics for reaching the youth will be more intensive in the following elections. Political parties need to maintain their online campaigns for the next five years and be in continued conversations for engaging the voters. Greater interaction of leaders through online media, informing citizens about

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issues (government projects & policies, economy, corruption, caste reservations, religious issues etc), getting citizens feedback through online polls and comments, forming an active online support group, and many more such activities are possible. A successful beginning has been made and from lessons learned, the parties in future will be better equipped to interact with multiple means to reach the electorate. The need is to keep the dialogue going during non-election times for sustaining long time support. The 2009 Indian Elections have changed the way political parties, government and business corporations as well as the NGOs are communicating with the Indian public to create awareness, political interest, gain support and draw votes. The Indian political parties have maximized the potentials offered by the Internet and mobile technologies in political campaigning in targeting youth. Almost all parties have set up informative and interactive websites, posted videos on YouTube and also used blogs and established a presence on Facebook and Orkut. SMS and MMS in urban areas were extensively used to reach the young urban voters. New media technologies indeed provided opportunities for direct communication between the parties, civic groups and the electorate. However, their maximization of use for political campaigning should be viewed, in the context of where these new technologies operate given the diversities of the country. The elections are a time of intense media activity, but for the first time in years young voters were ‘awakened’ through multiple and extensive ways of political information, entertainment and voter education. In the run up to the elections, online conversations in India have been charged with this new civic consciousness. Innovative campaigns like My Idea and Lead India No Criminals in Politics Tea’s Jaago Re and the online Vote Report India have caught the attention of urban India’s web-savvy youth. It must be noted that the youth oriented campaigns were a great starting point for the large percentage of

70% of the Indian population who are under 35 years and are connecting to the Internet along with exposure to other mass media. It is this critical group of young politically conscious voters may over time steer the future political discourse of Indian elections. India is in a phase of transition with investments in infrastructure and training in an effort towards an intensive knowledge based economy. Spearheaded by defining concrete national policies for infrastructure development, universal access to networks, these policies through ministries and departments of technology and information are emphasizing the use of digital technologies and information as a resource to increase productivity, efficiency and competitiveness. Though technology tends to get concentrated in urban areas, the use of community ‘single window centers’, ecenters and cyber kiosks are bridging the digital divide as evidenced by the successful projects in various Indian states. Several case studies have demonstrated that new technologies are playing significant role in India at the grassroots level with many education and e-governance strategies reaching remote parts of the country. Though studies have demonstrated that new technologies have been playing significant roles in campaigns in the US and a few other countries, the diffusion of online campaigning in parts of Asia, particularly in India the process, is unfolding but at a slower pace. Kluver and Banerjee (2005) listed three constraints to the impact of the internet in democratizing politics in Asia: “political culture, regulatory regimes, and unequal levels of access to information technology”. These constraints play roles in the use of the Internet for political campaigning and that access to the Internet is also dependent on available infrastructure and skills of the citizens. Therefore, it is important to look at the Internet as an integral part of a holistic political campaigning strategy, which can complement the use of traditional media and grassroots campaigning. What is also important to note the digital divide where Internet connectivity is low,

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mobile technologies will compensate for reaching the masses in remote areas. Future studies in this field of political communication would help in understanding how far the applications of the Internet and its contemporaries would go in bringing political actors closer to the public, and how politics itself would change as these new technologies become more sophisticated as societies around the world evolve. This chapter addresses some of the transitional changes that are taking place in India. The rapid development of infrastructure and the increase in the number of people using the Internet and mobile technologies in the country, the next few years In India will bring in major changes in the ways by which governments will inform and interact with each other and with citizens. Future studies in this field will reflect on how far the applications of the Internet and mobile technologies will support e-governance and m-governance in the efficient functioning of the government, improving citizen services and as well as transparency in the governments. It will also bring the political actors closer to the public, and also the ways in which political discourse will change in the years to come, as these new technologies become more sophisticated at the same time how legislatures interact within countries. Given the shifts towards e-democracy in India, it would not be wrong to propose that a strong and forceful beginning has been made, and the future electoral discourses are likely to increase greater e-participation and involvement. Indian parties will continue to link the traditional media of newspapers and television, with interpersonal forms that are important for ‘networking’ as expressed in the high tech language of corporations. Political parties are just doing that in establishing their networks of support as the sheer diversity of the country as stated earlier in the chapter make any uniform communication difficult, leave alone any technology itself. In conclusion, monitoring Indian elections is a massive yet interesting exercise as it reflects the

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extreme diversity of the country, from the very modern to the very traditional, the multiple techniques to reach multiple audiences with varying issues, communicated through multiple modes and channels. Indian elections have kept with the times and have circumspectly used information communication technologies to reach the electorate. The last two general elections in India have witnessed a surge in their use in campaigning, but what has been significant is the efforts made by the citizens, civil society organizations and industrial corporations in bringing about political consciousness, reducing apathy towards the political process, becoming responsible citizens, and increasing political participation. These estrategies have made an impact, but not in a big way, but if continued, India can look forward to a more vibrant electoral system, greater accountability of the political parties and better governance.

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ADDITIONAL READING Behrouzi, M. (2005). Democracy as the political empowerment of the citizen: Direct-deliberative e-democracy. Lanham, MD: Lexington Books. Bennett, L. W. (2008). Civic life online: learning how digital media can engage youth. Cambridge, MA: MIT Press.

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Boler, M. (2008). Digital media and democracy: Tactics in hard times. Cambridge, MA: MIT Press. Brewer, G. A., Neubauer, B. J., & Geiselhart, K. (2006). Designing and implementing e-government systems: Critical implications for public administration and democracy. Administration & Society, 38(4), 472–499. doi:10.1177/0095399706290638 Cardoso, G., Cunha, C., & Nascimento, S. (2006). Bridging the e-democracy gap in Portugal. Information Communication and Society, 9(4), 452–472. doi:10.1080/13691180600858630 Chester, J. (2007). Digital destiny: New media and the future of democracy. New York, NY: New Press. Coleman, S. (2004). Connecting parliament to the public via the Internet. Information Communication and Society, 7(1), 1–22. doi:10.1080/1369118042000208870 Dahlberg, L. (2001). The Internet and democratic discourse: Exploring the prospects of online deliberative forums extending the public sphere. Information Communication and Society, 4(4), 615–633. doi:10.1080/13691180110097030 Davis, A. (2010). New media and fat democracy: The paradox of online participation. New Media & Society, 12(5), 745–761. doi:10.1177/1461444809341435 Fenton, N. (2010). New media, old news: Journalism and democracy in the digital age. Los Angeles, CA: Sage. Geridimos, R. (2008). Mobilizing young citizens in UK: A content analysis of youth and issue websites. Information Communication and Society, 11(7), 964–988. doi:10.1080/13691180802109014 Gibson, R., Nixon, P., & Ward, S. (2003). Political parties and Internet: Net gain?London, UK: Routledge.

Gibson, R., Rommele, A., & Ward, S. J. (2004). Electronic democracy: Mobilisation, organisation and participation via new ICTs. London, UK: Routledge. Gunter, B. (2006). Advances in e-democracy: Engaging citizens and electorates online. Bradford, UK: Emerald Group Publishing. Jensen, M. J., Danziger, J. N., & Venkatesh, A. (2007). Civil society and cyber society: The role of the Internet in community associations and democratic politics. The Information Society, 23(1), 39–50. doi:10.1080/01972240601057528 Olsson, T., & Dahlgren, P. (2010). Young people, ICTs and democracy: Theories, policies, identities and websites. Goteberg, Sweden: Nordicom. Parvez, Z., & Ahmed, P. (2006). Towards building an integrated perspective on e-democracy. Information Communication and Society, 9(5), 612–632. doi:10.1080/13691180600965609 Reddick, C. G. (2010). Politics, democracy and e-government: Participation and service delivery. Hershey, PA: Information Science Reference. doi:10.4018/978-1-61520-933-0 Rogerson, S., & Beckett, R. (2003). E-democracy, rights and privacy in the age of information. Intermedia, 31(1), 18–27. Sahu, G. P., Dwivedi, Y. K., & Weerakkody, V. (2010). E-government development and diffusion: inhibitors and facilitators of digital democracy. Hershey, PA: Information Science Reference. Thomas, J., & Streib, G. (2005). E-democracy, e-commerce & e-research: Examining the electronic ties between citizens and governments. Administration & Society, 37(3), 259–280. doi:10.1177/0095399704273212 Wilhelm, A. G. (2000). Democracy in the digital age: Challenges to the political life in cyberspace. New York, NY: Routledge.

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KEY TERMS AND DEFINITIONS Criminals in Politics: This term refers to the candidates with criminal records contesting the elections and also the criminalization of politics where money and physical power is used during elections. E-Democracy: Refers to the processes and structures that encompass all forms of electronic interaction between the government (elected) and the citizen (electorate). Examples include e-voting, e-consultation, e-representatives, online deliberative polling, e-petitions, and e-referendums. E-Registrations: The process by which citizens can register online with all their personal details as voters and will be eligible to vote during the elections. Indian elections: Refer to the parliamentary and legislative elections held every five years in the largest democracy in the world.

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Internet and elections: Refers to the use of Internet for disseminating information, campaigning, social networking sites, election coverage, blogs etc. New Media Technologies (NMTs): Refer to the technology assisted devices and systems, particularly the web enabled Internet and mobile technologies. Online Campaigns: Political parties using the Internet to campaign for their parties to reach and seek support from local and overseas citizens to campaign and vote for them during the elections. Social Networking Sites (SNS): Refer to Facebook, You Tube, Twitter, Orkut that are being used during elections for campaigning. Youth and Elections: About half of the Indian electorate is young and political parties are targeting them to participate in the electoral process and strengthen the democracy.

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Chapter 18

E-Government Policy Implementation in Brunei: Lessons Learnt from Singapore Mohammad Habibur Rahman Universiti Brunei Darussalam, Brunei Patrick Kim Cheng Low Universiti Brunei Darussalam, Brunei Mohammad Nabil Almunawar Universiti Brunei Darussalam, Brunei Fadzliwati Mohiddin Universiti Brunei Darussalam, Brunei Sik-Liong Ang Universiti Brunei Darussalam, Brunei

ABSTRACT Policy reform initiative in e-Government and other public management areas such as good governance has been momentous and visible in many societies in recent years. However, in many countries, reasonably good policies have made somewhat slow progress at the implementation stage. It has to be appreciated that policy implementation occurs in several ways, manifesting multiple challenges. Taking a key interest in Brunei Darussalam and Singapore, this chapter has made an attempt to see how these challenges or critical factors play a key role in making e-Government policy a success. The authors have examined e-Government strategies in Brunei in the light of policy success in Singapore. Based on their empirical research in these two small countries in South-East Asia, this chapter highlights the salient features and success factors that have enabled e-Government policies to be successfully implemented in Singapore. Learning lessons from Singapore, the authors have proposed potential success ingredients for an effective e-Government policy implementation in Brunei.

DOI: 10.4018/978-1-4666-0116-1.ch018

Copyright © 2012, IGI Global. Copying or distributing in print or electronic forms without written permission of IGI Global is prohibited.

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INTRODUCTION With the advent of the Web and its related technologies in the 1990s, the governments across the World, especially in the developed countries, started adopting ‘Internet’ in their daily businesses to improve service quality in terms of reaching out to people and communicating with key stakeholders including business, media, professional groups and other civil society players. This public policy move has been somewhat revolutionary in speed that gradually gave birth to the concept of ‘e-Government’. The Internet and the Web have indubitably become the main medium of e-Government. They offer non-linear, two-way and non-hierarchical and 24/7 delivery systems which have the capability to significantly improve government services, if utilized effectively. However, e-Government is not merely a government website on the Internet for service delivery, it is a new way to improve government responsiveness and public outreach (West, 2004). As the 1990s also witnessed a global interest in achieving good governance to curve corruption, to improve public management and to democratise policy making, e-Government has evolved into an e-Governance process in some societies to achieve good governance elements such as accountability and transparency by connecting state with citizens. Thus the Internet and the Web has become a tool of transformation in the way government does business and citizens interact with government. In the past few years, many countries of the world paid enormous attention to developing policies and strategies around the emerging concept of e-Government. In terms of implementation and action, some countries have made quicker progress than others and potentially succeeded in producing desired results. Those who failed at the implementation stage could not take the e-Government agenda much forward. However, some countries in the latter group (e.g. United Arab Emirates), through continuous efforts and best practice research, are sharing experiences

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with and learning lessons from the successful operational models (e.g. Singapore). The conceptual focus of this chapter is to examine the implementation challenges and critical success factors in e-Government policy operation. Based on a survey and consultation with key stakeholders of e-Government, this chapter also takes a closer look at Singapore’s e-Government policy implementation model to observe the key success factors that Brunei can learn to make its e-Government strategy successful.

BACKGROUND Information and Communication Technologies (ICTs) including computers, satellite, Web and the Internet are now able to work together and combine to form the ‘networked world’ which reaches into every corner of the globe – allowing remote communities to become integrated into mainstream development and decision-making processes. There is virtually no limit to the reach of ICT. That is why it brings people closer and helps in reaching the unreached. It treats people alike irrespective of social and economic status, sex, religion and caste of creed (UNDP, 2001; Harris, 2004). ICT is a combination of two concepts – information and technology. Access to information is power. In the case of good governance, information is acquired and used strategically for public good purposes. And in the case of bad governance, the same information is used for private gains and for suppression of citizens. Access to information forms the basis for decision making and if the community is empowered by providing information and knowledge then this is the most critical factor in breaking the cycle of poverty (ADB, 2003). In a narrow sense e-Government can be defined as the use of information and communication technology, especially the Internet and the Web technology in running government activities in relation with government stakeholders. These

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activities include, information dissemination, acquiring and delivering products and services and other electronic transactions. In a broad sense e-Government is perceived as “the continuous optimization of service delivery, constituency participation and governance by transforming internal and external relationships through technology, the Internet and new media.” (Baum and Di Maio, 2000). E-Government has started gathering momentum as a policy agenda in the 1990s as the quest for good governance also accelerated across the globe. The United Nations E-Government Survey 2010 saw an unprecedented interest and success with e-Government at this time of global economic crisis.

GLOBAL AND REGIONAL SCENARIO The United Nations E-Government Survey 2010 finds that citizens are benefiting from more advanced e-service delivery better access to information, more efficient government management and improved interactions with governments, primarily as a result of increasing use by the public sector of information and communications technology. Most countries have published a tremendous amount of information online, many going beyond basic websites to provide national portals that serve as a major starting point for users to connect to government services in different ministries. Republic of Korea received the highest score (0.8785), followed by the United States (0.8510), Canada (0.8448), the United Kingdom (0.8147) and the Netherlands (0.8097) (United Nations, 2010). At the same time, many developing countries need to devote additional energy to transactional services as well as the electronic means of engaging citizens in public consultation and decisionmaking. It is encouraging that some developing countries have begun to catch up with higherincome countries despite these challenges. Bahrain

(0.7363), for example, has made significant strides in the two years since the previous survey, moving up in the rankings to 13th place in 2010 from 42nd place in 2008. Bahrain’s recent emphasis on citizen engagement and the electronic provision of government services has propelled the country into the top 15 in e-Government development, somewhat closer to Singapore (0.7476) which is among the global leaders in provision of electronic and mobile public services. With 0.4796, Brunei occupies the 3rd rank in South-East Asia after Malaysia (United Nations, 2010). The drive for e-Governance stems from the broader global consensus among scholars and practitioners that good governance implies accountability and transparency and is about looking to the total welfare of the people and that the people themselves should become empowered to make sure that their interests and concerns are addressed. This implies that it does not involve only the processes and institutions of State; but also the empowerment of people. By empowerment it means that the development whereby people (a) come to realize their own dignity and value; (b) realize that they are all committed to common shared values; (c) are able to have a voice in expressing their opinions and making decisions which affect their lives; (d) can claim their rights as citizens and see themselves as having a part to play in society; and (e) realize that, when they act in solidarity (among themselves and with other groups) they have socio-economic and political bargaining power and can press for change and reform. It is this empowerment that in turn should lead to participation. (Casimira, 2003, cited in Rahman and Naz, 2006). The discussion involving e-Government and good governance connect well with each other because both concepts share the same objectives, even though their respective focus may be different. Administrative efficiency, the quality of public services and democratic participation are the core principles of both. E-Government, however, offers the chance to overcome a certain

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particularistic focus prevailing in many good governance initiatives in favor of a more integral understanding of state reform. The reason for eGovernment being introduced as a vehicle for the promotion of good governance lies in its dualistic approach to state modernization: it combines an internal focus on administrative reform with an external focus on state-citizen (or state-customer) relations. In the context of rapidly changing roles for public and private actors in the development process, e-Government is seen as an instrument to simultaneously (i) increase the efficiency of public administration, (ii) improve public service delivery, and (iii) strengthen the openness and transparency of political processes (Haldenwang, 2004, quoted in Almunawar, et.al. 2010). E-Governance is using ICTs to bring about good governance. It uses ICTs as a catalyzing tool to promote more efficient and cost effective government, facilitate more suitable government services, permit greater public access to information and make government more answerable to citizens. Using ICT results in SMART Government (Simple, Moral, Accountable, Responsible, and Transparent). The focus of E-Governance has to be on the rural community, the poor, the disadvantaged/marginalized sections of society. E-Governance opens up possibilities for access. It ensures that citizens can participate in, and influence decision making processes which affect them closely. Citizens no longer remain passive recipients of governance services provided to them, but can proactively decide the types and standards of governance services they want and the governance structures that can best deliver them. From public management reform perspective, e-Government has become a panacea for many countries of the world. Regrettably in some societies, it has not served more than a policy rhetoric. E-Government is now one of the most popular global socio-cultural movements without much substance in many transitional countries. Reformers, in these societies, took a bandwagon approach rather than substantive reform towards

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capacity-building. Most reform packages look good on plan documents and strategic papers but lack implementation in terms of capacity building, resource mobilisation, championing reform, constituency building and so on.

CRITICAL FACTORS FOR GOOD E-GOVERNMENT POLICY IMPLEMENTATION The role of good e-Government or e-Governance can be of four folds: Firstly, improving quality of governance products/services being currently provided; Secondly, provides a new governance for services and products; Thirdly enhance participation of people in choice and provision of governance products and services and lastly, the most crucial factor is bringing new sections of society under the governance sphere (including those who are more likely to remain excluded – namely the poor, the illiterate, the differently able, indigenous people, the migrants and displaced people) (UNDP, 2001) Therefore, core values and national culture are the two important critical factors that shape a good e-Government structure to promote economic growth by streamlining government processes, providing better access to information and promoting a suitable enterprise environment to further facilitate greater business growth. Of critical importance too, the political will must be present; this is to ensure that goals and aims of e-Government is being implemented and well carried out. There are a number of other policy implementation issues that need to be addressed to make e-Government reform a workable one. Rahman and Naz summarise these in the following diagram: First and of utmost important factor in implementing public policies is the role of leadership. Leaders are important because they focus their attention on three areas: (a) spearheading participatory development of a vision for public

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Figure 1. Policy implementation success factors

sector reform; (b) motivating and bringing out the best in staff; and (c) encouraging more direct involvement of stakeholders in the implementation of reform and thereby promoting greater responsiveness and accountability of public servants to the needs and concerns of citizens and clients in society. The second challenge in policy implementation has to do with policy legitimization. According to Brinkerhoff and Crosby (2002), it is necessary to have a political champion who must assert that the proposed policy reform is necessary and vital. The authors highlight that policy legitimization should be done early in the implementation process so that there is some degree of ownership for change. The Third challenge is constituency building. Brinkerhoff and Crosby (2002) view that any policy needs to be marketed and promoted and an adequate constituency for the policy be developed. Constituency is defined by Brinkerhoff and Crosby (2002, pg.26) as “those who will benefit by the change… They maybe consumers of the service provided, providers of inputs, or officials within the implementing agency who find their position or status enhanced by the change”. The fourth challenge is resource mobilization. Ames (1987) says that

resource accumulation means securing both initial funding and assuring the policy a place in the governments’ budget allocation process. To implement a new policy, human, technical, material and financial resources are needed (Grindle and Thomas, 1991). The fifth challenge is organizational design and modification. Significant policy changes affect an agency in terms of its internal arrangements and of its relations with its operating environment. This may call for new structures and procedures. This issue of organizational design poses several problems. The most crucial is to do with inertia of the bureaucracy (Brinkerhoff and Crosby, 2002). The sixth challenge is the monitoring progress and the impact of policy change. As many policy reforms are long term, monitoring in the form of process indicators is important. Monitoring policy change requires mechanisms both for periodic review and evaluation and for tracking policies across multiple agencies. Amongst the most common problems in the policy implementation process is setting targets or timeframe for achieving certain policy outcomes (Brinkerhoff and Crosby, 2002). Participation/ consultation is another salient challenge that affects legitimization, constituency building, re-

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source mobilization and allocation and policy monitoring. Consultation brings key stakeholders together for policy dialogue and problem solving and increases the sustainability of policy. The last challenge comes in coordinating policies (Rahman and Naz, 2006)

A. B. C. D. E.

E-GOVERNMENT INITIATIVES IN BRUNEI

Brunei has climbed up 19 places in the eGovernment Development ranking to 68th position in 2010 from 87th spot in 2008, according to the 2010 United Nations e-Government Survey (United Nations, 2010)1. The considerable leap in Brunei’s ranking reflects the good pace of progress in the Brunei’s e-Government initiatives to build ICT infrastructure, deliver electronic services and developing human resource capacities and capabilities within the country. Organizationally, the Prime Minister’s Office has been given the overall responsibility of coordinating the efforts of a number of implementing agencies. The e-Government National Centre (EGNC) and the e-Government Technical Authority Body (EGTAB) have also been constituted to strengthen the e-Government initiative and to promote e-Governance culture in the society.

Brunei Darussalam is a small country with less than 400,000 people. Wanting to be less dependent on petrol and gas, the Brunei Government is looking at ways to diversify its economy. It has been laying the necessary infrastructure such as the building of highways, flyovers and more roads and improving the ports to facilitate business and economic growth. Bandar’s size will also be expanded (Ibrahim, 2007). The Sultanate’s efficiency and administrative effectiveness can be enhanced and, like Singapore, ‘make compact’ through the e-Government process, with its people attuned to e-Government acceptance and practices. Impressively, 46.2% Bruneians use internet, compared to 0.3% Bangladeshis, 0.5% Cambodians, 5.2% Indians, 19% Chinese and 23.4% Vietnamese (Internet World Stats: http://www. internetworldstats.com/stats3.htm) Education and investments on skills growth, training and development can bring the nation to the threshold of economic prosperity and social development. The progress of e-Government initiatives in Brunei continued throughout the current decade. The E-Government Strategic Plan 2009-2014 was launched in May 2009 with “Citizen-Centric Services” as its guiding principle. The strategic document has set out the country’s e-Government mission as “Electronic Governance and Services to Best Serve the Nation”. It set out five key strategic priorities in the areas of capacity, governance, trust, connectivity and service-delivery. The priorities are:

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Developing capabilities and capacity; Enhancing governance; Strengthening security and trust; Integrating the government; and Delivering integrated, accessible and convenient e-Services (Government of Brunei Darussalam, 2009).

BRUNEI’S E–GOVERNMENT NATIONAL CENTRE (EGNC) In April 2008, E-Government National Centre (EGNC) was formed under the Prime Ministers’ Office. EGNC was formed as part of the continuous effort by His Majesty’s Government towards achieving the e-Government initiatives. The Prime Minister Office highlights four key drivers for e-Government initiatives: •

To modernize the civil service to further develop the government machinery into an efficient, effective, innovative, competitive, productive and proactive as well as customer focused and friendly.

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•

• •

To build a more transparent and accountable government, as it enables better participation from citizens and community. To meet challenges of globalization. To better prepare ourselves for future crises.

EGNC is the centralized organization that concentrates on IT in Civil Service, to oversee the development of IT personnel, centralize procurement of IT equipment and to provide common Government-wide applications and shared IT Services among all Ministries. The centre provides IT Services to all Government Departments and Ministries in Brunei Darussalam. E-Government National Centre (EGNC) offers secured state-of-the-art facilities to house all government servers. The EGNC organization structure is shown below: The E-Government National Centre (EGNC) has 3 core services, it is assigned to managed the IT Human Resources, Central IT Procurement and to provide common Government wide applications and services (Brunei E-Government National Centre, 2010)

SUPPORTIVE CORE VALUES IN BRUNEI Noticeably, there are a number of core values stemming from the Bruneian national culture that are supportive to the E-Government Strategic Plan 2009-2014.

Faith and Value Stability in Islam is in the faith of following the religion, and what is critical and helpful in eGovernment is the fact that Islam is not against modernisation as long as it is not against it. The Islamic teachings in Brunei continued to reinforce religious values in society in every possible ways without neglecting the progress and development of the nation globally (Mohiddin and Low, 2008). The influence of Islam is more visible in the public sector compared to private; nevertheless the private sectors are continuously trying to adapt the Islamic way of life as much as possible. NonMuslims are expected to give their due respect.

Leadership and Political Will Just as in Singapore’s case the strong political will of the government leaders has led to success of Singapore’s e-Government initiatives and

Figure 2. EGNC organization structure

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implementation, Brunei is also blessed with this; the Government of Brunei is indeed determined to have its own “e-smart Government in the 21st century”. Several government statements reinforce the strong will of government to strengthen eGovernment (e-Government Media, 2009, pg. 67).

Collectivist Society The authors here would also argue that yet another important cultural ingredient in Brunei when it comes to the implementation of e-Government is its overall cultural value of people-orientation. Bruneians are also said to be feeling-oriented, and according to Mohiddin (2007), this value of people orientation has positive impact on Information Quality, System Quality, and Service Quality. Bruneians are people-orientated and hence a Collectivist society. Bruneians’ strength relies on unity in whatever circumstances, and this helps as a boon when comes to implementing systems and e-Government. In Brunei and in organisations within the Sultanate, a strong preference for group decisions (face-to-face meetings are still favoured) and consultative management exists, and employees act in the interest of their in-group, not necessarily of themselves.

Human Relations Interestingly, in implementing the e-Government process, it is good to have a combination of hightech and high-touch so that the people feel involved or engaged so that they own the process. Because of this feeling-orientation of Bruneians, generally speaking, they would ensure or at least take steps to ensure that the people factors are attended to and/ or at least be sensitive to the people issues such as job displacements/ alignments or cuts if these would occur. The people can be assured, at least, not feeling alienated.

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Lingua Franca It is be appropriated that the large majority of Brunei people speak and write in English – predominant “lingua franca” (language) of ICT, and what at the first level helps and reduces the challenges in e-Government is that the use of the English language is commonly used in both Singapore and Brunei Darussalam.

E-GOVERNMENT IN SINGAOPORE Singapore is one of the top 20 countries in the e-Government Development ranking, occupying the 11th position amongst the 192 UN Member countries, according to the 2010 United Nations e-Government Survey (United Nations, 2010). A study visit was conducted by the Rahman and Low in for a week in late September 2009. Meetings and consultation were held with key people at various organizations including Singapore e-Government Leadership Centre at the National University of Singapore, Ministry of Finance, Infocomm Development Authority of Singapore, and other organizations in the private sector. Interviews with some small business owners were conducted to get a view of the people’s perspective to the country’s e-Governance reform and its benefits. E-Government in Singapore has its origins in the Government’s decision to computerise the civil service in 1981. In that year, aiming to save manpower, to improve operational efficiency, and to have better information support for decision-making with certain pioneer services for the public, the Civil Service Computerisation Programme (CSCP) was launched. It focused on automating many traditional work functions as well as reducing paperwork. The CSCP is marked as the first wave of e-Government in Singapore. In the past three years, the Singapore Government introduced many e-Government services that range from simple information provision to the conduct of complex business transactions. The

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Government’s initiatives have also encouraged professions such as law and medicine to help develop their own networks for the provision of information and services. In terms of Singapore’s e-Government strategic overview, the people sector, the private sector and the public sector are generally considered to be the three most important constituencies that act and interact in myriad ways to build and sustain a nation. Singapore’s e-Government strategic framework is centred on three critical relationships – Government to Citizens (G2C), Government to Businesses (G2B) and Government to Employees (G2E). Based on that framework, an e-Government Action Plan was launched in June 2000, with five key thrusts: •

• • •

•

Reinventing government through continuous rethinking of all aspects of governance to explore the nature and quality of government interactions with its citizens, businesses and employees; Delivering integrated electronic services centred on customers’ needs; Being proactive and responsive by adopting a ‘sense and respond’ approach; Using ICT to build new capabilities and capacities for achieving quantum leaps in service delivery; and Innovating with ICT by embracing enterprise and experimentation (Mahizhnan and Andiappan, 2002).

In Government to Citizens (G2C), integration of services is basically sought and the “G2C” eGovernment seeks to primarily achieve customercentricity. Generally, it is often said that politicians and bureaucrats normally end up as civil masters instead of being civil servants, placing their own administrative convenience above citizens’ needs. However, the government of Singapore, like business world, subscribes to the the concept of citizens as paying customers.

Here, to cater to the citizens’ wide-ranging needs, the Singapore Government has taken the approach of delineating key domains of the ordinary citizens’ life and building information and service clusters for them. The eCitizen Centre (home to more than 1,700 services of the 2,600 services that can be delivered electronically – Mahizhnan and Andiappan, 2002) portal (see http://www.ecitizen. gov.sg/) supplies one-stop online information and services that are intuitively grouped along those domains. In Government to Business (G2B), the two services are: The Business Town (http://www.gov.sg/singov/ biz.htm): on the e-Citizen Centre which takes a critical step towards a customer-centric approach to providing e-services by allowing local and international businesses to access and use a full suite of aggregated and integrated G2B information and services through an intuitive interface. Simplified Business Registration: New local companies can now be incorporated electronically with the Registry of Companies and Businesses (RCB). Companies and businesses can also make statutory disclosure requirements online. BizFile enables filing to be done electronically, without the need to come in person to RCB. The public will also be able to obtain up-to-date and accurate information pertaining to companies and businesses through eBizCore, round the clock. Additionally, business people are able to apply for licenses/permits and other approvals required through OASIS (Online Application System for Integrated Services). This seamless online system will allow applications to be done all at one go, anywhere with an Internet connection. No longer will there be a need to perform repeated filing of applications or make multiple physical visits to be able to start a business. And in the area of e-Government for employees, it should be noted that civil servants are vital to the success of policy implementation and service execution in the e-Government. The focus of G2E is to empower public officers using ICT with new

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skills, to enrich their careers and to keep them relevant in the e-economy. e-Government needs to be a service-wide initiative, appreciated and embraced by all public officers. The Infocomm Education (IE) programme aims to equip all officers with the necessary skills to see the possibilities and capitalise on the opportunities for the creation of an e-Government. IE also aims to ensure that all officers are fully equipped to work expertly within an e-Government (Mahizhnan and Andiappan, 2002). The Government Intranet, perhaps in due process, the G2E Portal may succeed the as the place to share a range of government resources and supply ready and convenient access to relevant services within the public service. Public officers will be empowered to personalise their workspace to better manage information and collaborate more effectively across agencies. Overall, the Singapore Government’s development of e-Government is very much like subscribing to the total quality management (TQM) process. It is an ongoing process with no solid-state in sight. It is continuous improvement, perhaps a never-ending journey where destinations are only transient or temporary stopovers, and moving to the next level with improvement(s) after each level. In Singapore, the somewhat aggressive eGovernment strategy has cut administrative costs and raised the level of effectiveness and efficiency of the Civil Service.

ing by the i-Gov council as the champion body of governance makes it possible for IDA to smoothly implement programmes and monitor progress. IDA is an effective and efficient government body to oversee and ensure good implementation of eGovernment within the Republic. Public-private partnership is also another key ingredient of Singapore’s success. Policy implementation steps are logically and sequentially deployed, and many steps are cut or reduced as a way of organizational adjustment. IDA and other bodies consult citizens and are responsive to their feedback and priorities.

KEY SUCCESS FACTORS IN SINGAPORE

E-VISION AND GUIDING PRINCIPLES

One critical factor accounting for e-Government success in Singapore is leadership. In Singapore the leadership provided is good and several government leaders serve as role models. The Infocomm Development Authority (IDA) has successfully implemented the government’s policy agenda with support from the i-Gov Council, which is the top policy Body, headed by the Finance Minister to champion reform. Policy guidance and monitor-

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BRUNEI AND SINGAPORE: COMMON GROUNDS Like Singapore, Brunei indeed enjoys much peace and political stability, and this is advantageous (Mohiddin and Low, 2008) to the growth of e-Government culture. After all, since the more stable is the organisation (nation), the more stable would be the information systems providing better and effective service to the end-users. In this regard, Mohiddin’s (2007) study supports the point that peace and stability indeed helps in e-implementation. There are some other key areas of commonality between these two neighbouring countries in the South-East Asia. These are discussed below:

The strong intention to develop a workable eGovernment is stated in the e-Government Strategic Plan 2009-2014 Brunei Darussalam where the vision is “an e-smart Government in the 21st century”, and the mission is “to establish electronic governance and services to best serve the nation” (e-Government Media, 2009), and its guiding principle, providing “Citizen-centric services”. Reflecting on an action-oriented efficiency and effectiveness, Singapore’s e-Government guiding

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principles, where deem fit, may to be adopted by Brunei, and they are: A. Every service that can be delivered electronically shall be B. The customer shall supply or update personal information only once. C. Those without home access shall have access to public delivery network. D. Staff must assist those who need special help like the elderly. E. All services shall be “customer-centric” and not “agency-centric”. F. Physical visits shall be kept as low as possible (Mahizhnan and Andiappan, 2002).

EDUCATIONAL DEVELOPMENT The national cultures of both Singapore and Brunei can be said to stress on education (Said Ya’akub, 2007). In Singapore, the government invests in university education, seeking to make local universities world-class and best in the region. The same applies to Brunei Darussalam, with various education schemes – including the Sultan’s Scholars – being implemented to boost education among the Bruneians. According to UNESCO 2007 statistics on education, 94.9 percent of adults and 99.6 percent of youths are literate in Brunei Darussalam (UNESCO 2007 statistics). “Many years ago, Ministry of Education imposed all government and private schools to have computing lessons in their curriculum starting with primary classes,” said most school teachers when interviewed. This is a good policy to make sure Bruneians are familiar with ICT and to support e-lifestyle for the younger generation.

IT-LITERACY AND GOOD EXAMPLES An educated workforce and citizenry, familiar with ICT can readily accept e-Government and help

in its smooth implementation. A good Bruneian example of this has been cited by Low, Almunawar and Mohiddin (2008). The introduction of the Hariis system within the Ministry of Health, developed purely by the Human Resource (HR) specialists of the ministry, the information system which provides portal and ICT support for the Ministry is greatly accepted and widely used by the management and staff of the ministry. This reflects a good start, as it moves away from “mere data collection but also a mindset acceptance of the change to come” (input from several Ministry of Health staff). Besides, it also critically serves as a solid action step to move forward in e-Government implementation.

SINGAPORE’S STRENGTH AREAS THAT BRUNEI MAY EMULATE IN STRATEGY IMPLEMENTATION Professional Development and Capacity Building For a small country Singapore without natural resources, continuous improvement, bit by bit becomes a viable strategic move. What is vital is that the City-state, with the big picture in mind, keeps on improving; it becomes a moving target; and it is difficult for the competition to hit a moving target. Strategic maintenance certainly adds to ‘total marketing’ of the island-republic, making it complete or holistic as well as helping to upkeep the Singapore brand image and reputation. The Singapore brand is indeed about being run as a corporate, cosmopolitan, confident and modern, and overall, strategic maintenance makes the Singapore brand in place marketing great. Nonetheless, unlike Singapore, which has a good IT professional pool, one of Brunei’s key challenges in the progress of e-Government is that of lack of human resources skilled in ICT. The issue is expected to pose an even greater challenge in the future when the number of e-Government

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projects increase (e-Government Media, 2009). Singapore has various IT training bodies both in the private and public sectors, and in this regard, Brunei’s institutions such as Universiti Brunei Darussalam and Institute Technology Brunei may need to train and produce a pool of IT/ICT professionals as well as developing the IT/ICT capabilities and capacities.

ADOPTING TO E-LIFESTYLE The success of e-Government depends to a large extent on the public’s adoption and acceptance of a new way of doing things - an e-lifestyle. Singapore has been successful with its e-lifestyle (Mahizhnan and Andiappan, 2002). Kifle and Low (2009) has affirmed the view that “(strong) leadership is defined in terms of directing and completing the whole implementation of e-Government, getting the results as well as winning the people over in the cause and actions”, and this is tantamount to building a supporting IT culture. And what was and is true of Singapore is also relevant to Brunei. There was thus a strong need to build up “a national IT culture that involved massive public education campaign. The plan called for the involvement of schools, the mass media and other grassroots organizations to create awareness and promote IT literacy” (IDA, 2007, commenting on the Singapore situation). In Singapore, various campaigns were held annually to raise public awareness of the e-lifestyle. These campaigns in Singapore stress on the 4Es – e-Learning, e-Entertainment, e-Communications and e-Transactions – to provide Singaporeans five strong reasons why they have got to be connected to information communication technology. To move citizens from awareness to adoption of an e-lifestyle, a series of thematic online fairs are also planned to boost consumer confidence in online services such as shopping for groceries, purchasing travel packages and banking online.

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However, in Brunei, more of such an e-lifestyle has yet to be part and parcel of the prevailing culture, and it needs to be encouraged. One Institute Technologi Brunei (ITB) survey shows only 31 percent of Bruneians used e-banking (Hazair, 2007). It also reported that “the popularity of personal computers and the advent of internet banking presented both an opportunity and a challenge for the banking industry”, meaning also to e-lifestyle in Brunei. The survey also reported that that 14 percent reported that “they still worried about security in online banking”. Online banking, somewhat new to Brunei, was first introduced by Hong Kong and Shanghai Banking Corporation (HSBC) in 2000. Nonetheless, a recent newspaper article has indicated a “good response to HSBC online services” (Hosni, 2009: 4). It is said that Internet banking services have made life easier and are gaining its appeal among “highly sophisticated people who are always on the move”. It is also gaining attraction among bank customers since it affords customers “the luxury of saving a lot of time and energy by providing a new service where electricity and water bills can now be paid through Internet banking”. As such, positively speaking, some evidence of e-lifestyle is, more or less, making a toehold, and that is very encouraging. Besides, the younger generation of school children is, in fact, pretty much exposed to ICT and e-ways. Based on interviews with four hundred and twenty-three school teachers and citizens, the feedback was that: “all youths in Brunei are computer literate and they are capable in surfing the net.”, “In most ways, our school children are IT-savvy.”; and “they are more open and oriented towards new technology.” This means developing e-lifestyle in Brunei is not a difficult task, however it needs to be carefully planned with a specified time framework aligned with the e-Government Strategic Plan 2009-2014.

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Changing Mindset During the September 2009 research, several Singaporeans (six from the Infocomm Development Authority: IDA and Institute of System Science: ISS and four businesspersons and e-Government users) indicated how the Singapore e-Government implementation strategy managed change effectively. They explained that government initiatives were top down but adequate explanations were made to convince the citizens that these change would bring benefits to the citizenry. Newspapers gave key information and highlighted benefits too. The public buy-in was vital to ensure the smooth implementation, support and acceptance.

Connecting Citizens and Communities with Government Senior citizens who were illiterate or not well educated found it difficult to cope with technology; besides, they grew in a setting where education then was not readily available. And how these were then overcome in Singapore? In Singapore, the government set up a number of Citizens Connect Kiosks in community clubs and these are strategically located in places where there are high human traffic. There are a total number of 27 such kiosks in the island Republic. And these include in places such as the CPF building, Income Tax building at Novena. The Citizens Connect Kiosks are manned by IT ambassadors who trained IT personnel to assist citizens to use the IT. A critical factor in managing the change is that these IT ambassadors lent a hand to up the high-touch factor that facilitated the change: IT acceptance and e-Government process and habit.

Public Awareness Campaign Similarly, in Brunei Darussalam, greater public awareness on e-Government and its benefits would be useful; this is indeed much needed and it can bring about more support to the e-Government process and implementation. The youth organiza-

tions can also assist to disseminate the information of e-Government efforts to its members. In 2009, TelBru lowered its e-speed/Internet fees, and this means taking the Internet and things to the people, further making easy the public’s increasing e-acceptance and growing of the e-habit and ways. The e-Government media’s publications in the Sultanate’s major newspapers are also another positive step that serves to educate the public as well as showing the determination to ensure the progress of e-Government initiatives and implementation in the country.

Policy Coordination In Singapore, the i-Gov Council is powerful apex Body, chaired by the Finance Minister, to coordinate key e-Government policies. As an implementing agency of the government, IDA develops various programmes and projects within the strategic agenda set by the i-Gov Council. IDA has been able to connect government with people in a transformational fashion. The key to Singapore’s e-Government policy success was this catalyst role given to IDA to progress on the strategies of developing an IT-literate society, connecting market, bridging talents, promoting research and development, building public trust, and collaborating with the private sector in popularising e-Government concept in the society and providing people with choices. In Brunei, the Prime Minister’s Office has been given the overall responsibility of coordinating the efforts of a number of implementing agencies. More alignment between these agencies is needed. There is also a need to create and empower an agency within the government such as the IDA in Singapore to pursue the e-Government agenda of the government in a more coherent approach. The amount of paperwork in decisions may need to be reduced. To tap synergies and generate faster processing, greater coordination among ministries is also needed (Kifle and Low, 2009), and this is vital for the smooth implementation of e-Government in Brunei. 371

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Risk Management Anecdotal evidence and talking to several expatriates and locals appear to suggest that little innovation or risk taking exists in Brunei. Although much paperwork, bureaucracy and red tapes abound, things are still rather slow, with many regulations, laws and orders to be followed, still the positive aspects appear to exist. Bruneians are said to hold the value of risk innovation. Besides, innovation/ risk taking does have positive impact on System Quality in Brunei. This might be because organisations in Brunei have to respond effectively and appropriately to present and future needs and challenges (Mohiddin, 2007). Kilfe and Low’s (2009: 274) study appears to confirm this when they indicate the findings that, “innovation in Brunei Public Sector (also) comes from the lower and middle level. This is a positive indication that they can be creative and there is strong leadership potential from within (the ministries).” Some countries adopt e-Government in ways that normally reinforce traditional bureaucratic structures, cultures and links from administration to citizens and politics; in Singapore case, e-Government makes its civil bureaucracy more responsive. In this aspect, the core values of efficiency, effectiveness (Low, 2009) and reliability (Mahizhnan and Andiappan, 2002) of Singapore are an asset when implementing e-Government strategies. In achievement-oriented and pro-active Singapore (Low, 2009), e-Government enables service integration while this has yet to be developed in Brunei Darussalam. Singapore has jurisdictions that enable comprehensive systems where a web-portal or smart card integrates information and services from various government agencies to help citizens and other stakeholders get seamless service without needing to know about the responsible government agency. Thus, users can obtain services across different geographic levels of government within the same functional area, and across different functions. As an example of

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the latter, a citizen can submit a change of address on her driving license, and the change is automatically registered with the health, elections, and tax departments, thus avoiding the need for multiple or duplicate filings. Citizens can also use these portals to make payments and other transactions, obtain a checklist of things to bring when applying for services in-person, find answers to frequently asked questions (FAQs) and engage the services of relevant commercial enterprises.

THE SULTAN’S DISCONTENT Lately, the leadership of Brunei Darussalam has not been comfortable with the somewhat slow progress of e-Government projects in e-services, e-portal, e-business, e-lifestyle and so on. The Sultan himself expressed his disappointment on the use of e-Government strategy and Information Technology (IT) in the Sultanate 10 years since its implementation with a budget of B$1 billion. While delivering his speech during the 17th Civil Service Day celebration in October 2010 the Sultan was rather discontented at the low use of e-Governance programmes in public services. He was particularly concerned about the unsatisfactory delivery compared to the other countries in the region (Borneo Bulletin, 2010).

CONCLUSION Like small City-state Singapore, Brunei can also tap its smallness, turning its smallness into a competitive advantage. Being small, Brunei can easily set up its IT/ICT infra-structure to enable efficient and effective e-Government. To sum up, very much like Singapore, Brunei would be able to continuously improve, and forge ahead in e-Government implementation. True, e-Government is a challenge to Bruneians yet opportunities abound. Although at this point in time, the Brunei Government’s development of

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e-Government may just be starting or budding, the Sultanate’s national culture and resources have the necessary DNA and template for success, and from here, the efforts to e-Government should be an ongoing process with continuous improvement - embracing the Malay saying of “sedikit-sedikit lama-lama menjadi bukit”, translated: bit by bit, it eventually becomes a hill. E-Government will be journey towards change and development, given the necessary governance reforms and resilient attitude continue to achieve result-based strategies over a period of time.

REFERENCES Ames, B. (1987). Political survival. Berkeley, CA: University of California Press. Baum, C. H., & Di Maio, A. (2000). Gartner’s four phases of e-Government model. Gartner Group, Research note. Retrieved from http:// www.gartner.com Borneo Bulletin. (2010, 22 October). e-Government and IT usage unsatisfactory. Borneo Bulletin. Retrieved from http://www.brudirect. com/index.php/ 2010102131687/First-Stories/eGovernment-and-it- usage-unsatisfactory.html Brinkerhoff, D. W., & Crosby, B. L. (2002). Managing policy reform: concepts and tools for decision makers in developing and transition countries. Bloomfield, CT: Kumarian Press. Brunei E-Government National Centre. (2010). Retrieved October 12, 2010, from http://www. egnc.gov.bn/ Pages/default.aspx website E-Government Media. (2009, November 7). The progress of e-government initiatives in Brunei Darussalam. Borneo Bulletin, 67. Government of Brunei Darussalam. (2009). The e-government strategic plan 2009-2014 Brunei Darussalam.

Grindle, M. S., & Thomas, J. W. (1991). Public choices and policy change: The political economy of reforms in developing countries. Baltimore, MD: John Hopkins University Press. Haldenwang, C. V. (2004). Electronic government (e-Government) and development. European Journal of Development Research, 16(2), 417–432. doi:10.1080/0957881042000220886 Harris, R. (2004). Information and technologies for poverty alleviation. Kuala Lumpur, Malaysia: UNDP APDIP. Harriss, J. (2001). Politics and poverty-alleviation in India: Further exploration. A report for ESCOR. United Kingdom: Department for International Development. Hazair, H. P. D. (2007, 20 September). Speed, security stifling online banking growth. The Brunei Times, p. 1. Hosni, A. (2009, 27 November). Good response to HSBC online services. Borneo Bulletin, p. 4. Ibrahim, K. (2007, 23 July). Size of BSB to increase 10-fold. The Brunei Times, p. 1. Kifle, H., & Low, K. C. P. (2009). e-Government implementation and leadership – The Brunei case study. Electronic Journal of E-Government, 7, 271–282. Retrieved from www.ejeg.com Low, K. C. P., Rahman, M. H., Almunawar, M. N., Mohiddin, F., & Ang, S.-L. (2010). Core values, e-government implementation and its progress in Negara Brunei Darussalam. e-leader CASA: Chinese American Scholars’ Association 4- 6 January 2010, Singapore. Mahizhnan, A., & Andiappan, A. (2002). Egovernment – The Singapore case study. Tamil Internet 2002, California, USA. Retrieved from http://www.infitt.org/ti2002/ papers/60ARUN. PDF

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Mohiddin, F., & Low, K. C. P. (2008). E-government & national culture – The way forward. Human resources compendium: Current global trends in HR best practices. Civil Service Institute, Brunei, 27 – 28 August 2008.

West, D. M. (2004). e-Government and the transformation of service delivery and citizen attitudes. Public Administration Review, 64(1), 15–27. doi:10.1111/j.1540-6210.2004.00343.x

Rahman, M. H., & Naz, R. (2006). Digital divide within society: An account of poverty, community and e-governance in Fiji. E-Learning, Special Issue on Models For Bridging Digital Divide, 3(3). Retrieved from http://www.wwwords.co.uk/elea/ content/pdfs/3/issue3_3.asp Said Ya’akub, I. (2007, 4 December). Be singleminded to succeed. The Brunei Times, p. 1. Singapore, I. D. A. (2007). Singapore scores for e-Government effectiveness. iN SG, Sep 2007. Retrieved September 12, 2008, from http://www. ida.gov.sg/InSG/ Sep07/egov.html Stewart, J., & Ayres, R. (2001). The public policy process. In Aulich, C., Halligan, J., & Nutley, S. (Eds.), Australian handbook of public sector management. Crows Nest, Australia: Allen and Urwin. UNESCO. (2007). Statistics: Education in Brunei Darussalam. Retrieved November 10, 2009, from http://stats.uis.unesco.org/unesco/ TableViewer/document.aspx?ReportId= 121&IF_ Language=eng&BR_Country=960 United Nations. (2010). Global e-government development report 2010. New York, NY: United Nations Public Administration Program. Retrieved from www.unpan.org/egovkb United Nations (2010). United Nations e-Government survey 2010: Leveraging e-Government at a time of financial and economic crisis.

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ADDITIONAL READING Basu, S. (2004). E-government and developing countries: An overview. International Review of Law Computers & Technology, 18(1), 109–132. doi:10.1080/13600860410001674779 Bovaird, T. (2003). E-government and e-governance: Organisational implications, options and dilemmas. Public Policy and Administration, 18(2), 37–56. doi:10.1177/095207670301800204 Carlitz, R. D., & Gunn, R. W. (2002). Online rulemaking: A step toward e-governance. Government Information Quarterly, 19(4), 389–405. doi:10.1016/S0740-624X(02)00118-1 Cho, Y. H., & Choi, B. (2005). E-government to combat corruption: The case of Seoul metropolitan government. International Journal of Public Administration, 27(10), 719–735. doi:10.1081/ PAD-200029114 Ciborra, C., & Navarra, D. D. (2005). Good governance, development theory, and aid policy: Risks and challenges of e-government in Jordan. Information Technology for Development, 11(2), 141–159. doi:10.1002/itdj.20008 Coe, A., Paquet, G., & Roy, J. (2001). Egovernance and smart communities. Social Science Computer Review, 19(1), 80–93. doi:10.1177/089443930101900107

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Evans, D., & Yen, D. C. (2006). E-government: evolving relationship of citizens and government, domestic, and international development. Government Information Quarterly, 23(2), 207–235. doi:10.1016/j.giq.2005.11.004 Garson, G. D. (2006). Public Information Technology and e-governance: Managing the virtual state. Mississauga, Canada: Jones & Bartlett Learning. Gil-Garcia, J. R., & Martinez-Moyano, I. J. (2007). Understanding the evolution of e-government: The influence of systems of rules on public sector dynamics. Government Information Quarterly, 24(2), 266–290. doi:10.1016/j.giq.2006.04.005 Heeks, R., & Bailur, S. (2007). Analyzing egovernment research: Perspectives, philosophies, theories, methods, and practice. Government Information Quarterly, 24(2), 243–265. doi:10.1016/j. giq.2006.06.005

Mälkiä, M., Anttiroiko, A., & Savolainen, R. (2004). eTransformation in governance: New directions in government and politics. Hershey, PA: Idea Group Inc (IGI). Marche, S., & McNiven, J. D. (2009). E-government and e-governance: The future isn’t what it used to be. Canadian Journal of Administrative Sciences / Revue Canadienne des Sciences de l’Administration, 20(1), 74-86. Moon, M. J., Welch, E. W., & Wong, W. (2005). What drives global e-governance? An exploratory study at a macro level. Hawaii International Conference on System Sciences (vol. 5, p. 131). Los Alamitos, CA: IEEE Computer Society. Moreno-Jiménez, J. M., & Polasek, W. (2005). Embedding into our lives: New opportunities and challenges of the Internet. London, UK: Jons and Barlett.

Jho, W. (2005). Challenges for e-governance: protests from civil society on the protection of privacy in e-government in Korea. International Review of Administrative Sciences, 71(1), 151– 166. doi:10.1177/0020852305051690

Peristeras, V., & Tarabanis, K. (2004). Governance enterprise architecture (GEA): Domain models for e-governance. In Proceedings of the 6th International Conference on Electronic Commerce (pp. 471-479). Delft, The Netherlands: ACM.

Justice, J. B., Melitski, J., & Smith, D. L. (2006). E-government as an instrument of fiscal accountability and responsiveness. American Review of Public Administration, 36(3), 301–322. doi:10.1177/0275074005283797

Pina, V., Torres, L., & Acerete, B. (2007). Are ICTs promoting government accountability? A comparative analysis of e-governance developments in 19 OECD countries. Critical Perspectives on Accounting, 18(5), 583–602. doi:10.1016/j. cpa.2006.01.012

Kolsaker, A., & Lee-Kelley, L. (2008). Citizens’ attitudes towards e-government and egovernance: A UK study. International Journal of Public Sector Management, 21(7), 723–738. doi:10.1108/09513550810904532 Leung, L. W., Fung, A. Y. H., & Lee, P. S. N. (2008). Embedding into our lives: New opportunities and challenges of the Internet. Hong Kong: Chinese University Press.

Rose, R. (2005). A global diffusion model of e-governance. Journal of Public Policy, 25(1), 5–27. doi:10.1017/S0143814X05000279 Saxena, K. (2005). Towards excellence in e-governance. International Journal of Public Sector Management, 18(6), 498–513. doi:10.1108/09513550510616733

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Schmid, B., Stanoevska-Slabeva, K., & Tschammer, V. (2001). Towards the e-society: Ecommerce, e-business, and e-government. New York, NY: Kluwer Academic Pblishers. Schware, R., & Deane, A. (2003). Deploying e-government programs: The strategic importance of “I” before “E. Info, 5(4), 10–19. doi:10.1108/14636690310495193 Stoltzfus, K. (2005). Motivations for implementing e-government: An investigation of the global phenomenon. In Proceedings of the 2005 National Conference on Digital Government Research (pp. 333-338). Atlanta, GA: Digital Government Society of North America. Streib, G., & Navarro, I. (2006). Citizen demand for interactive e-government. American Review of Public Administration, 36(3), 288–300. doi:10.1177/0275074005283371 Tolbert, C. J., & Mossberger, K. (2006). The effects of e-government on trust and confidence in government. Public Administration Review, 66(3), 354–369. doi:10.1111/j.1540-6210.2006.00594.x Torres, L., Pina, V., & Acerete, B. (2006). Egovernance developments in European Union cities: Reshaping government’s relationship with citizens. Governance: An International Journal of Policy, Administration and Institutions, 19(2), 277–302. doi:10.1111/j.1468-0491.2006.00315.x Unette Sealy, W. (2003). Empowering development through e-governance: creating smart communities in small island states. The International Information & Library Review, 35(2-4), 335–358. doi:10.1016/S1057-2317(03)00020-1 Welch, E. W., Hinnant, C. C., & Moon, M. J. (2005). Linking citizen satisfaction with egovernment and trust in government. Journal of Public Administration: Research and Theory, 15(3), 371–391. doi:10.1093/jopart/mui021

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KEY TERMS AND DEFINITIONS Core Values: Blend of morals, ethics and principles that shape a national culture. Core values are also the key beliefs and convictions reflected by a society to achieve its collective goals. Culture: Shaped by the core values of a society, it is the way a society behaves that determines how things ought to be shared amongst the people. It is a set of core values held by people. e-Government: It refers to the use of information and communication technology, especially the Internet and the Web technology in running government activities in relation with government stakeholders. Governance: It implies accountability and transparency to promote people’s welfare by empowering and engaging them in development process. Implementation: It means developing appropriate systems, structures and tactics for putting strategies into practice. Information and Communication Technologies (ICTs): Tools used to produce, store, process, distribute and exchange information. The modern ICTs include computers, satellite, wireless technology and the Internet. These different tools are now able to work together and combine to form the ‘networked world’ which reaches into every corner of the globe – allowing remote communities to become integrated. Public Policy: A multi-layered political process involving contestation over the agenda (or ‘problem formulation’), over procedure, and resource mobilization and access, and as engaging a variety of actors (Harriss, 2001).

ENDNOTE 1



The main aim of the 2010 UN Global eGovernment Readiness survey is to assess

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192 UN member states in terms of their use of information and communication technologies to serve and interact with citizens. The overall index includes a web measure index, a telecommunication infrastructure index and a human capital index. The top 10

countries out of 192 UN member states in the 2010 e-Government Development Index are Republic of Korea, USA, Canada, UK and Northern Ireland, Netherlands, Norway, Denmark, Australia, Spain and France.

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Chapter 19

Elucidating Online Structure for Democratic Legitimacy: Case of Local Government Online Structure in Java-Indonesia Djoko Sigit Sayogo University at Albany, State University of New York, USA Taewoo Nam University at Albany, State University of New York, USA

ABSTRACT This study explores the impact of online communicative structures in local government Web disclosure on democratic legitimacy, after the implementation of e-government in Java, Indonesia, as a result of recent bureaucratic decentralization. Being at a very early stage in the e-government initiative, the analysis of 78 local government websites in Indonesia reveals that local government online structures present certain aspects of democratic and interactive appearance. However, the levels of democratized Internet mediated human interactions are restricted. These restrictions reflect the eradication of sensitive information, a low level of responses to citizens’ solicitations, and disclosure of selective information in local government websites. This chapter suggests that restriction on local government online structure is due to the government’s favor of more controlled media interaction influenced by the embedded authoritarian political culture due to many years of institutionalization. In a sense, websites merely function as a symbol of government legitimacy and power over citizens through media technology, which could suggest local government manipulation of democratization processes.

INTRODUCTION The process of democratization and the struggle for democracy have been long-standing issues in Indonesian politics. Uhlin (1995) asserts that the study of the democratic process can be approached DOI: 10.4018/978-1-4666-0116-1.ch019

from the actor-structure approach, in which the relationship is reciprocal. In other words, actors affect the structure, and structures may also affect the actors (Uhlin, 1995). The creation of structure can restrict or support actions between actors involved in the promoting or demoting of democracy between the government and citizens. The influence of structure on democracy is evi-

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dent in Indonesia’s process of democratization, from the authoritarian and anti-democratic style of Suharto’s New Order, to the recent transitional period of reformation In the New Order era, the Indonesian government imposed their political order and legitimacy by structuring and controlling society’s communication process. During Suharto’s 32 years of sovereignty, his regime always maintained strict media censorship by controlling the flow of information to citizens (Sen & Hill, 2000). In addition, a centralized government structure has resulted in fewer challenges to the state rules and political order in Indonesia. The structure has nurtured an embedded system that restricts and discourages the citizens’ involvement in governance, thus delimiting the democratic process. The occurrence of major breakthroughs in the form of disruption of government communication controls, during the transitional period of political reformation, and with the re-introduction of the Internet in the 1990’s, are regarded as major determinants in the overthrowing of Suharto’s regime in 1998 (Hachigian and Wu, 2003). The collapse of the authoritarian style of governance was also reinforced by the adoption of a decentralization of government structure in 2001. The liberalization of communication patterns in Indonesia was further strengthened through the enactment of the e-government Development Framework enacted by Presidential decree No. 3 of 20031. The primary goal of this decree was to enhance government transparency through interaction and communication and to assure government accountability through information sharing and dissemination. The introduction of e-government has altered the relationship between the actors of democracy, particularly regarding communication. The proponents of e-government assert that its implementation would improve information sharing and citizen participation. Frequent interaction between citizens and their government would positively affect the citizen’s level of trust, which is an essential component for democratic

legitimacy. One important aspect of democratic legitimacy is the deliberation mechanism among actors of democracy that requires the linkage of political decisions to citizens’ preferences (citizens participation) on the input side and the ability to produce an effective outcome (accountability) on the output side (Barnard, 2003). Nevertheless, several caveats might inhibit the development of democratic legitimacy in Indonesia, regardless of the introduction of e-government. First, the embedded patrimonial culture and social norms might favor authoritarian styles. The patrimonial culture in Indonesia dated far back in the historical existence of Indonesia. Until recently, authoritarianism has also manifested in the norms practiced in Indonesian social interaction. For instance, Indonesian youth must respect, obey, and never question their elders. During the 1950s until ca. 1957, Indonesia experienced a period of parliamentary democracy, which proved to be a negative experience. This period was characterized by conflicts, instability, and chaos (Uhlin, 1995). Hence, it is essential to examine the magnitude of e-government’s impact on asserting democratic legitimacy. Therefore, this study aims to explore the extent of the online structure of the local government’s web disclosure practices in Indonesia, and the impact on democratic legitimacy of local governments. The online structure is a configuration that facilitates social, personal, religious, and political action. It is comprised of a set of online features such as links, participation features, html pages and texts that enable users to interact and act (Jiang & Xu, 2009; Schneider & Foot, 2002, 2004). It has been argued that the use of Internet could democratize politics by obtaining a greater number of citizen participants (Schneider & Foot, 2002). The questions to be answered in this study are: to what extent would e-government implementation change the communication structure between local government and the citizens of Indonesia? Are citizens able to generate opinions and attitudes that will affirm or challenge the affairs of state? Is the

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local government able to promote democratic legitimacy in Indonesia through the design, control, and filter of their online structure? In the context that e-government is a very recent initiative of government reform and the fact that authoritarian and patrimonial culture has been embedded for years of institutionalization in Indonesia, this study’s primary contribution is to project the possibility for government to retain social control by manipulating the online structure of their website. It supports the argument that the embedded political and cultural environment affects the participatory nature and potential use of technology. Thus technology, per se, is not the major determinant in restructuring governance; it is conditional to the existing cultural, organizational, and political context that characterizes the nation. The findings from the analysis suggest that being at the early stage of e-government initiative, local government online structure is restricted on promoting democratic legitimacy due to the government’s favor to more controlled media interaction influenced by the authoritarian political culture. The high percentage of information disclosed on the website and the availability of several online features and tools available to solicit citizens’ opinions, personal views, and input on the local government website signify an effort to promote local government democratic legitimacy. On the other hand, several factors have emerged which suggest restrictions on the democratic legitimacy of local government and the influence of authoritarian tendencies. First, there is a disproportionate amount of non-sensitive information disclosure, such as news, economic growth, and other macroeconomic reports, compared to the amount of sensitive financial information related to budget and balance sheets. Second, the discourses of citizen complaints mark their reluctance to openly express disagreement for fear of repercussions. Third, low levels of response and feedback from government signify exclusion of citizens from local political processes.

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BACKGROUND INFORMATION Internet Potential in Indonesia Indonesia was first introduced to the Internet in the 1980’s though it was limited to prestigious universities only. However, due to a lack of communication infrastructure, the development was forestalled (Hill, 2003; Lim, 2003; Sen & Hill, 2000). Indonesia was reconnected to the global internet in the 1990’s (Hill, 2003; Minges, 2001). According to Internet World Stats, the growth of Internet permeation rate in Indonesia has not increased very rapidly, from 1.0% in 2000 up to 10.5% in 2008. This slow permeation rate does not mean that the number of Internet users in Indonesia is small. It is difficult to measure the actual number of Internet users in Indonesia (Hachigian & Wu, 2003; Hill, 2003) because although Internet permeation is low, users usually share their passwords and accounts. Thus, one account can be used by multiple users (Hachigian & Wu, 2003). In addition, the emergence of Internet kiosks (usually called as Warnet) as new business ventures has increased public access to the Internet (Hachigian & Wu, 2003; Hill, 2003; Minges, 2001; Sen & Hill, 2000). In fact, accessing the Internet through Internet kiosks is considered a direct form of social contact because the users usually share a booth. Internet kiosks not only become a place to access Internet, but also provide a chance to interact with other Internet kiosk users or hang out with friends (Lim, 2003). As for infrastructure, low-cost access to information technology is rapidly developing and spreading by way of Internet kiosks, village CTCs (community technology centers), and mobile phones. Internet Kiosks have become especially popular and in an effort to connect villages, they have been implemented, in a very short time, in several areas. 43% of internet users access the web from Internet kiosks (Minges, 2001). For only twenty cents USD per hour, Internet kiosks

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have become a most cost-effective means to access the Internet. Recently, the government has also established free Information Access Cafes to reduce the disparity of information access (Astuti, 2009). According to BRTI (Indonesian Telecommunication Regulation Agency), in 2007, the number of mobile phone users and owners in Indonesia was approximately 80 million, which was around 34% of the total population that year. Moreover, efforts have been made by the government, private sectors and NGOs (nongovernmental organizations) to connect villages to the Internet. By 2009, the government planned to connect 31,000 villages to the Internet and in 2010, another 46,000 villages in Indonesia are projected to be connected (Adi, 2009). Internet has also become accessible even in rural villages through CTC. CTC is a cooperative program consisting of the private sector’s corporate social responsibility, philanthropists, and NGOs to provide information technology, community development, and Internet access to people living in rural areas (Formasi, 2007).

e-Government Development in Indonesia Information and communication technology support for government operation in Indonesia began at the national level with the declaration of Nusantara-21 in 1998. Nusantara-21 is the Indonesian government’s information superhighway project that will develop a technology infrastructure and telecommunications network throughout the 27 Indonesian provincial capitals and 4,000 subdistricts (Rahmaniar, 1998). Following the declaration, the elected president in 1999 enacted presidential decree No. 22. This political decision anticipated the information and communication technology convergence phenomena and its impact on Indonesia. Presidential decree No. 22 legalized the formation of the National Telematics Coordination Team (e-government was referred to as ‘telematics’ in

Indonesia at that time), which was comprised of government institutions, academia, and private sectors. The NTCT served as a coordination team to analyze and anticipate the impact of information and communication technology in Indonesia. This decree was later renewed with presidential decree no. 50 of 2000 (Roes-Setiyadi, 2004; Salahuddin & Rusli, 2005). The progressive development of information and communication technology further prompted the government to establish the Ministry of Information and Communication in 2001. Subsequently, in April of the same year, the President enacted Presidential decree no. 6 of 2001. This decree contains a five-year National Information and Communication Technology Action Plan for Indonesia. Hence, this is the first milestone of the introduction of e-government in Indonesia and the first formalized plan of information and communication technology development in Indonesia. This action plan was further strengthened with the ratification of e-government Development Framework through Presidential decree No. 3/ 2003, which served as an umbrella for the whole detailed technical policy regarding e-government in Indonesia. The important objectives of Presidential Decree No. 3 of 2003 are: 1) the accomplishment of government institution transparency through interaction and communication; 2) the assurance of government accountability achievement through output and product dissemination; and 3) the attainment of citizens involvement in sharing information with the government institution (Presidential decree No. 3/ 2003). After the enactment of Presidential decree No. 3 of 2003, the adoption of e-government by local governments in Indonesia has soared. In 2003, almost 75% of local government websites were established. There are 325 websites out of 438 local governments (province/regencies/ municipalities) in Indonesia. However, it appears that this situation was affected mostly by peer pressure. None of the local governments want

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to be regarded as unsophisticated and lagging behind other local governments. This is evidenced with various ineptness, such as incorrect domain names and websites that are under-construction (Insa, 2003). In 2004, the Information and Communication Agency under the Ministry of Information and Communication conducted a survey of local government websites. After previous hype, the percentage of local government websites was declining. In 2004 only around 48%, 224 out of the existing 470, local governments in Indonesia owned a website. Of this number, roughly 90% (201 websites) were working, while around 10% (23 websites) were under-construction2. Nevertheless, following the 2004 survey, fewer or limited investigations have been conducted regarding the development of local government websites. Only a very limited number of outdated articles examine the implementation of e-government in Indonesia.

Internet and Politics in Indonesia The case of Indonesian political reformation in 1997 is used to illustrate the importance of the Internet as information sources that affect the political dynamics of a nation. With the introduction of the Internet, the students and activists found new sources of information. There are four characteristics that make Internet a perfect and essential media tool to nurture democracy in Indonesia during 1997. These characteristics are: 1) Internet is free from censorship from the authoritarian government (Hill & Sen, 2005; Lim, 2003; Winters, 2002), 2) Internet has a larger global reach, 3) Internet operates in timely manner, and 4) Internet provides local details (Sen & Hill, 2000). The Internet has also proved to be a suitable tool for coordination, particularly in a geographically spread-out country such as Indonesia. The ability of students and activists to integrate and coordinate with their counterparts in other areas

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of the country is highly facilitated and mediated by the Internet (Winters, 2002). The Internet has made the distribution of criticism, protest and dissent easier and farther reaching (Hachigian & Wu, 2003; L. Wong, 2002). As in the case of Indonesia, the mission to overthrow an authoritative regime progresses with students’ ability to distribute and disseminate sensitive information about government abuses of human rights. The Internet provides the opportunity to speak and create a distinct identity (Hill & Sen, 2005) which facilitates political discussion and discourse. The ability to construct a set of distinct identities or even anonymity provides means for avoiding repercussion. The function of the Internet in providing a space to express critique, expectation, grief, and frustration on politics and government administrations is achieved through the mediation of mailing lists, blogs, virtual social networks, and hacking (Hill, 2002). There are several benefits for political parties to use the Internet. Since political parties can disclose a larger quantity of information in a more cost efficient manner (Gomez, 2004), the Internet has provided the means for creating awareness, providing insight, and changing their political public image, as is evidenced in the Golkar case in the 2004 election (Tomsa, 2007). Thus, it is the perfect media for a political party to use as part of their campaign. Finally, since the Internet induces higher information transparency, it could subsequently encourage greater accountability (Kudo, 2008; la Porte, Demchak, & de Jong, 2002; Pina, Torres, & Acerete, 2007; West, 2004; W. Wong & Welch, 2004). For example, citizen and political abuses are easily reported and circulated which causes the government to be more prudent in their actions. Within hours of the 1994 murder of female labor activists being posted to a mailing list, protests and complaints flooded the Indonesian government (Hachigian & Wu, 2003; L. Wong, 2002).

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LITERATURE REVIEW Online Structure, Democracy, and Legitimacy Online structure is a compilation of online features such as links, image, participation features, and html pages and texts that enable users to act and interact (Jiang & Xu, 2009), and which has potential to facilitate social and political action (Schneider & Foot, 2004). According to Resnick, in the early initiation of the net, the cyberspace using text-based technology provided space for individualistic, unstructured, free-flowing politics and discussion (Resnick, 1998). The institution of the World Wide Web has transformed cyberspace by providing structures that facilitate social, spiritual, personal, and political action (Schneider & Foot, 2004), and creating greater opportunities for sophisticated and politically skilled individuals (Resnick, 1998). Given cyberspace is organized in a formal web presentation structure equipped with various web features. It promotes and mediates the ability to express personal views and facilitate extensive discourse (Foot, 2006). The political experience on the web is no longer arranged in a free-flowing and unstructured political discussion; rather, it has been replaced by formally arranged web structure (Resnick, 1998). This online structure creates dual impacts. On the one hand, the various facilities and features that form the arrangement of the web are able to facilitate different forms of communication and political participation, such as forums, online discussions, and complaint boxes (Jiang & Xu, 2009), hence enhancing democratic legitimacy. Contrastingly, this structure and format could also limit the degree of political freedom and movement (Resnick, 1998). Online communication can be constrained by the design of web presentation (Noveck, 2003). The restriction due to the design of online representation might affect the quality and outcome of citizen participation (Jiang & Xu, 2009). In addition, the government has the

right to regulate Internet use and appearance. Early efforts by the Chinese Communist Party sanctioned a systematic regulation of the Internet to limit the possibility of challenges to political and social control by means of the Internet (Zhou, 2004). Various features provided on the government website have the potential to facilitate and also inhibit communication and subsequently, democratic legitimacy. However, it is also argued that the ability of government to manage their online structure evolved along with time and experience of government technology use and it is affected by several institutional factors. Typical reform in government policies do not occur through revolutionary transformation but rather, evolve gradually (West, 2004). As such, the government’s ability to provide interactivity and promote democratic legitimacy is also affected by time and government experience of e-government. The adoption of a more sophisticated design that could reflect e-government’s potential to promote democracy develops gradually as the government gains more experience (Ho, 2002). The study of e-government development in United States cities and municipalities found that e-government developed through different stages, and that participatory features of e-government are developed in the later stages (Moon, 2002; West, 2004). Yet, West (2004) also argued that government web sites do not necessarily go through these stages sequentially; he asserts that sequencing is evidenced in the scope of the United States study. In the framework of the study conducted in the U.S., the most advanced stages of e-government development are the e-democracy or participatory stages. In his 2004 study, West asserts that government agencies are more concerned with service delivery, and progress toward features that enhance democracy lag behind (West, 2004). Welch and Fulla argued that “interactivity is a dynamic process that affects communicators’ perceptions and behaviors over time” (Welch and Fulla, 2005). There are various institutional factors that might affect e-government development and

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the ability to promote democratization through increased interactivity. One of the most important factors identified in the U.S. study is the prominent influence of financial constraint (Ho, 2002; West, 2004, Moon & Norris, 2005), complexity of environment, such as size of cities (Moon, 2002), citizens demand (Moon & Norris, 2005), racial diversity and immigrants (Tolbert, Mossberger, & McNeal, 2008), and technical and organizational capabilities (Moon & Norris, 2005). In addition, the operationalization of e-participation, such as processing citizens’ responses, requires an increased level of resources, expertise, and effort (Welch & Fulla, 2005). In addition to the above mentioned institutional factors, and the influence of time and experience, the development of democratic legitimacy is also dependent on the embedded values, political system, and culture. Legitimacy is subjective to acceptance by the actors in that it is a matter of the participants’ belief in the guaranteed stability of a social relationship (Pakulski, 1986), and maintenance of the idea that the ruling political institution is the right and proper institution to govern (Lipset, 1959). Thus, the subjective acceptance of actors and the social relationship between them is closely related to the embedded value system and culture. The compatibility of the political institution’s values and primary values held by citizens will determine the legitimate or illegitimate status of a political institution (Lipset, 1959). For instance, in Javanese culture, legitimacy is associated with a relationship model of social interaction between individuals. It is depicted through symbols, ceremonies, and regalia to demonstrate accumulation of power (Andersen, 1990). Hence, legitimacy is sustained by political responsiveness, democratic arrangement, and government performance and accountability (Peters & Pierre, 2006; Weatherford, 1992). Likewise, sustaining legitimacy depends on government responsiveness, which means making public participation an accessible option (Weatherford, 1992). The government’s ability to control the

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communication process will facilitate creation of a representative citizen environment favorable to the acceptance of state’s political order as legitimate (Lynch, 1999). Moreover, the deliberation between the participants (government-stakeholders) that is able to balance between citizen participation and performance will signify that the government is democratically legitimate (Barnard, 2003). Various features that construct the government web structure provide additional tools for the government in creating the online environment and conditions for political action that are beneficial to maintaining democratic legitimacy. Online structure provides an opportunity for the government to create an appropriate communication platform that could balance the need for citizens’ participation and government accountability. The government will have discretion in creating an online structure that could depict and demonstrate conditions that are beneficial for the maintenance of their democratic legitimacy. These conditions are attainable through the disclosure of government accountability and provisions for features to enable citizens’ participation.

RESEARCH DESIGN AND METHODS This research only examines websites of regencies and municipalities in Indonesia. In the case of Indonesia, the municipal websites are created for the purpose of serving municipal affairs in which each agency does not own an individual website or pages in the municipal websites or links that connect to the agency page. The sample of this research is 78 regencies and municipalities’ websites out of 82 total local governments in East, Central, and West Java provinces of Indonesia. Four local governments are excluded because their websites were still under construction during the time of this study. This research will analyze the main page, the menu items on the main page, and the link on the second level web page. The local governments’ websites analyzed

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in this research only have one link per web page. This selection of local government in Java is based on the justification that Java is by far the most advanced province in Indonesia in terms of telecommunication infrastructure. According to PT Telekomunikasi Indonesia, tbk., which is the largest network provider in Indonesia, in December 2008 the number of fixed-line networks in Java was 20,634,937, representing 70.32% of total networks in Indonesia3. Researchers collected domain names of local governments from the directory of the Directorate General of Fiscal Balance, with additional help from search engines such as: Google or Yahoo. Search engines are used because local governments change their domain names and the links in the Directorate General of Fiscal Balance are not regularly updated. The instrument for evaluating democratic implication of local government online structure is developed and adapted from the UN eParticipation framework4 and previous research in web disclosure (Pina et al., 2007; Schneider & Foot, 2002; Torres, Pina, & Acerete, 2005; UNPAN, 2008). This instrument consists of two components, namely e-Information and e-Consultation & Decision. The coding for this instrument uses dichotomous measures to identify the existence or non-existence of particular information and features. ‘0’ value is assigned if particular information and/or features is absent from the web interface. E-Information refers to the disclosure of information related to the biographical information of elected officials (Mayor & Vice-mayor), government structure, policies and programs, contact information, budget, law and regulations, and other public interest information. Citizens seeking information is the first step in political action. Therefore, the ability of the government to provide means for information gathering through the disclosure on the website is the first indication of political action. E-Consultation & Decision is the provision of tools for consultation and the indication of government commitment to citizen participation.

The provision of tools for consultation refers to the availability of tools used to solicit citizen opinions, personal views, and input, such as online polls, chat rooms, instant messaging, e-mail, forum, and other interactive tools. The decision relates to the willingness of government to take the input and opinions into consideration. This decision refers to the availability of government feedback and decisions related to the petition lodge by citizens.

RESULT AND DISCUSSION The Interactivity of Local Government’s Online Disclosure Structure The majority of local governments in Indonesia use their web presence as one-way communication/messaging. Local governments focus more on influencing public opinion rather than enabling public deliberation. The most prevalent structure initiated by local government in Indonesia is facilitating information gathering for information seekers/citizens. All of the local governments used their website principally as an online brochure. The majority of local government websites are disclosing non-sensitive information (refer to Figure 1), such as the disclosure of government activities and achievement (95%), news and press releases (86%), development of macroeconomic conditions (86%), laws and regulations (70%), and structure and agency job specifications (73%). Despite the increase in transparency, other crucial and essential information regarding financial issues is not widely apparent. Disclosure of financial information on the local government website is less than 40%, such as budget and its comparison with realization (27%), classification of expenditure based on objects (25%), and classification of revenue based on objects (33%) (Figure 2). Classification of objects refers to the classification of cost for a particular objective, such as health, education, etc. In addition, none

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Figure 1. Disclosure on government achievement

Figure 2. Financial statement disclosure

of the local governments disclosed information related to the statement of wide activities (balance sheet). The website has been established to create a representative environment necessary to augment the government’s legitimacy. There is high disclosure regarding program development (95%) and macroeconomic target achievement through news and press releases (85%). The high disclosure on achievement suggests that online disclo-

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sures serve to create a symbolic message that the government is working and they are successfully accomplishing tasks. This structure is used to augment government success and power. Uhlin (1995) argues that the exhibition of success and performance is one justification for holding power (Uhlin, 1995). The exhibition of accumulated power is a major determinant of legitimacy in Indonesian patrimonial culture (Andersen, 1990).

Elucidating Online Structure for Democratic Legitimacy

Figure 3. Citizens’ participation disclosure

The most important feature for citizen participation provided on local government websites are the officials’ email addresses and other contact information. 84% of local governments disclose personal contact information online, such as an email address (refer toFigure 3). Nevertheless, it is uncertain whether these officials will reply and respond to the inquiry. In this one-to-many communication structure, the level of receiver (citizens) control is relatively low. It depends on the willingness and availability of government officials to provide a response. Other popular features apparent on the local government websites are online opinion polls. 73% of local governments use online polls on a regular basis and display the results on the websites (refer to Figure 3). The topics are diverse, from the website’s ease of use to some level of citizen involvement in government activity. Some of the online polls acquire hundreds of participants while other attract none. The attraction level on local government websites is quite low. To illustrate, the online poll conducted by the regency of Blitar in East Java attracted 1,360 people during a 37 month period from October 2006 to August 2009. Thus, on average it attracted 37 people each month,

which represent 0.08% of the Blitar city population and 0.0001% of the total population in East Java (www.blitar.go.id). In addition to online polls, 77% of local governments in Indonesia also provide web forums (refer to Figure 3). Unlike online polls, the forum topics are less controlled, and the forum format allows users to post new topics and comment on each other postings. Depending on the topic, some forums could attract more than one thousand posts, while others no more than 5 posts. For instance, in the regency of Madiun, the topic that attracts most participants is ‘cangkrukan’ (http://diskusi. madiunkota.info/). The word ‘cangkrukan’ means informal, easy, and loose conversation about various interests, including everything from day-to-day life to politics. Very few (13%) provide online discussions regarding policy issues; among them is forum on the quality of health care service Mojokerto presented by the Regency of Mojokerto in October of 2008 (refer to Figure 3). In spite of the open nature of online forums, some local governments control its accessibility by requiring strict registration, full user identification, or rules to control opinions posted in the forum. The requirement of full identification for

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participation is argued to be the main determinant for low involvement. People in Indonesia are still concerned with government repercussions due to years of experiencing cruel authoritarian pressure in Suharto’s era. The social and political histories of Indonesia indicate the use of oppressive powers and Suharto rose on the basis of political violence and maintained militarist rule by dealing with political opposition in a brutal manner (Heryanto & Mandal, 2003). 68% of local governments provide a complaint box or citizen input boxes (refer to Figure 3) which encourage open-ended questions or suggestions from the individual to the government agencies or a particular official. This feature is supposed to encourage citizens to express their disputes, criticisms, disagreements, or compliments to the affairs of the state or officials. In terms of composition, 62% provide an archive of the past complaints or input from the citizens. The topics are varied. Some citizens post their personal grievances while others complain about the performance of government agencies. Some local governments require identification (at least email address) and others accept anonymity. Other more dynamic structures that encourage more ‘real time’ interactivity are chat/instant messaging and text messaging. Nonetheless, these features are less commonly found on the government online structures; chat/instant messaging are offered on only 13% of the sites while text messaging is available on only 15% (refer to Figure 3). Nonetheless, the interactivity of various citizen participation features available on local government websites is not without restriction. These features are mediated by the administrator or webmaster, which is common procedure for user mediated content features. However, in the case of Indonesia, the regulation that controls and directs the process and handling of electronic information transactions did not exist until mid 2008 with the enactment of UU ITE No. 11 of 2008. Unfortunately, this regulation mainly controls proprietary information and security of online

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commerce and does not regulate the freedom of opinion or citizen solicitations. As result, some local governments enact their own policies and in most of them, input, opinions, suggestions, and questions submitted are carefully screened, edited, or deleted. Some local governments admit to the screening procedure (http://www.mojokertokab. go.id) and some explicitly express their right to delete or edit any incoming entries (http://www. lamongan.go.id), but most others did not provide clear policies. Conclusively, online participatory features of local government are not without restrictions. These restrictions manifested in the relatively low level of receiver/user control, screening of information with no policy to support it, and imposed restrictions on accessibility. These restrictions on user-contributed content imposed through the structure of online government presence might suggest the lack of commitment to the actual interactivity. The government provided a variety of online interactivity features to represent their support of democracy, yet the interactive aspects and benefits of Internet features may not be fully utilized in order to retain social control. After Suharto stepped down in 1998, the term “reform” became the most salient catch-word for Indonesians who demanded change from authoritarian government (Heryanto & Mandal, 2003) and nobody, especially no one in government, wanted to be associated with the term “authoritarian”. Thus, providing symbolic representation of democracy appearance can be suggestively considered a local government effort to appeal for legitimacy. On the other hand, institutionalization of Javanese patrimonial culture as the dominant culture in Indonesia (Heryanto, 2008), a negative experience with democracy and 32 years under authoritarian Suharto’s regime create an embedded culture that cannot be easily dismissed and perhaps is unintentionally represented in the relationship between government and citizens. The next section will discuss the possible authoritarian nature of local government apparent in online structure,

Elucidating Online Structure for Democratic Legitimacy

discernible through citizens’ online discourse and the language used in interactions between government and citizens.

Citizens’ Online Discourse and Political Deliberation This section will explore citizen discourse posted online and the level of citizen involvement in the government’s decision-making. Subsequently, it is argued in this chapter that in addition to the government capacity in terms of resources to manage citizens’ online participation, the discourse reveals the possibility that authoritarian culture is still visible. As shown in the illustration, citizen discourse from two municipalities, namely: Lumajang and Sumenep, will be used to accentuate the point. Heryanto (2008) argues that Islam and Javanese culture are among the four major forces that shaped popular culture in Indonesia, and consequently, affect the discourse in the interaction of Indonesian people. As such, the decision underlying the choice of these two cities is based on the fact that both cities attract a large number of citizen comments on their websites, and both cities are proud of their strong attachment to Islamic principles in their governance.

As previously mentioned, 68% of local governments provide complaint boxes or citizens input boxes to encourages open-ended questions or suggestions from individuals to the government agencies or a particular official. Citizens are encouraged to express their differences of opinion, criticisms, disagreements, or compliments to the state or its officials. However, despite the availability of options for citizen participation featured on the website, feedback provided by local government is minimal. Out of 78 local governments analyzed, only 17 (22%) provided feedback in response to the citizens’ input/suggestions/complaints (refer to Figure 4). Of this, only in 5 of the local governments provided feedback from the intended public officials, while for the other 12, the responses were given by the webmaster. The frustration concerning the lack of response from public officials is also manifested in the discourse expressed by citizens online, implicitly or explicitly. Implicit dissent: “Assalamu’alaikum wr.wb. Bapak Bupati yang terhormat, kami tetap menunggu kebijakan anda selanjutkan tentang aspirasi yang kami utarakan sebelumnya”.

Figure 4. Government response & feedback

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“Greeting, the Honorable Regent, we are still waiting for your policy concerning our previous inspiration”. (translated) / (Lumajang, 08/08/2009). Explicit dissent: “Sepertinya percuma saja mengisi buku tamu dan forum di pemda Grobogan, Admin (pihak pemda) tidak ada sama sekali. Ya minimal kasih tanggapan begitu...” “It seems useless to fill out the forum, administrator (government) is not available. At least they should provide some responses...” (translated) / (Grobogan, 08/27/2009) The high percentage of interactive features available is contrasted with the low level of responses from the government. Thus, the consistency of the local government in responding to the citizens is still questionable. The low level of responses of local government officials suggests two possible explanations. First, the local government has limited capacity to respond to all citizen solicitations on the website. As evidenced from the case in the United States, processing responses to citizens requires increasing resources, expertise, and effort (Welch & Fulla, 2005). Local governments might not have the necessary resources or administrative capacity to process citizens’ opinions. Notwithstanding that this assertion is not within the scope of this research, it opens a new possible venue for future research. Future research could examine the correlation of local government’s budget capacity and administrative capacity with citizens’ online participation. The second explanation argues that the features provided in the government website are meant to create an appearance of interactivity beneficial to the creation of an image of democratic legitimacy; although, e-government is not the only source of legitimacy and it is too early to assert that increased responses will guarantee democracy. However, the lack of response might suggest the

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reality of the citizen’s exclusion from the local political processes. Heryanto and Mandal (2003) suggested that in order to avoid being regarded as undemocratic, local governments strive to provide a symbolic appearance of being democratic. Trapped in the middle of a paradoxical situation in which the demand for democracy meets a need for social control, local governments might disregard citizens’ opinion. Nonetheless, ascertaining this notion requires an in-depth interview with public officials in the local government, thus opening up new venues for future research. It is suggested in this article that a local government’s tendency to attain social control and the possibility of persistent influence of authoritarianism results from the embedded historical culture and political system in Indonesia. Years of an institutionalized value system cannot be easily eradicated, particularly during the early stages of adopting e-government. We are not arguing the possible existence of antidemocratic culture in Indonesia, but the behavioral patterns that support or enable authoritarianism may still exist. In addition to the dominant Javanese values underlying social relations in Indonesia (Heryanto, 2009), during the 30 years of Suharto’s reign, Javanese values, norms, and traditions have been integrated into the political culture in Indonesia (Andersen, 1972; Uhlin, 1995). Suharto and his associates asserted the important values of harmony, unity, rejection of opposition, and kinship (kekeluargaan) to solidify their power. Thus, these values were propagated to other parts of Indonesia, elevated, and resulted in submissive behavior and a fear of a repercussive attitude. This attitude of fear and submission is evident in the in the manner of discourse posted by citizens on a local government website. 57% of 695 of citizen complaints in the municipality of Lumajang, and 69% of 587 in the municipality of Sumenep, begin their complaints/ inputs/suggestions with words of apology, positive words, or complementary words. The majority of citizens begin their complaints/suggestions/ inputs with “I am sorry that...”, “I am apologize

Elucidating Online Structure for Democratic Legitimacy

Figure 5. Discourse of citizens’ complaints/inputs

in advance...”, “To the most honorable of...”, or “Please kindly...”. The word “criticism” or other negative words, such as incapable, unsatisfied, late, unfinished, are rarely used. Only 15% of 587 complaints from January 24, 2005 to August 28, 2009 in the municipality of Sumenep explicitly use the word “criticism” or negative words (Figure 5).

Duality of Language in Online Structure In addition to the manner in which citizens construct their discourse, it is argued that use of language in citizen disputes supports the values of harmony, rejection of opposition, and kinship, which was infused by Suharto’s authoritarian regimes to curb opposition. This assertion is unique to Indonesia which has more than 500 different local languages, and each language is used in its own way. Each of these languages employs different means to express an intention (Steinhauser, 1994). As such, Steinhauser (1994) asserts that inter-ethnic communication in formal situations may be seriously hampered by unawareness of differences in language use (Steinhauser, 1994). The choice of language affects the connotation of political communication in Indonesia.

The diversity of colonial rule, religious, ethnic and social composition, and indigenous political traditions created a weak national identity in Indonesia that has made democratic politics more difficult (Putzel, 1997). Despite the long history of colonization, Indonesia has remained marked by tensions based on diverse linguistics and religious identities (Putzel, 1997). Efforts to promote national identity were initiated in the 1920s by the Youth’s Oath in Indonesia, which resulted in the effort to create a single language to unify ethnic diversity in Indonesia. The Indonesian language was elevated to the official language in 1945 during Independence. The Independence was achieved with little agreement among disjointed component of the nation, and was marked by a subsequent revolt (Putzel, 1997). Thus, national language, the Indonesian language, is considered a reflection of a reality that transcends the hopes and fears of a ruling class in Indonesia (Anderson, 1990). Andersen (1990) argued that the duality of languages between the national and embedded regional language represents different concepts of communication. The use of the national language as a language of politics represents highminded, seriousness, authority, and morality. On the other hand, regional language represents

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intimacy and closeness. Informal forums usually mix Indonesian and regional languages (bahasa daerah). This mixed language represents a more egalitarian, intimate, and malicious discussion of politics (Andersen, 1990). Deviation from the national language in formal relations between the government and citizens goes against the vision of bureaucracy in Javanese culture. The ideal of Javanese bureaucracy is based on order, authority, and hierarchy (Putzel, 1997). The majority of local government websites (98%) use the national language to communicate information on the web. Only two local governments, the regency of Garut (http://sunda.garutkab. go.id/) and the city of Bogor (www.kotabogor. go.id), provide the option of using Sundanese language on their webpage. Only a few regional languages appear on the websites and only on open web forums. For instance, the regency of Madiun, http://diskusi.madiunkota.info/ provides a web forum called ‘cangkrukan’, which means informal conversation about various topics including politics. This lack of language variation might signify the hesitation of local governments to deviate from the deeply embedded Javanese authoritarian political culture and norms of maintaining hierarchical bureaucracy and social control as a means to perfect structured harmony. As asserted by Steinhauser (1994), the choice of language and its use signifies differing attitudes. Two citizen solicitations using different languages, and presumably from two different constituents, are provided to illustrate the differing attitudes influenced by the use of different language. In this regard, the researcher cannot ascertain the identity of the constituents since most websites acknowledge anonymity. ...Bu Bupati sing duwe visi dan misi, yo mestine nata jajarane kanggo mencapai visi, tapi embuh misi-ne akeh siji bae durung katon hasile sing temenan!!! yo mestine gawe visi dan misi kudu nanting daerahe ra, ben realistis, logis dan mampu dicapai...

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...Madam Regent who created the vision and mission statement, should manage to get her staff to carry out the vision, but I see that none of [it] has been carried out so far!!! In making the vision and mission statement, one should consider the ability of the regency so that the vision is realistic, logical, and achievable…[translated] (xxx signed on http://pekalongankab.go.id; Tuesday, 29/07/08 at 02.41pm). This constituent directly criticizes the Regent by explicitly suggesting that the Regent is not capable of managing the staff or achieving the mission. The words that he uses are harsh and he even uses an exclamation mark to emphasize his point. The researcher acknowledges his limitation in capturing the harshness of language use when it is translated into English. Using regional language, this constituent is posing as equal to the Regent. In a local language setting, this would be an informal conversation, such as one between friends. Hence, he assumes that the harshness should be justified as it is justifiable to criticize a friend. On the other hand, let us consider the other constituent posting a personal view about the Regent’s performance on the same date. ... BU BUPATI, tugas berat menunggu IBU, pemimpin bertanggungjawab atas nasib yang dipimpinnya ... mari ciptakan budaya bersih, budaya transparan, budaya tertib, budaya efektif and efisien, agar APBD dan PAD benar-benar tepat sasaran... HIDUP IBU BUPATI ...Madam Regent, as the leader responsible for the fate of the citizens, you are facing hard tasks... lets create a clear, transparent, organized, effective, and efficient culture, so that the budget is used on target and appropriately...Salutation to the Madam Regent [translated] (xxx, signed on http://pekalongankab.go.id; Tuesday, 29/07/08 at 01.38 pm).

Elucidating Online Structure for Democratic Legitimacy

The second constituent uses the national language. This citizen does not criticize the Regent directly, but instead, he gives a suggestion. The language used suggests that he does not directly blame the Regent and instead provides his empathy by emphasizing how hard the tasks are that the Regent is facing. He differentiates himself from the Regent and acknowledges the distinction of their positions by saluting the Regent at the end of his sentence. This illustration demonstrates that by enforcing the use of the national language, it is easier for local government to retain social control by curbing possible criticism and opposition. Enforcing the use of the national language aids in the avoidance of criticism directed toward local government. Less criticism may signify success of the local government in accommodating constituents’needs. Confined within the embedded Javanese value of harmony and after years under authoritarian political regimes, local government associates criticism with failure, something they hope to avoid in order to retain legitimacy. Likewise, establishing the difference in attitudes associated with various t use of language opens up new venues for further research. Future researchers could provide more solid evidence through longitudinal evaluation in comparing citizen solicitations in different languages.

DISCUSSION This research provides preliminary assessment of the democratic aspect of online local government structure in Indonesia. In this sense, these current research findings create the opportunity for further research in this venue to validate and perhaps develop these findings. Within the context of a very early stage in the e-government initiative, the analysis of 78 local government websites in Indonesia reveals that local government online structures present certain aspects of democratic and interactive appearance. However, democra-

tized internet-mediated human interactions are restricted. This paper suggests that restriction on local government online structure is due to the government’s favor of more controlled media interaction influenced by the authoritarian political culture embedded through years of institutionalization. The adoption of technology by local governments in Indonesia provides additional opportunities for citizen interaction and contribution to politics, to a certain extent. The local governments use websites as online brochures, providing information regarding government activities and accomplishments, and sometimes to make budget information, albeit a very modest amount of information, available to citizens. However, there is a disproportionate amount of disclosure between sensitive and non-sensitive information on government websites. Despite increased transparency, disclosures on crucial information related to financial subjects are minimal. This condition contradicts with the goals of the e-government framework initiated by Presidential decree No. 3 of 2003 which assures government accountability through information dissemination and sharing. Hence, the imbalanced proportion of disclosure might signify the local government’s focus on influencing public opinion and retaining social control. From a local perspective, the websites were established to create a setting accessible to the public that would validate government authority and legitimacy through the presentation of local government performance and achievements. Contradictory to the study of e-government development stages which assert that e-governments develop gradually through four different phases (Ho, 2002; Moon, 2002; West, 2001), this study found various presence of participatory features (email, forum, input/complain box, and online polls) precedes the service delivery features. Suggestively, this finding indicates that the development of e-government for Indonesian local governments does not follow the same pattern as e-governments in the United States or other

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developed countries, as is evidenced in studies conducted in those countries. This could be due to the demand for reform and change after the collapse of the authoritarian regime in 1998. The concept of authoritarianism, and even the word “authoritarian” became objectionable to the point that people in government sought out ways to disassociate and distance themselves from such policies. This avoidable No one in government wanted to be associated with the term “authoritarian” which urged local government to provide symbolic representation of democratic features in an effort to appeal for legitimacy. Considering that the New Order culture had been shaping the relationship between government and Indonesian citizens for 30 years, the existence of participatory features for citizens is a major improvement and proof of a developing relationship between Indonesian government and citizens. Nonetheless, it would be too hasty to consider this as a sign of full deliberative democracy in Indonesia. The interactivity of various citizen participation features is not without restrictions. These restrictions manifested in the relatively low level of receiver/user control, screening of information with no supporting policy, and imposed restrictions on accessibility. These restrictions on user-contributed content imposed through the online government structure may suggest a lack of commitment to the actual interactivity. The interactive aspects and benefits of Internet features might not be fully utilized in order to retain social control. A study of the presidential candidates’ websites in 1996 and 1998 in the United States shows that candidates avoided full interactivity due to the concern of losing control of the campaign discourse and losing strategic ambiguity needed in appeals to the mass audience (Stomer-Galley, 2000). This study reveals that the high percentage of interactive features is contrasted with a low level of responses from the government, which suggests inconsistency of local governments responding to citizen solicitations. There are two plausible ex-

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planations for this low level of responses: limited government resources, and the provision of interactive features with an emphasis on a democratic image rather than democratic functioning. Low numbers of government responses could signify the limited capacity of local government to administer participation by citizens. Processing citizens’ solicitations on the website requires a certain level of resources, commitment, and efforts (Welch & Fulla, 2005), which might be lacking in Indonesia. In addition, the policy that governs administration of citizens’ online participation does not exist yet in Indonesia. The other explanation might relate to the possibility that interactivity features are provided on local government websites for the sole purpose of creating and image of democratic legitimacy. This study also found that the embedded values of harmony and rejection of opposition continue to influence the manner in which citizens construct their discourse and the choice of language used in citizen complaints. These values were instilled by Suharto’s authoritarian regime to curb opposition and were also influenced by the dominant Javanese culture of perfect harmony and avoidance of chaos.The values of harmony and rejection to opposition were propagated to other parts of Indonesia, elevated, and resulted in submissive behavior and a fear of repercussions. This attitude of fear and submission is evident in the in the manner of discourse posted by citizens on a local government website. 57% of 695 citizen complaints in the municipality of Lumajang, and 69% of 587 citizen complaints in the municipality of Sumenep, begin their complaints/inputs/suggestions with words of apology, positive words, or complementary words. Language choice evokes different connotations of political communication in Indonesia. Indonesia is a country with more than 500 different local languages and each employ a different connotation and meaning (Steinhauser, 1994). Inter-ethnic communication in formal situations might be seriously hampered by unawareness of differences in

Elucidating Online Structure for Democratic Legitimacy

language usage (Steinhauser, 1994). The diversity of colonial rule, religious, ethnic and social composition, and indigenous political traditions created a weak national identity in Indonesia that made democratic politics more difficult (Putzel, 1997). Despite the long history of colonization, Indonesia remained marked by tensions based on distinct linguistic and religious identities (Putzel, 1997). The national language, the Indonesian language, is a reflection of an effort to create a single language to unify the ethnically diverse people of Indonesia. The national language is considered a reflection of a reality that transcends the hopes of unity and fears of disintegration of the ruling elite in Indonesia (Anderson, 1990). The majority (98%) of local governments use the national language and less encourage the use of local language and dialect in their web presence (only 2 out of 78 local governments facilitate the use of local language in their web presence). This condition might signify the hesitancy of local government to deviate from using the national language in their communication with citizens. Deviation from the national language in formal relations between the government and citizens invokes the fear of opposition that is deeply ingrained in a culture that values the Javanese ideal of perfect harmony accompanied by a hierarchical bureaucracy in official relationships.

FUTURE RESEARCH DIRECTIONS As a preliminary assessment of the democratic aspect of local government online structure in Indonesia, the findings in this study create the prospect for validation and developments in future research. As is evidenced in the United States study, processing citizen responses requires increased resources, expertise, and efforts (Welch & Fulla, 2005). Local governments may not have the necessary resources or administrative capacity to process all citizen opinions. Future research could examine the correlation between the local

government’s budget and administrative capability to handle online citizen participation. Heryanto and Mandal (2003) suggested that in order to avoid being regarded as undemocratic, local governments in Indonesia strive for a symbolic appearance of democracy. Trapped between a demand for democracy and a historical tendency to favor social control, the local government is in a paradoxical situation in which citizen opinions may be discounted. Nonetheless, ascertaining this notion requires an in-depth interview with public officials in the local government. Confined within embedded Javanese values of harmony and years under authoritarian political regimes, local governments associate criticism with failure, which they hope to avoid at all cost in order to maintain legitimacy. Establishing the change in attitudes associated with different use of language opens up a new venue for further research. Future researchers could provide more solid evidence through longitudinal evaluations comparing citizen solicitations in different languages. This study also has several limitations that may be addressed by future research. First, the Internet is dynamic—constantly active and constantly changing—focusing observation only for a subset of time limits the ability to analyze the dynamic change of web content. Further studies might consider analyzing the content in several subsets of time. Second, a comparative study might provide more insight on how Indonesian practices differ from other countries and could therefore validate or refute the argument of political and cultural influence on online structure.

CONCLUSION This study explores the extent of online communicative structure of local government web disclosure practices in Indonesia and its impact on democratic legitimacy by analyzing 78 local government websites in Java, Indonesia. This

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study found that the democratic elements of local government online structure are not without restriction. These restrictions manifested in the eradication of sensitive information, low numbers of responses to citizen solicitations, and limited disclosure of select information, suggesting the government’s favor of more controlled media interaction. This disequilibrium of control in the online relationship between government and citizens might limit the degree of political freedom and movement (Resnick, 1998) and affect the quality and outcome of citizen participation (Jiang & Xu, 2009). In the case of Indonesia, arguably the favor for controlled media is influenced by authoritarian political culture and the dominant Javanese culture. Hence, these findings support the argument that diverse social context has the potential to direct the use of technology (Orlikowski, 2000) and embedded political and cultural environments affect the participatory nature of technology (Sassen, 2005). Thus, technology per se is not the major determinant in restructuring of governance.

ACKNOWLEDGMENT The authors would like to thank the editors and reviewers for their suggestions on this article. Their comments helped to make this a better piece of research. The authors value the discussion on the status and stratification of language in Indonesia and how it might affect attitudes with Shiho Sawai, doctoral candidate on Indonesian studies at the Tokyo University of Foreign Study. The authors thank the assistance of Nikki Settelmeyer in proofreading this article.

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KEY TERMS AND DEFINITIONS Authoritarian Political Culture: Culture that is politically inhibited in regard to individual freedom, especially, in terms of this study, freedom of written and spoken expression. The purpose of an authoritarian political culture is to maintain unilateral conformity within the goals of the state. Citizen’s e-Participation: Participative and interactive deliberation of citizens toward government, mediated by digital technologies and internet. Deliberative Democracy: Governing system based on consultation through public deliberation and discursive interaction between government and citizens. Democratic Legitimacy: Legitimacy of government obtained from the popular perception of constituents that government abides by the principles of democracy in governing. Internet Mediated Human Interaction: Communicative interaction between individuals or groups of individuals mediated by digital technologies and internet. Online Structure: The structure of web presentations derived from the composition of various internet features.

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Social Control: Attainment of conformity and compliance of individuals and/or groups through political and societal processes and mechanisms that usually manifest in government policies, conduct, and regulations, and/or through social norms and values. Web Disclosure: The level of information disclosed on a particular web site.

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3 4



http://pih.depkominfo.go.id/ For more information refers to www.depkominfo.go.id http://www.telkom.co.id for more information seehttp://unpan1. un.org/intradoc/groups/public/documents/ un/unpan028607.pdf

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Chapter 20

Citizen Participation through Municipal Websites: A Global Scorecard Alicia Schatteman Northern Illinois University, USA Deborah Mohammed-Spigner NJ Common Cause, USA George Poluse Kent State University, USA

ABSTRACT This study is based on a global survey of municipal websites conducted by the E-Governance Institute at Rutgers University New Jersey and the Global E-Policy E-Government Institute at Sungkyunkwan University, South Korea. The survey evaluated municipal websites in five distinct e-governance categories: (1) security and privacy, (2) usability, (3) content, (4) services, and (5) citizen participation. This chapter examines the area of citizen participation in detail and the analysis found that online citizen participation was highly correlated with both the percentage of Internet users and the percentage of mobile users in a country. In the analysis Seoul, Korea achieved the highest score in this category. Unlike previous research the population of a country was not found to be statistically significant. Overall, this research indicates a strong relationship Internet users and education have with online citizen participation. As the percentage rate of Internet users increases across the globe, along with the rising literacy rates, more countries will progress towards adopting and implementing e-democracy strategies.

INTRODUCTION A growing phenomenon around the globe is how online citizen participation influences the relationship citizens’ have with their government. Democratic governments are increasingly scrutiDOI: 10.4018/978-1-4666-0116-1.ch020

nized for how effectively they use the Internet to provide services to citizens. Initially, traditional citizen participation involved limited to face-toface interactions and telephone communications, however, the evolution of technology has given citizens more opportunities for participation with improvements in communication, and accessibil-

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Citizen Participation through Municipal Websites

ity. This chapter examines different variables that might explain why countries provide online citizen participation opportunities. The analysis is based on the global study of municipal websites that was conducted by Rutgers University and Sungkyunkwan University. This chapter focuses on two primary questions related to citizen participation: 1. What opportunities for online participation are available in the world’s most populous cities? 2. What factors best explain the development of online citizen participation on municipal websites? The results from this study will not only contribute to our understanding of best practices, but also help establish municipal e-government benchmarks.

BACKGROUND E-government enables citizens to participate more actively in the democratic process and the governance of their communities (OECD 2003a). The use of information and communication technology (ICT) promises a participatory democracy (Clift, 2004). Both political support from the top officials and demand from its citizens are necessary to facilitate a shift towards e-government. Johnson and Kaye (1998) argue that within the argument that the Internet can reinvigorate democracy is the implicit “notion that Web users trust the government and want to participate” (p. 123). The Internet can reinvigorate civic engagement, which is defined as “the activities by which people participate in civic, community and political life and by doing so express their commitment to community” (Smith, Kearns and Fine, 2005, p. 6). Online civic engagement is different than traditional engagement; with online capabilities many individuals can be mobilized quickly at little or no cost. Individuals can get involved directly,

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bypassing such middlemen as advocacy groups and organizations. Online engagement can also empower groups and organizations; they can generate their discussion forum and create news updates without going through traditional media channels. “Methods of public engagement can be described as deliberative when they encourage citizens to scrutinize, discuss and weigh up competing values and policy options” (Coleman and Gotze, 2001, p. 6). The Organisation for Economic Co-operation and Development (OECD) outlined three ways to engage the public – 1) information sharing: one-way communication in which the government produces and delivers information to its citizens; 2) consultation: two-way communication in which citizens can provide feedback to the government; and 3) active participation: a partnership between the public and government in which the citizens are directly involved in the decision and policymaking process. There are possible problems with an increase in public engagement. Coleman and Gotze (2001) suggest a possible objection, “online public engagement might compromise a threat to effective policy making and good governance” (p. 15). As citizens become more knowledgeable and actively express their concern over an issue, they can become less representative of the general populace. This can lead to minority rule over the majority, and the exclusion of others, forming small elitist groups that have a great deal of control over policy decisions via online means. If governments offer online consultation they “should not offer [it] as a gimmick; they must be committed to integrating evidence gathered into the policy process and being responsive” (Coleman & Gotze, 2001, p. 20). Online communication networks have the potential to create a strong sense of community and social ownership, which are high in social capital (Foth, 2003). An online community can be a geographic place or group of people that come together for a specific issue, transcending a physical place. The Internet has great potential to tie together people based on their interests and concerns because

Citizen Participation through Municipal Websites

consultation and discussion are not limited to a physical location. Individuals can become more connected to each other, which can increase social capital and civic engagement. Korac-Kakabadse and Korac-Kakabadse (1999) explain that information communication technology provides the opportunity to improve the degree and quality of public participation in government. Coleman and Gotze (2001) suggest that the new media (Internet) possess inherently dialogical, democratic, and libertarian characteristics, which allows political communication to return to the people. This type of communication is structurally unsuited for a centralized agenda or content control. The spread of ICT use to citizens’ should lead to more participation in the political decision-making process. A mask of democracy is detectable in the discourses surrounding new ICTs, often billed as being better able to provide information and opportunities for the public in political discussions (Malina, 1999). Malina warns the equality gap that exists between rich and poor in civil society will widen dramatically if ICTs are used in a way that views information as privately owned property. This would make information a precious commodity in a highly commercialized and competitive “electronic” public sphere (p. 28). Malina (1999) also recognizes that there are very few ways in which citizens can influence the process of choosing our designed technologies. Sclove (1995) stated that we should not “adapt compliantly to whatever technologies happen along,” but commit ourselves to supporting technologies that are “compatible” with citizenship and democracy (p. 8-9). Prior to the advancement of ICTs, public administrators were concerned with the rates of traditional participation of US citizens in government and politics. The lack of participation was reflected in low rates of voter turnout and declining membership in traditional organizations, such as churches and community groups (Putnam, 1995). This cynicism and apathy existed

within the broader context of a general public belief in the impotence and futility of political participation (Rowntree, 1996). ICTs however have opened up new pathways for government information and services. ICTS might be able to facilitate the proliferation of democratic values, transparency, accountability, and participation with the government and its citizens. Participation in government decision-making from informed citizens in governmental affairs empowers them to be legitimate political players. The utilization of citizen input will lead to a more openness in a government (Irvin & Stansbury, 2004). According to Denhardt and Denhardt (2000), the concept of the New Public Service (NPS) is rooted in three basic theories. One of which is the “theory of democratic citizenship,” which advocates the very active and valuable role for citizens engaged in governance. From this perspective, administrators should consider the population they serve as “citizens” rather than as voters, clients, or customers (p. 5520) and share authority, reduce control, and place a high amount of trust in their collaborations with citizens. The goals for citizen participation according to Buss, Redburn and Guo (2006) “are making democracies more democratic, redefining power structures, enhancing credibility and legitimacy, managing conflict and building consensus, eliciting feedback and consultation, and promoting accountability and transparency” (p. 9). The authors argue that expanding and deepening citizen participation is the purpose of a democratic society that is founded on popular sovereignty and self-government. They offer six possible benefits in increasing the participatory power of citizens in government: 1. Citizens can provide policymakers with information they need to design and deliver effective, efficient and quality public services. 2. Citizens participating in efficacious processes are much more likely to be satisfied with programs.

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Citizen Participation through Municipal Websites

3. Extensive, meaningful involvement of citizens in all phases of service delivery helps validate the entire enterprise. 4. Actively involved citizens can marshal support for programs support for programs, services and policies. 5. Citizens not only provide input into programs, but when well informed through participation, they can disseminate information widely to others who are less involved. 6. Many people are systematically excluded from opportunities to participate in programs designed for them (Buss & Tribble, 2006, p. 144). Technology has been utilized by governments and non-profits to engage their citizens in the process of decision-making. An example of this is Americaspeaks, a non-profit whose mission is to reinvigorate American democracy by increasing citizen engagement in public decision-making. The organization’s goal is to link citizens to policymakers and create additional dialogue forums for participation on policy issues. The Champions of Participation is a report that is issued from the collaboration between Americaspeaks and other similar organizations as a result of the President’s Open Government Directive. This effort includes work from 34 managers from 23 different federal agencies and experts on citizen engagement. The project identifies opportunities for participation and collaboration as well as its barriers (Champions of Participation, Executive Summary, 2009). Nine strategies and recommendations were identified and the three most relevant to this study are the following: 1. Establish systems that will support government-wide adoption of participation and collaboration practices. Culture change across federal agencies was identified as being important in bringing this change. 2. Ensure that participation and collaboration are adequately funded.

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3. Address existing rules and regulations that impede participation and collaboration. To Lukensmayer and Torres (2006) citizen engagement includes a number of democratic reform ideas: public participation, public involvement, participatory democracy, deliberative democracy, and collaborative governance The authors argue that when used in relation to the online environment, a new vocabulary is evoked, which includes e-democracy, digital democracy, e-government, and electronic governance (p. 9).

METHOD The methodological steps from the 2007 survey on global municipal websites mirrors previous research that was done in 2005 and 2003. Our methodology borrows from the Digital Governance (2005) report based on the 2005 data. The 2007 global municipality survey involves the same 98-measure from the Rutgers-SKKU Survey Index, with some changes in the cities selected. This data focuses on cities around world by considering their population size and the total number of individuals using the Internet. Cities were identified using data from the International Telecommunication Union (ITU), an organization affiliated with the United Nations (UN). The top 100 most wired nations were identified using information that considers the total number of online users obtained from the ITU-UN. The largest city, by population in each of these 100 countries was then selected for the study and used as a proxy for all cities in a particular country. The rationale for selecting the largest municipalities stems from the e-governance literature, which suggests a direct positive relationship between population and e-governance capacity at the local level (Moon, 2002; Moon and deLeon, 2001; Musso, Weare, & Hale, 2001; Weare, Musso & Hale, 1999). The study evaluated the official websites of each large city in their native language.

Citizen Participation through Municipal Websites

Table 1. E-governance performance measures E-governance Category

Key Concepts

Raw Score

Weighted Score

Keywords

Security/ Privacy

18

25

20

Privacy policies, authentication, encryption, data management, cookies

Usability

20

32

20

User-friendly design, branding, length of homepage, targeted audience links or channels, and site search capabilities

Content

20

48

20

Access to current accurate information, public documents, reports, publications, and multimedia materials

Service

20

59

20

Transactional services - purchase or register, interaction between citizens, businesses and government

Citizen Participation

20

55

20

Online civic engagement/ policy deliberation, citizen based performance measurement

Total

98

219

100

Of the 100 cities selected, 86 cities were found to have an official municipal website; these cities were evaluated from August 2007 to December 2007. From the 2005 survey 81 of the 100 cities had official websites, five less than the 2007 survey. This represents a slight increase in the adoption of e-governance among municipalities around the world. The Rutgers-SKKU E-Governance Survey Instrument is currently the most comprehensive index in practice for e-governance research. It includes 98 measures in five distinct categorical areas of e-governance research. The five components are the following: (1) Security and Privacy, (2) Usability, (3) Content, (4) Services; and (5) Citizen Participation. Table 1 provides a more detailed summary of the survey. The 2007 survey instrument utilizes 98 measures, of which 43 are dichotomous. For each of the five e-governance components our research

applies 18 to 20 measures. The non-dichotomous questions measures were coded on a four-point ordinal scale (0, 1, 2, 3; see Table 2). The dichotomous measures for the “service” and “citizen participation” categories correspond with values on our four-point scale of “0” or “3”; dichotomous measures in “privacy” or “usability” correspond to ratings of “0” or “1” on the scale. This chapter focuses specifically on the results from the citizen participation component. The website evaluation for this component considers several ways in which the local government involves its citizens. The analysis measures includes whether local governments offer current information about municipal governance online, the use of internet-based polls or surveys, online bulletin boards, or other online methods that foster twoway communication and discussion. The dependent variable in this study is the score received for each municipal website, for

Table 2. E-governance scale Scale

Description

0

Information about a given topic does not exist on the website

1

Information about a given topic exists on the website (including links to other information and e-mail addresses)

2

Downloadable items are available on the website (forms, audio, video, and other one-way transactions, popup boxes)

3

Services, transactions, or interactions can take place completely online (credit card transactions, applications for permits, searchable databases, use of cookies, digital signatures, restricted access)

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Citizen Participation through Municipal Websites

the online participation component. The first set of independent variables included the total number of Internet users in the country, the percentage of Internet users in the country, and the percentage of mobile phone users (data from the International Telecommunication Union). A second set of variables included factors from The World Bank’s Governance Indicators which identifies six key dimensions of governance: (1) voice and accountability, (2) political stability and the absence of violence/terrorism, (3) government effectiveness, (4) regulatory quality, (5) rule of law, and (6) control of corruption. For the purposes of this analysis, chose to include only voice and accountability and political stability and absence of violence/terrorism as additional independent variables. The third set of variables came from the World Values Survey, a global network of social scientists that collects data on global normative values and beliefs. These results are broken down into national-level scores of (1) traditional/secularrational values and (2) survival/self-expression values. The fourth set of variables was obtained from the Freedom in the World Survey, which ranks nations based on their political rights and civil liberties. The corruption perceptions index developed by Transparency International measures the extent of corruption in nations around the world and was also included as an independent variable in the study. One additional variable is the democracy index from the Economist. The Economist’s democracy index ranks nations based on the extent of their democratic practices and classifies nations into four types of regimes: full democracies; flawed democracies; hybrid regimes; and authoritarian regimes. Finally the control variables for this study included the education index, population, GDP per capita in U.S. dollars, capital city, and continent.

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ANALYSIS Seoul, Korea (50 points), Bangkok, Thailand (32 points), Helsinki, Finland (31 points), Dublin, Ireland (30 points), and Sofia, Bulgaria (28 points) achieved the highest citizen participation scores out of the possible 55 points. Table 3 highlights all the other cities composite scores. After calculating the overall scores for each of the cities studied, we examined the citizen participation score in relation to the independent variables. The correlations are indicated in Table 4. Interestingly, the US and Canada ranked only 12th and 13th for online citizen participation rates, despite high educational achievement and a high percentage of online users. These governments seem to be behind from the rest of the globe and appear to be missing out on the positive aspects of e-democracy.

International Telecommunication Union Variables Results from the correlation analysis suggest statistically significant findings that pertain to a certain perspective on e-democracy. Among the ITU variables, online citizen participation was highly correlated with the percentage of Internet users and the percentage of mobile users in a country, but not to the actual number of Internet users. This makes sense, since the number of Internet users acts as a proxy for population and can therefore skew the results for large and small populations. The percentage of Internet users more accurately captures the depiction of citizen population across different populations.

World Values Survey Variables Among the variables from the World Values Survey, political stability was found to be statistically significant and highly correlated with online citizen participation among countries,

Citizen Participation through Municipal Websites

Table 3. Total online participation scores Rank

City

Country

Total Score

Rank

City

Country

Total Score

1

Seoul

Korea

50

43

Tallinn

Estonia

8

2

Bangkok

Thailand

32

44

Hochimnh

Vietnam

8

3

Helsinki

Finland

31

45

Bogota

Columbia

7

4

Dublin

Ireland

30

46

Budapest

Hungary

7

5

Sofia

Bulgaria

28

47

Jakarta

Indonesia

7

6

Sarajevo

Bosnia

26

48

Almaty

Kazakhstan

7

7

Singapore

Singapore

26

49

San Juan

Puerto Rico

7

8

Amsterdam

Netherlands

24

50

Buenos Aires

Argentina

6

9

Auckland

New Zealand

24

51

KL

Malaysia

6

10

Vienna

Austria

23

52

Dhaka

Bangladesh

5

11

Rome

Italy

23

53

Shanghai

China

5

12

New York City

USA

23

54

Jerusalem

Israel

5

13

Toronto

Canada

22

55

Ljubljana

Slovenia

5

14

Tokyo

Japan

20

56

Istanbul

Turkey

5

15

Zurich

Switzerland

20

57

Montevideo

Uruguay

5

16

Hong Kong

Hong Kong

19

58

Minsk

Belarus

4

17

Sydney

Australia

18

59

Brussels

Belgium

4

18

Moscow

Russia

18

60

Athens

Greece

4

19

Riga

Latvia

17

61

Muscat

Oman

4

20

Madrid

Spain

17

62

Lima

Peru

4

21

London

UK

17

63

Bucharest

Romania

4

22

Berlin

Germany

16

64

Beirut

Lebanon

3

23

Bratislava

Slovak Republic

16

65

Kuwait

Kuwait

3

24

Paris

France

15

66

Luxemburg

Luxemburg

3

25

Vilnius

Lithuania

15

67

Casablanca

Morocco

3

26

Zagreb

Croatia

14

68

Stockholm

Sweden

3

27

Cape Town

South Africa

14

69

La Paz

Bolivia

2

28

Amman

Jordan

13

70

Guayaquil

Ecuador

2

29

Oslo

Norway

13

71

San Salvador

El Salvador

2

30

Kampala

Uganda

13

72

Lagos

Nigeria

2

31

Mexico

Mexico

12

73

Karachi

Pakistan

2

32

San Jose

Costa Rica

11

74

Riyadh

Saudi Arabia

2

33

Copenhagen

Denmark

11

75

Guatemala

Guatemala

1

34

Caracas

Venezuela

11

76

Mumbai

India

1

35

Praque

Czech Republic

10

77

Tehran

Iran

1

36

Kiev

Ukraine

10

78

Chisinau

Moldova

1

37

Santiago

Chile

9

79

Quezon

Philippines

1

38

Nicosia

Cyprus

9

80

Warsaw

Poland

1

39

Lisbon

Portugal

9

81

Dakar

Senegal

1

40

Belgrade

Serbia

9

82

Nairobi

Kenya

0

41

Dubai

UAE

9

83

Port Louis

Mauritius

0

42

Sao Paolo

Brazil

8

84

Tunis

Tunisia

0

85

Tashkent

Uzbekistan

0

409

Citizen Participation through Municipal Websites

Table 4. Independent variables Source of Data

Variable Name

Pearson Correlation

Significance (2-tailed)

International Telecommunication Union

# of Internet users

0.136

0.215

International Telecommunication Union

% of Internet users

0.549**

0.000

International Telecommunication Union

% mobile phone users

0.365**

0.001

World Values Survey

Self-Expression value

0.199

0.094

World Values Survey

Political stability

0.323**

0.006

World Bank: Governance Indicator

DI: voice and accountability

0.375**

0.000

World Bank: Governance Indicator

DI: political stability and absence of violence

0.340**

0.001

Transparency International

Corruption score

0.434**

0.000

Freedom House

Political Rights score

-0.263*

0.017

Freedom House

Civil Liberties

-0.375**

0.001

UN Human Development Report

Education Index

0.440**

0.000

Economist Intelligence Unit

Democracy Index

0.414**

0.000

Control variables

Population

-.112

0.306

Control variables

GDP $US

0.358**

0.001

*p