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E-government:from hype to reality
Crossroads Bank for Social Security
Frank RobbenGeneral managerCrossroads Bank for Social SecuritySint-Pieterssteenweg 375B-1040 BrusselsE-mail: [email protected]: http://www.law.kuleuven.ac.be/icri/frobben
2Crossroads Bank for Social Security 12/09/2002
What is E-government ?
E-government is a continuous optimization of service delivery and governance by transforming internal and external relationships through technology, internet and new media
external relationships- government <-> citizen
- government <-> business internal relationships
- government <-> government
- government <-> employees all relationships
- are bidirectional
- can be within a country or border-crossing
3Crossroads Bank for Social Security 12/09/2002
Government
not monolithic- EU- in every country
• federal level• regions• communities• provinces• municipalities• parapublic institutions• private instutions participating in delivery of public services• …
integrated E-government is based upon common strategy, multilateral agreements and interoperability
E-government contains the opportunity to realize one virtual electronic government with full respect for every specific competence
4Crossroads Bank for Social Security 12/09/2002
Advantages
efficiency gains- in terms of costs: same services at lower total costs, e.g.
• unique information collection using co-ordinated notions and administrative instructions
• less re-encoding of information by electronic information exchange
• less contacts
• functional task sharing concerning information management, information validation and application development (distributed information systems)
- in terms of quantity: more services at same total cost, e.g.• all services are available at any time, from anywhere and from any device
• integrated service delivery
- in terms of speed: same services at same total cost in less time• reduction of waiting and travel time
• direct interaction with competent governmental institution
• real time feedback for the user
5Crossroads Bank for Social Security 12/09/2002
Advantages (ctd)
effectiveness gains- in terms of quality: same services at same total cost in same
time, but to a higher quality standard, e.g.• more correct service delivery• personalized and participative service delivery• more transparant and comprehensive service delivery• more secure service delivery• possibility of quality control on service delivery process by customer
- in terms of type of services: new types of services, e.g.• push system: automatic granting of or information about services• active search of non-take-up using datawarehousing techniques• controlled management of own personal information• personalized simulation environments
6Crossroads Bank for Social Security 12/09/2002
E-government: a structural reform process
ICT is only a means by which a result may be obtained
E-government requires- considering information as a strategic resource for all
government activity- change of basic mindset: from government centric to
customer centric- re-engineering of processes within each government
institution, each government level and across government levels
- clear definition of mission and core tasks of every governmental institution
7Crossroads Bank for Social Security 12/09/2002
E-government: a structural reform process (ctd)
E-government requires (ctd)- co-operation between governmental institutions: one virtual
electronic government, with respect for mission and core tasks of each governmental institution and government level
- co-operation between government and private sector- adequate legal environment elaborated at the correct level- interoperability framework: ICT, security, unique identification
keys, harmonized concepts- implementation with a decentralized approach, but with co-
ordinated planning and program management (think global, act local)
- adequate measures to prevent a digital divide
8Crossroads Bank for Social Security 12/09/2002
Information as resource: implications
information modelling- information is being modelled in such a way that the model
fits in as close as possible with the real world• definition of information elements• definition of attributes of information elements• definition of relations between information elements
- information modelling takes into account as much as possible the expectable use cases of the information
- the information model can be flexibly extended or adapted when the real world or the use cases of the information change
9Crossroads Bank for Social Security 12/09/2002
Information as resource: implications (ctd)
unique collection and re-use of information- information is only collected for well-defined purposes and in
a proportional way to these purposes- all information is collected once, as close to the authentic
source as possible- information is collected via a supplier-chosen channel, but
preferably in an electronic way, using uniform basic services (single sign on, arrival receipt of a file, notification for each message, …)
- information is collected according to the information model and on the base of uniform administrative instructions
10Crossroads Bank for Social Security 12/09/2002
Information as resource: implications (ctd)
unique collection and re-use of information (ctd)- with the possibility of quality control by the supplier before the
transmission of the information- the collected information is validated once according to an
established task sharing, by the most entitled institution or by the institution which has the greatest interest in a correct validation
- and then shared and re-used by authorized users
11Crossroads Bank for Social Security 12/09/2002
Information as resource: implications (ctd)
management of information- information in all forms (e.g. voice, print, electronic or image)
is managed efficiently through its life cycle- a functional task sharing is established indicating which
institution stores which information in an authentic way, manages the information and keeps it at the disposal of the authorized users
- information is stored according to the information model- information can be flexibly assembled according to ever
changing legal notions- all information is subject to the application of agreed
measures to ensure integrity and consistency
12Crossroads Bank for Social Security 12/09/2002
Information as resource: implications (ctd)
management of information (ctd)- every institution has to report probable improprieties of
information to the institution that is designated to validate the information
- every institution that has to validate information according to the agreed task sharing, has to examine the reported probable improprieties, to correct them when necessary and to communicate the correct information to every known interested institution
- information will be retained and managed as long as there exists a business need, a legislative or policy requirement, or, preferably anonimized or encoded, when it has historical or archival importance
13Crossroads Bank for Social Security 12/09/2002
electronic exchange of information- once collected and validated, information is stored, managed
and exchanged electronically to avoid transcribing and re-entering it manually
- electronic information exchange can be initiated by• the institution that disposes of information• the institution that needs information• the institution that manages the interoperability framework
- electronic information exchanges take place on the base of a functional and technical interoperabilty framework that evolves permanently but gradually according to open market standards, and is independent from the methods of information exchange
Information as resource: implications (ctd)
14Crossroads Bank for Social Security 12/09/2002
Information as resource: implications (ctd)
electronic exchange of information (ctd)- available information is used for the automatic granting of
benefits, for prefilling when collecting information and for information delivery to the concerned persons
15Crossroads Bank for Social Security 12/09/2002
Information as resource: implications (ctd)
protection of information- security, integrity and confidentiality of government
information will be ensured by integrating ICT measures with structural, organizational, physical, personnel screening and other security measures according to agreed policies
- personal information is only used for purposes compatible with the purposes of the collection of the information
- personal information is only accessible to authorized institutions and users according to business needs, legislative or policy requirement
- the access authorisation to personal information is granted by an independent institution, after having checked whether the access conditions are met
- the access authorizations are public
16Crossroads Bank for Social Security 12/09/2002
Information as resource: implications (ctd)
protection of information (ctd)- every concrete electronic exchange of personal information
is preventively checked on compliance with the existing access authorisations by an independent institution managing the interoperability framework
- every concrete electronic exchange of personal information is logged, to be able to trace possible abuse afterwards
- every time information is used to take a decision, the used information is communicated to the concerned person together with the decision
- every person has right to access and correct his own personal data
17Crossroads Bank for Social Security 12/09/2002
Customer centric
unique declaration of every event during the life cycle/business episode of a customer and automatic granting of all related services, e.g.
18Crossroads Bank for Social Security 12/09/2002
Customer centric (ctd)
delivery of services that cannot be granted automatically to a customer- in an integrated way
• information• interaction• transaction
- re-using all available information• harmonized concepts• back-office integration• prefilled information
19Crossroads Bank for Social Security 12/09/2002
Customer centric (ctd)
delivery of services that cannot be granted automatically to a customer (ctd)- in a personalized way
• look & feel and interface• content
– only relevant information and transactions• personalized support
– contextual help– own language– adapted vocabulary– on-line simulations
- or at least based on the way of thinking of the customer group• life events (birth, marriage, etc.) or business episodes (starting a company,
recruiting personnel, etc.)• life styles (sport, culture, etc.)• life status (unemployed, retired, etc.) or business sectors• specific target groups
20Crossroads Bank for Social Security 12/09/2002
Customer centric (ctd)
declaration of events and service delivery via an access method chosen by the customer- various end-user devices
• PC, GSM, PDA, digital TV, kiosks, …
- file transfer- use of intermediaries- accessible to disabled
use of integrated customer relation management tools service delivery in principle free of charge
35Crossroads Bank for Social Security 12/09/2002
Re-engineering of processes
BPR programs started within every federal ministry but need for transversal BPR programs between
- federal ministries- institutions of other government levels (e.g. municipalities,
regions, communities, …)- parapublic institutions or private institutions delivering public
services (e.g. social security institutions)
integration is the key- processes (back office and front office)- information management
36Crossroads Bank for Social Security 12/09/2002
Integration is the key
lack of integration leads to- overloading of the citizens/companies
• multiple collection of the same information by several governmental institutions
• no re-use of available information• avoidable contacts with citizens/companies due to multiple, unco-
ordinated quality checks
- waste of efficiency and time within the governmental institutions
- suboptimal support of the policy made by government- higher possibilities of fraud
37Crossroads Bank for Social Security 12/09/2002
Principles used in social security sector
co-ordinated information modelling decentralized but unique information collection decentralized and distributed information management
- functional task-sharing between social security institutions
- principle of the authentic source electronic information exchange and work flow
- every social security institution can be supplier or user of information
- information exchange can be initiated• by the governmental institution that needs the information
• by the governmental institution that disposes of new information
• by the Crossroads Bank for Social Security
- application to application (no manual intervention)
38Crossroads Bank for Social Security 12/09/2002
Principles used in social security sector (ctd)
unique identification key for each entity control mechanisms by independent institutions (cf.
information is often sensible)- Control Committee designated by Parliament
• preventive autorisation of legitimacy of the exchange of personal data• complaint handling• security policies
- Crossroads Bank for Social Security• preventive access control• loggings
39Crossroads Bank for Social Security 12/09/2002
Co-operation between government levels
co-operation agreement has been signed between federal government, regions and communities- coordinated offer of e-services to citizens/companies- guarantee that a citizen/company can use the same tools
• terminal• software• electronic signature
- guarantee of a unique data collection from the citizen/company
- with respect for the partition of competences between government levels
40Crossroads Bank for Social Security 12/09/2002
Co-operation agreement between government levels
co-ordinated, customer oriented service delivery agreements have to be made on common standards mutual tuning of portals, middleware, websites and
back offices use of common identification keys and electronic
signature mutual tuning of business processes when necessary gradual mutual task-sharing on data storage in
authentic form common policy on SLA’s and security
41Crossroads Bank for Social Security 12/09/2002
Co-operation government and private sector
private companies as service providers (sharing of investments), e.g.- network and security management- co-sourcing in BPR and development/maintenance/housing
of ICT building blocks, e.g.• certification authorities• portals
private companies as partners- integrated work flow with their own information systems, e.g.
• e-procurement• tax declaration• social security declarations
42Crossroads Bank for Social Security 12/09/2002
Changes of the legal environment
organization of integrated data management and electronic service delivery: legal base for Royal Decree exists- functional task sharing on information management- obligation to respect unique data collection from the
customer- obligation to exchange information in an electronic way- permission or obligation to use unique identification keys
harmonization of basic concepts
43Crossroads Bank for Social Security 12/09/2002
Changes of legal environment (ctd)
ICT-law- data protection- public access to information- electronic signature- probative value
no overregulation- only basic principles- technology-neutral, but not technology unaware
44Crossroads Bank for Social Security 12/09/2002
Interoperability framework
goal: to guarantee the ability of government organizations and customers to share information and integrate information and business processes by use of- interoperable ICT- common security framework- common identification keys/sets for every entity- harmonized concepts and data modelling
45Crossroads Bank for Social Security 12/09/2002
ICT interoperability
examples on- www.govtalk.gov.uk and www.e-government.govt.nz (recent
frameworks based on actual open ICT standards, to be implemented)
- www.ksz.fgov.be (framework started in 1991 and implemented between 2.000 Belgian social security institutions, with unique gateway to foreign social security institutions within the EU, and continuously adapted to evolving and proven ICT standards with backwards compatibility)
tendency to use of open ICT standards but ICT is so dynamic and fast changing that ICT standards are
in an almost constant state of evolution huge need to agreements on how to ensure functional
interoperability, far beyond technical interoperability
46Crossroads Bank for Social Security 12/09/2002
Functional ICT interoperability
standardized codification (e.g. institutions, return codes, …) standardized use of objects and attributes standardized layout of header of messages, independent from
information exchange format (EDI, XML, …) and type of information exchange
version management backwards compatibility SLA’s on disponibility and performance of services access autorisation management anonimization rules acceptation and production environments priority management …
47Crossroads Bank for Social Security 12/09/2002
Common security framework
issues: see Stijn Bijnens- confidentiality- integrity- availability- authentication- autorisation- non-repudiation- audit
48Crossroads Bank for Social Security 12/09/2002
Common security framework (ctd)
specific points of interest- risk awareness based on risk analysis- security policies - structural and organisational aspects- encryption standards- interoperability of
• PKI• electronic certificates
– procedures (registration authority, certification authority)– difference between identification certificates and attribute
certificates– attributes, optional fields
• revocation lists• directories
- application security
49Crossroads Bank for Social Security 12/09/2002
Common identification keys
at least common identification keys and identification sets for every entity- person- company- patch of ground
between nations- unique schemes- conversion tables
regulation of interconnection of information based on unique identification keys
50Crossroads Bank for Social Security 12/09/2002
Common identification keys (ctd)
characterictics- unicity
• one entity – one identification key• same identification key is not assigned to several entities
- exhaustivity• every entity to be identified has an identification key
- stability through time• identification key doesn’t contain variable characterics of the identified
entity• identification key doesn’t contain references to the identification key or
characteristics of other entities• identification key doesn’t change when a quality or characteristic of the
identified entity changes
51Crossroads Bank for Social Security 12/09/2002
Harmonized concepts and data model
harmonized concepts and datamodel: example on www.socialsecurity.be (best practice of combination of back office integration and e-portal solution in web-based survey on electronic public services by DG Information Society (European Commission) – April 2002)
52Crossroads Bank for Social Security 12/09/2002
Harmonized concepts and data model
standard elements- with well defined characteristics
- used within all services OO-oriented, e.g. inheritance in a multilingual environment version management in an ever changing environment define once, use many (different presentations) workflow for validation of standard elements and characteristics multi criteria search
- by element
- by scheme
- by version
- …
65Crossroads Bank for Social Security 12/09/2002
A methodology to harmonize concepts
inventory of all documents (frequently) used for information collection
inventory of collected information classification of collected information using a
clustering methodology decomposition of collected information into “real life”
classes with description of the asked attributes analysis of goals: what is every “real life” classes used
for ? setting up of simplification propositions (e.g.
senseless different treatment of same “real life” object)
66Crossroads Bank for Social Security 12/09/2002
A methodology to harmonize concepts (ctd)
based on the simplification propositions, framing out of an OO information model for information to be collected
design of XML-schema’s for the collecting of the information, corresponding to the OO information model
legislative adaptations in order to introduce the uniform definitions of the information classes
procedures in order to guarantee the consistency of the OO information model in an ever changing legal environment
67Crossroads Bank for Social Security 12/09/2002
Preventing digital divide
no creation of information haves and information have-nots
possible measures- promoting automatic granting of services- electronic services are (for the time being) considered as
extra services, tradional services remain- access to electronic services in public places- role of intermediaries and front office organisations- education and life-long learning- promoting usability of portals and websites
68Crossroads Bank for Social Security 12/09/2002
Some interesting Belgian projects
electronic identity card network of service integrators unique identification keys portal sites
69Crossroads Bank for Social Security 12/09/2002
Electronic identity card
retained functions- visual and electronic identification of the holder- electronic authentication of the holder via the technique of
the digital signature- generation of electronic signature via the technique of the
digital signature (non repudiation)- proof of characteristics of the holder via the technique of the
digital signature on the initiative of the holder- only identification data storage- no electronic purse- no biometry
70Crossroads Bank for Social Security 12/09/2002
Electronic identity card: content
visual- identification data: name, first names, sex, date and place of birth- National Register number- photograph- card number- validity period
electronic- serial number (sn)- National Register number (nrn)- card number (cn)- visual identification data + sn + nrn + cn (signed by National
Register = sig1)- address + sig1 (signed by National Register = sig2)- photograph + sig1 (signed by National Register = sig3)
71Crossroads Bank for Social Security 12/09/2002
Organization model
government chooses card producer and certification authority issuing the identity certificates as a result of a public call for tenders
the municipality calls the holder for the issuing of the electronic identity card
the municipality acts as registration authority for 2 certificates: authentication and electronic signature
2 key pairs are generated within the card at production time and the private keys are stored within the chip of the card
72Crossroads Bank for Social Security 12/09/2002
Organization model (ctd)
the 2 certificates are created by the certification authority, but published only when the holder agrees
the use of the private keys within the chip needs an activation of the card by a municipal official using his PUK2 and the PUK1 sent to the holder
first authentication within one session (first private key) and every generation of an electronic signature (second private key) requires the PIN code of the holder
the second private keys and the identity certificate on the electronic identity card can be used to generate an electronic signature within the scope of E-government applications which require such a signature
73Crossroads Bank for Social Security 12/09/2002
Organization model (ctd)
the electronic identity card contains the necessary space to store other private keys associated to attribute certificates that holder can obtain at the certification authority of his choice
74Crossroads Bank for Social Security 12/09/2002
Organization model
CM/CP/CI
VRKVRK
BullBull
CA
CA
ERA
Matti
Meikäläinen
PIN &
PUK
1-code
1
102
3
6
7
9
5
4
8
75Crossroads Bank for Social Security 12/09/2002
No storage of electronic data on the card
why not ?- preventing perception of the card as a big brother- preventing loss of data, when the card is lost- preventing frequent updates of the card
stimulation of the controlled access to data over networks, using the card as an access tool, rather than storage of data on the card
thus, no integration of SIS-card and electronic identity card
76Crossroads Bank for Social Security 12/09/2002
Technical characteristics
security policy conform to the BelPIC document secure infrastructure between National Register and service
providers smart card
- support• format ID-1 (ISO 7816-1)• rainbowprint• fluorescent marks (UV)• an other substrat for impression• printing in OVI• micro-letter• kinegram• photograph
• card number
77Crossroads Bank for Social Security 12/09/2002
Technical characteristics (ctd)
smart card (ctd)- chip: ISO 7816-2 to 9 (format, command) and PKCS#15
(structure file and identifier)- protocol : T=0- functions: PKCS#11 & ISO 7816-4-8-9- certificates: X.509 V3- concrete implementation: proposal of JavaCard
SLE66CX322P - 32KB
identity certificate status validation: OCSP
78Crossroads Bank for Social Security 12/09/2002
Network of service integrators
InternetInternet
Extranetregion or
community
Extranetregion or
community
Extranetsocial
security
Extranetsocial
security
Servicesrepository
SSI
SSI
SSI
FPS
FPS
Servicesrepository
FedMAN
FPS
R/CPS
R/CPS
Servicesrepository
PublilinkPublilink
Municipality Province
Municipality
Servicesrepository
Serviceintegrator(BCSS)
Serviceintegrator(FEDICT)
Serviceintegrator
79Crossroads Bank for Social Security 12/09/2002
Network of service integrators (ctd)
type of exchanged information- structured data- documents- images- multimedia- metadata- business processes
using web services
80Crossroads Bank for Social Security 12/09/2002
Network of service integrators (ctd)
useful functions of service integrators (FEDICT, CBSS, …)- secure messaging
- business logic and work flow support
- directory of authorized users and applications• list of users and applications
• definition of authentication means and rules
• definition of authorization profiles
– which service is accessible to which type of user/application for which persons/companies in which capacities in which situation and for which periods
- directory of data subjects• which persons/companies in which capacities have personal files in which
institutions for which periods
- subscription table• which users/applications want to receive automatically which services in which
situations for which persons in which capacities
81Crossroads Bank for Social Security 12/09/2002
Network of service integrators (ctd)
Interconnection Information Exchange
ServicesRepository
TCP/IPSMTPLDAPFTPS/MIME
XMLXSLSOAPWSDLmetadata (RDF, XTM, XMI, …)
Security (e.g. PKI)
Open standards
Services Register (~ UDDI)Agreements (~ ebXML)PoliciesVocabularia (content + metadata)
82Crossroads Bank for Social Security 12/09/2002
Network of service integrators (ctd)
key issues- evolution of standards- collaboration with vendors- not limited to public agencies- national, European & international standards- every partner is free to implement internally in his own way:
black box philosophy
83Crossroads Bank for Social Security 12/09/2002
FEDICT: TANGO
Target Architecture for Networked Government Operations
84Crossroads Bank for Social Security 12/09/2002
Service oriented architecture
Intranet
ServiceServicess
Internet
Source: Peter Strickx - FEDICT
85Crossroads Bank for Social Security 12/09/2002
Service oriented architecture
Intranet
Presentation Presentation TierTier
Business TierBusiness Tier
Integration Integration TierTier
Source: Peter Strickx - FEDICT
86Crossroads Bank for Social Security 12/09/2002
Unique identification keys
citizens- generalization of the use of the social security number
(national register number or CBSS-number)- (electronically) readable from the electronic identity card- controlled access to basic identification data in National
Register and CBSS
companies- unique company number (based on VAT-number)- unique number for every plant of business- generalized access to basic identification data in Company
Register
regulation on data interconnection
87Crossroads Bank for Social Security 12/09/2002
Portal sites: actual situation
customers•citizens•companies
suppliers
partners
employeesintermediaries
PORTAL A•single sign on•personalization•user groups•multi-channel•aggregation
back-endsystems, e.g.•ERP•groupware•DB’s•applications
businessintelligence
contentmanagement
directory
PORTAL B•single sign on•personalization•user groups•multi-channel•aggregation
back-endsystems, e.g.•ERP•groupware•DB’s•applications
contentmanagement
businessintelligence
directory
88Crossroads Bank for Social Security 12/09/2002
Portal sites (ctd)
need to strike the right balance between roles in delivering e-government services: not a single, but many one-stop shops (public and private)
Government ASP’s
Leading portals
Local service providers
Banks
Associations
…
Government own portals
Government-hosted community sites
Content and Services
Public Private
Private
Public
Channel PPP
Source: Andrea Di Maio - Gartner
89Crossroads Bank for Social Security 12/09/2002
Portal sites (ctd)
public institutions need to concentrate on core activities, such as- information
• modular• up to date• information blocks concerning public services• with standardized metadata• based on standardized thesauri• in generally accessible content management systems• with separation between content and metadata (reuse, don’t rewrite)• that can be submitted to automatical re-indexation
- transactions• applications that can be easily integrated in private or public portal sites
90Crossroads Bank for Social Security 12/09/2002
Portal sites (ctd)
public portals should have added value- integration of services
• information• work flow based on life events of the customers• integration with work flow of customers
- coordinated basic services for own customers• single sign on• ticketing• logging• notification service• …
91Crossroads Bank for Social Security 12/09/2002
Portal sites: to be situation
customers•citizens•companies
suppliers
partners
employeesintermediaries
PORTAL B•single sign on•personalization•user groups•multi-channel•aggregation
back-endsystems, e.g.•ERP•groupware•DB’s•applications
contentmanagement
businessintelligence
PORTAL A•single sign on•personalization•user groups•multi-channel•aggregation
back-endsystems, e.g.•ERP•groupware•DB’s•applications
businessintelligence
contentmanagement
directory directory
92Crossroads Bank for Social Security 12/09/2002
Portal sites (ctd)
other key issues- multidimensionality: accessibility of same services through
different « views »- multi channel enabling- citizen/company relation management
• integrated service delivery, across all used channels• personalization of service delivery
– first step: personalized home page for every company on social security portal
• evolution to push system• quality control• feedback mechanisms for permanent improvement of service delivery
- contact center
93Crossroads Bank for Social Security 12/09/2002
Most important barriers
privacy and security average public sector project is more complex than
average private sector project, due to- interaction with a larger number of stakeholders (elected
officials, public employees, members of interest groups, voters, tax payers, recipients of public services, other governmental institutions, other government levels, …)
- execution in a less stable environment
complexity of BPR in a government environment race for quick wins (cf surveymania) doesn’t stimulate
development of well conceived systems based on re-engineering
94Crossroads Bank for Social Security 12/09/2002
Most important barriers
public sector tends, perhaps for reason of prestige, to favour tailor-made, high-risk, state-of-the-art solutions even when alternative, off-the-shelf, cheap, tried and tested systems are available
in the public sector, there is typically no financial margin of value to be added by innovation
intermediaries often perceive e-government as a threat
skills and knowledge
95Crossroads Bank for Social Security 12/09/2002
Most important barriers
need for radical cultural change within government, e.g.- from hierarchy to participation and team work- meeting the needs of the customer, not the government- empowering rather than serving- rewarding entrepreneurship within government- ex post evaluation on output, not ex ante control of every
input