IT Governance in Norwegian Government 10.02.2016 Arild Jansen, - - PDF document

IT Governance in Norwegian Government Arild Jansen, AFIN, UiO

10.02.2016 1

IT governance in Norwegian public sector – current ambitions and important challenges

Agenda

 ICT governance in Norway  ICT management in Norwegian ministries: principles and

practises

 Digital communication first (Digitalt førstevalg)  Discussions: Do we need stronger and more coherent

governance? Note: I will not discuss the municipal sector in much detail

1 2

Some relevant reading material Pensum og bakgrunnsstoff

 St. mld. 23: Digital agenda for Norge. Ch. 1-2 Se

nettside.

 Se også :Regjeringens digitaliseringsprogram: Se

nettside.

 DIFI – http://www.difi.no/digital-forvaltning  Jansen og Jacobsen

http://www.jus.uio.no/ifp/forskning/prosjekter/seri/sty ring-og-ledelse-av-eforvaltningen/publikasjoner/

 Berger, Grønlund and Jansen :

 First Choice, Free Choice Or No Choice: Policy, design and effects for

digital post in the Scandinavian countries

ICT policy

 The aim of the ICT policy is to influence ICT development in order to

achieve simplification and efficiency improvement in the public sector, further innovation and value creation in the business sector and secure a sustainable and inclusive development of society. The grasp of the ICT policy goes across different society sectors, and the Ministry of Government Administration, Reform and Church Affairs is responsible for coordinating the policy.

Priorities :

 Digital agenda for Norge – Den nasjonale IKT-politikken  Digital deltagelse og universell utforming  Digitalisering i offentlig sektor

See : https://www.regjeringen.no/no/tema/statlig-forvaltning/ikt-politikk/id1367/

https://www.regjeringen.no/en/dokumenter/Barriers-to-digitizatioen/id763795/

3

IT Governance in Norwegian Government Arild Jansen, AFIN, UiO

10.02.2016 2

4

Citizens/constituents, businesses and civic society e-service

• Two-ways

communication

• Automated case

handling and decision systems .

e-demokrati

• Social medier
• E-election.
• Electronic hearings

e-management

• Internal-admin. system
• Office automation, archive,
• Infrastructures …

Bureaucracy/ Administration

Political system

What is eGovernment ?

5

Large ICT-projects : Interaction between between technology, organization and changes in regulations

Political system and regulations ICT- development Organizational and administrative changes

Law as premiss for ICT-dev

ICT cases

shanges in law

Law as premiss fororganization ICT influences

• rganization

Organization as premise for ICT New organization needs change in Law

6

Some basic principles in Norwegian Politics and Governance

 Stortinget (Parliament) pass laws and decide the budget

 Decides upon the overall goals and priorities  Control the Government and that the goals are achieved,

 The Government decides upon its own administrative

structure and administration

 E.g. establish or reorganise ministries  Implement administrative policies and principles, including

regulations that are lawful (permitted by law)

 Sectorization and principle of (vertical) line organization,

 Each ministry is responsible for own governing and organising

means & measures within own sector

 Prime Minister will normally NOT overrule the iministries  But: FIN (Financial control) and KOM (Administrative “control”)

has co-ordination functions

IT Governance in Norwegian Government Arild Jansen, AFIN, UiO

10.02.2016 3

7

Privacy

• Right of inspection of
• wn data

Opennes and transparency

Overall ICT governance : Aiming at combining rule

• g Law, Privacy and opennes and transpanacy ,

Rule of Law

Parties right of inspection

• f relevant data

8

Norwegian Public administration regime to ICT policies and governance

 Characterised by sector-oriented, fragmented policies

 Distinct division of tasks and responsibility between distinct

ministers and directorates

 Each ministry is responsible governing and organising means and

measures within the existing common statutory framework

 Sector interests are often dominating

 A constitutional separation between the state and local

(municipal) levels (but this is not the “complete story” )

 No superior ICT-minister that can overrule other ministers

• r local (municipal) administrations

 But there have been implemented a number and means and measures

aiming at co-ordinating ICT development and use in public sector

 Some directorates has specific responsibilities related to ICT , in

particular DIFI: www.difi.no

The governance structure related to ICT

9

. . .

Specific measures and projects

.

General goals and framework for ICT- policies

Principles and directions,

• rganization mode of
• perations

Ministerial management and control General regulations for financial management and budget Agency management and control

• St. meld. 23 (2012-2013): Digitaliseringsmeldingen

IT Governance in Norwegian Government Arild Jansen, AFIN, UiO

10.02.2016 4

10

Overall goals, public value and effects

Overall goals Public value Indicators (examples)

Efficiency Financial & Organizational value; Financial gains Better organizational structures Effectiveness: Citizens Value Improved quality More inclusive services Increased user value Democracy Political and constituent value. Openness, Transparency Participation, citizens empowerment Innovation Value creation in society – private sector Easier to utilize public information

Different types of means and measures

11

 Legal: Laws and regulation

 General laws , e.g. on Openness, Rule og Law, Privacy, Security,  Specific Laws:, in each sector

 Technical regulations

 Standards (mandatory and recommended)  Overall architecture and common solutions

 Organisation and administrative systems/bureaucracy

 Power and responsibilities

 Economy

 Budget financial management  Business models – other types of income

 Pedagogical measures

 Guiding material, frameworks,,  Competence and Support .

The digitization circular letter

Digitaliseringsrundskrivet

Some main elements

 What : Digitalize public service

 Send digital mail (Send brev digitalt)  Use electronic invoice (elektronisk faktura )  Make Public data available for reuse (Open data)  Focus om information security

 HOW:

 Use common components (nasjonale felleskomponenter)  Use Secure Digital mailbox (bruk sikker digital postkasse)  Comply to national architecture (Krav til arkitektur/standarder  Consider to use cloud service (Vurder skytjenester)  Use common framework for ICT-projects (Based on Prince 2 )  Use guidelines for Benefit Realization (gevinstrealisering  Various types of financial supprot are offered 12

IT Governance in Norwegian Government Arild Jansen, AFIN, UiO

10.02.2016 5

Some challenges

 Lack of overall common goals and strategies  The silo syndrome that depart from Management by

• bjectives (NPM –principles ) :

 Sub-optimalization, focussing vertically towards superiors  Less attention is devoted to other departments /directorate

 Management by objectives and performance (MBO) is

practised 'top down', with a hierarchical breakdown of

• bjectives and performance targets.

 MBO features clear authority, responsibility and avenues for

reporting, and it sets straightforward parameters for the local undertaking.

 It does not offer much encouragement for the cross-disciplinary

exchange of information, experience or expertise.

13 14

A study of IT-governance practises in the Norwegian Ministries

Some research questions :

 How do Norwegian ministries govern ICT in their

subordinate agencies (sector )

 To what extent is co-operation and co-ordination

conceived as important and given priority in their management approach?

 How do the individual ministries conceptualize ICT in

their management approach?

 How to explain the large differences between ICT

management approaches across ministries

The studies were conducted in 2010-2011 – based on document analysis and interviews in all ministries and some selected agencies

15

The overall picture

 Large variation among ICT-goals, strategies, means and

measures used.

 ICT governance as part of the general management approaches

 There are few clearly stated ICT goals

 Large variation how ICT projects are described in budgets

 Almost no focus on cooperation and collaboration across

sectors, and even within same ministerial sector

 ICT is to a large extend conceived as a tool , and not as a

service, infrastructure or in collaboration

 There are great variations in the different roles and

functions that ICT have across agencies and sectors

 But few see the strategic role of ICT

IT Governance in Norwegian Government Arild Jansen, AFIN, UiO

10.02.2016 6

16

Why do these differences

 The ministries do have different tasks, structures, traditions

and competence, not least related to ICT

 Different requirements and types of collaboration with the

• utside world (e.g. private sector )

 They have different management traditions, e.g  Management by objective and results, vs activity control

• f activity , vs Focus on norms or values , vs elements of

market economy vs

 Large variety of kernel activities across sector that requires

different perspectives on ICT (different functions and roles ) Major features of different governance models we may find in Norwegian Government

Governance models Features Instrumental/ structural Cultural-Historical Model Network model The market

• riented model

Focus Rational thinking Maintain values and norms, Reduce hierarchy, stimulate cooperation Avo id monopoly, create markets Structure/ Characteristics Well-defined authority & responsibilities Institutional, historical traditions Interaction and collaboration Decentralization Decision- Making Hierarchical, through authority Guided by professional interests, consultation Participatory, mutual influence, negotiations Decentralized, create internal market. Alignment Centralized, top- down approach Compatibility with existing values Flexible adaptation Ad-hoc, performance-driven Formal communication Hierarchical and centralised “Business as usual” Horizontal Various patterns Management type By objectives and return (MBOR) Path dependency; corporate society Teams, TMQ, Internal quality management Pay for performance, no specific Control process Obligatory return Few Few Many

18

Different ICT functions in public organisations

Characteristics ICT function

Characteristics/View on ICTs

View on organisation &

• rganisational integration

Office automation and case handling functions

Technical matter , (tool) controllable Domination rationalistic view Weak organisational integration

The control and management functions

Technical, integrated in management.

The service function

ICT an integral part of core activity: service production and provision Information processing view, More perspectives on ICT Medium /Strong

• rganisational integration

(need reorganisation)

Information and knowledge management

Data/information processing that facilitate sharing of knowledge

Interaction and co-

• peration

Change work structure and patterns, responsibilities,.. Motivational and political view Strong organisation integration Various perspectives are needed

Information Infrastructure

Support all types of ICT functions Must be open, accessible, flexible,

May be governs by traditional rationalistic approaches

Utfordrende både og utvikle og å styre, krever også andretilnærminger

IT Governance in Norwegian Government Arild Jansen, AFIN, UiO

10.02.2016 7

19

Relation between objectives, indicators, effects and ICT perspectives in eGovernment

Overall goals Public value Indicators (examples) Dominating ICT functions and roles*) Efficiency Financial & Organizational value; Financial gains Better organizational structures Tool Control and management Effectiveness Constituency Value Improved quality More inclusive services Increased user value Servi Service provision Knowledge management Democracy Political Value. Openness, Transparency Participation, citizens empowerment Interaction and collaboration Service provision Innovation Value creation in society Easier to utilize public information Knowledge management Service provision *) Information infrastructures are important for all type of goals

20

Why is it so difficult to reach the goals and object

 In adequate technical systems and solutions – many

legacy systems that creates many barriers

 The structure and organisation of the government

sector: sectorisation and siloes etc.

 Conflicting goals (eg. Efficiency vs effectiveness and

democracy (e.g . Privacy , transparency,..)

 Political priorities and framework:

 ICT is not views as important in election campagn

 Organisational and cultural factors

 Lack of understanding of the strategic role of ICT

 Power and own interest : Bureaucrats are also people

with own interest, preferences, prestige,..

21

,

FIRST CHOICE, FREE CHOICE OR NO CHOICE:

A Study of Policy, Design and Effects for Digital Post in The Scandinavian Countries

 Three specific cases constitutes the empirical base;

 “Digital Post” in Denmark,  “Digital Postkasse” in Norway  “Mina meddelanden” in Sweden

Jesper B. Berger, DK; Göran Goldkuhl ;Arild Jansen, N

IT Governance in Norwegian Government Arild Jansen, AFIN, UiO

10.02.2016 8

Research theme and questions

A comparative study of strategies and architecture for digital post in the three Scandinavian countries Denmark, Norway and Sweden. The analysis in this paper will thus focus on three levels:

 The national policy level: goal, legal and organizational measures  The design level: how digital channel strategy is implemented as

e-government architecture etc.

 The effect level: citizens’, businesses’ and public institutions’

responses to the policy and its implementation

Denmark

 The Danish national e-government strategy 2011-2015: The

digital path to future welfare (

 “those that can, must [be digital]” and it is clearly stated that “it

will be mandatory to use digital solutions in written communication with public sector”

 The Law states that every legal entity should have a digital

mailbox from 2013 and every citizen age 15+ from 2014.

 A digital message is regarded legally as “read” when sent from the

public institution and is accessible in the digital solution and the recipient carries the legal consequences.

 Citizens and businesses must accept digital communication but

cannot demand digital communication.

 A strong, centralized policy based on one monopoly

solution

23

Sweden

 Initiative for digital post in Sweden same from the Swedish

Tax Agency around 2009:

 A separate digital solution “Mina meddelanden” for both citizens

and businesses (Tax Agency as responsible actor)

 Principles for My Messages were codified in an existing statute

which gives the Tax Agency a right and an obligation to provide a public sector digital infrastructure to public agencies.

 However, this statute comprises no regulation about obligations

for public agencies to use this digital infrastructure.

 No declaration of “digital-first”: optional to get information

in a secure digital mailbox instead of paper mail

 The goal to provide one-way secure digital communication  Still no two-way secure communication facilities

 Competition considerations: to allow for more secure mail

service providers

24

IT Governance in Norwegian Government Arild Jansen, AFIN, UiO

10.02.2016 9

Norway

 The digitization program (from 2012) is still in force.  Digitalization strategy “On line with the citizens”/“Digital

as first option” as its overall principle.

 Digital communication is default for contact with the public sector  For citizens : Paper-based solutions will still be an option”  All citizens and businesses will receive mail from the public sector

through a certified mail system (Digipost, e-Boks, AltInn)

 But citizens or businesses may not necessarily send secure mail!

 Changes in laws &regulations

 Public Administration Act, §§ 15 which secure that digital communication has

equal legal status as paper-based + changes in other regulations

 These principles apply to the whole state sector; while this

principle is optional for the municipalities.

 A number of municipalities are far ahead of many state agencies!!

A «soft» centralized policy – however allowing for competition between secure mailbox providers

E-government policy attributes for SDP in DK, N, SE

Denmark Norway Sweden

Characteristics

Centralized, top-down, government-centric. Centralized, top-down, citizen-centric. Centralized, bottom- up, institution-centric.

Goals of strategy Reduce public sector

costs. Efficiency, Effectiveness, Innovation Reduce public sector costs, improve security.

Means

Legal means towards citizens and businesses. Mix of legal means and nudging of citizens. Legal means to. businesses. Nudging of public institutions.

Citizens’ rights

Digital by default. Citizen cannot choose to receive physical mail. Digital by default but citizens can choose to receive physical mail

• Voluntary. Dig. Comm.

Citizens can choose,

How many digital solutions

Few other digital solutions. A variety of different solutions. A variety of different solutions.

Degree of choice Citizens have no

choices, and one eID is provided. Citizens can choose between diff. SDP , 4 eIDs Citizens can choose between 3 different SDP.

Implementation Rapid, fixed period,

specific targets. Slower, no fixed period, no specific targets. Digital communication evolves incremental through needs.

27

Do we need stronger centrally controlled ICT management ?

 No, not necessarily, but we need more binding overall goals and

priorities, as basis for co-operation and collaboration

 We must acknowledge that the different sectors are many-sided and

multiple representing a large variety of tasks, functions and roles where ICT has quite distinct roles

 But there is clearly a need for more strategic planning within many

sectors and that the top (political) level take the challenges seriously.

 There is much to be learned across sectors- many systems and

solutions are quite successful

 May be one of the largest challenges is to reduce complexity and

(unnecessary) interdependence across systems What can we learn from the building of Internet??

IT Governance in Norwegian Government Arild Jansen, AFIN, UiO

10.02.2016 10

28

Some important dilemmas in the government

 Professional arguments vs. political priorities  Sector interest vs. necessary co-ordination and a

“totality” perspective

 Common standards versus local norms  Centralisation vs. decentralisation  Central (standard) system vs. local solutions  Market (Business) interest vs a overall governance

view