關(guān)于“數(shù)字政府轉(zhuǎn)型能力”的培訓(xùn)工具包

TrainingToolkiton“CapacitiesforDigitalGovernmentTransformation”

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Acknowledgments

TheTrainingToolkiton“CapacitiesforDigitalGovernmentTransformation”wasconductedunderthegeneralguidanceofJuwangZhu,DirectoroftheDivisionforPublicInstitutionsandDigitalGovernment(DPIDG)oftheUNDepartmentofEconomicandSocialAffairs(UNDESA),KyuChangKo,HeadofUnitedNationsProjectOfficeonGovernance(UNPOG),andAdrianaAlberti,ChiefofProgrammeManagementandCapacityDevelopmentUnit(PMCDU),DPIDG,UNDESA.

KepingYao,SeniorGovernanceandPublicAdministrationExpert,UNPOG/DPIDG/UNDESA,providedguidanceontheoverallframeworkanddevelopmentoftheTrainingToolkit.WaiMinKwok,SeniorGovernanceandPublicAdministrationOfficer,DPIDG/UNDESAandMiKyoungPark,GovernanceandPublicAdministrationOfficer,UNPOG/DPIDG/UNDESA,providedreviewandinvaluableadvice.

TheTrainingToolkitwaspreparedbyLeiZheng,DirectoroftheLabforDigitalandMobileGovernance(DMG),ProfessorattheSchoolofInternationalRelationsandPublicAffairs,FudanUniversity,andhiscolleaguesatDMG.TheprojectteamincludesXinyuQi,theProjectManager,andYunfeiZhou,JingyiJiang,HuizhiTang,SinanTang,XiangyiHuang,QianhuiRuan,JiayiZhang,WeijiaHu,YuanXie,TingyiWangandBinjunXu.

TheTrainingToolkitsincorporateskeyfindingsandselectedcasesfromthe2020and

2022editionsofUNE-GovernmentSurvey,andpracticaltoolsfromthe

Curriculum

onGovernancefortheSustainableDevelopmentGoals

includingthetoolkitsofDiGIT4SD:DigitalGovernmentImplementation,ChangingMindsetsinPublicInstitutionstoImplementthe2030AgendaforSustainableDevelopment,Innovation&DigitalGovernmentforPublicServiceDeliveryandthe

HandbookonDigital

GovernmentCapabilityAssessment.

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TableofContents

Acknowledgments

1

ListofTables

4

ListofFigures

4

ExecutiveSummary

6

Abbreviations

7

OverviewoftheTrainingToolkit

9

Introduction

9

WhyaTrainingToolkiton“CapacitiesforDigitalGovernment

Transformation”?

10

WhatisthepurposeoftheTrainingToolkit?

11

WhoaretheTrainingToolkit’sintendedusers?

11

WhatmethodologywasusedindevelopingtheTrainingToolkit?

11

HowcanthisTrainingToolkitbeused?

11

Chapter1Generalintroductionontheimportanceofpromotingandaccelerating

digitalgovernmenttransformationforrealizingthe2030AgendaforSustainable

Development

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1.1Keydefinitions

12

1.2DigitalgovernmenttransformationforSDGs

15

1.3Thebenefitsofusingdigitaltechnologiesingovernment

22

1.4Risksofusingdigitaltechnologiesingovernment

24

1.5Keymessages

27

Chapter2Aholisticapproachtodigitalgovernmenttransformation

29

2.1Introductiontoholisticapproach

29

2.2Significanceofadoptingaholisticapproachindigitalgovernment

transformation

33

2.3Processofdigitalgovernmenttransformation

40

2.4Keymessages

41

Chapter3Conductingasituationanalysistoassesscapacitygapsand

opportunitiesindigitalgovernmenttransformationacrossallgovernmentlevels

andsociety

43

3.1Introductiontosituationanalysis

43

3.2Toolsthatcouldbeusedinsituationanalysis

44

3.3Casestudies

58

3.4Keymessages

59

Chapter4Envisioningtoadvancedigitalgovernmenttransformationfor

acceleratingimplementationoftheSustainableDevelopmentGoals

61

4.1Introductiontofutureenvisioning

61

4.2Proceduresofenvisioning

63

4.3Casestudies

69

4.4Keymessages

71

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Chapter5.Developingastrategyandroadmapfordigitalgovernment

transformationandcapacitydevelopment

73

5.1Introductiontostrategyandroadmapfordigitalgovernment

transformation

73

5.2Capacitiesattheinstitutionallevel

81

5.3Capacitiesattheorganizationallevel

84

5.4Capacitiesattheindividuallevel

88

5.5Capacitiesatthesocietallevel

98

5.6Capacitiesofcapacitydevelopers

109

5.7ICTinfrastructure,affordability,securityandaccess

111

5.8Keymessages

116

Chapter6Monitoring,evaluationandimprovementfordigitalgovernment

transformation

119

6.1Whyiscontinuousmonitoringandevaluationneeded?

119

6.2Howtoconductmonitoringandevaluation?

121

6.3Performanceindicatorsformonitoringandevaluation

122

6.4Keymessages

123

Chapter7Wrap-upofthewholeprogram

124

7.1Actionplanexercise

124

7.2Evaluationofthewholetraining

126

References

126

4

ListofTables

Table3.1DimensionsofDigitalGovernmentCapabilityAssessment

(DGCA)

49

Table3.2Asummaryoftoolsthatcouldbeusedinsituationanalysis56Table4.311principlesofeffectivegovernanceforsustainabledevelopment

64

Table6.4Checklistfortheimportantindicatorsofmonitoringand

evaluation

122

ListofFigures

Figure1.1Therelationshipamongcapacity,outputandimpact

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Figure2.1Horizontalintegrationandverticalintegration

38

Figure2.2Processofdigitalgovernmenttransformation

41

Figure3.1TheoverallstructureofChapter3

43

Figure3.2Starprofilingmodel:assessingcapacitiesforgovernment

transformation

45

Figure3.3Keypillarsforgovernmenttransformation

47

Figure3.4Thebuildingblocksoftheassessment

52

Figure3.5NinepillarsofDigitalGovernmentReadinessAssessment54

Figure3.6ThestructureofPESTLEanalysis

55

Figure4.1TheoverallstructureofChapter4

61

Figure4.2Fivestepsofdesignthinking

68

Figure5.1TheoverallstructureofChapter5

73

Figure5.2Keypillarsofaroadmapfordigitalgovernancetransformation

anddigitalcapacitydevelopment

75

Figure5.3ThestepsofAcceleratorandBottleneckAssessment

79

Figure5.4Stakeholdermappingtool

79

Figure5.5OrganizationforEconomicCooperationandDevelopment:

GoingDigitalToolkit

80

Figure5.6Strengtheningpolicycapacity,competenciesandcapabilitiesfor

digitalgovernmenttransformation

83

Figure5.7RepublicofKorea:NationalInformationResourcesService 87

Figure5.8WhatarethemostimportanttraitsofCIOstoday?

90

Figure5.9Mindsetsandcompetencies

91

Figure5.10MindsetsforSDGsimplementation

92

Figure5.11Inclusivemindset,Digitalmindset,Evidence-basedmindsetand

Foresightmindset

93

Figure5.12Stepstochangingmindsets

94

Figure5.13Strategiestopromotechangeattheindividuallevel

95

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Figure5.14Theintersectionalityofbarriers:ofaccess,affordabilityand

abilityindeterminingdigitalexclusion

107

Figure5.15Integrateddata-design-deliveryframeworkfore-government

108

Figure6.1TheoverallstructureofSection7.6

119

Figure6.2TheDigitalInclusionEvaluationToolkit

121

Figure7.1Trade-offsbetweenvalueandfeasibility

124

Figure7.2Designthinkingpathwaytoaction

125

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ExecutiveSummary

TheTrainingToolkitprovidesnationalandlocalgovernmentswithasetofcomprehensiveframeworks,practicalstrategies,andtoolstounderstandtheimportanceofaholisticapproachtodigitalgovernmenttransformationinpursuitofsustainabledevelopmentandtodeveloprequiredcapacitiesfordigitalgovernmenttransformationattheinstitutional,organizational,individualandsocietallevels.

Thefirsttwochaptersgiveanoverallintroductionontheimportanceofpromotingandacceleratingdigitalgovernmenttransformationthroughaholisticapproach.ChaptersThreetoSixelaborateonfourstepsandthebuildingblocksofimplementingdigitalgovernmenttransformationinclude:(1)situationanalysis,(2)envisioning,(3)strategy,roadmap,andcapacitiesdevelopment,and(4)monitoring,evaluation,andimprovement.Thesituationanalysishelpsdefinethegeneraldevelopmentobjectivesandhowdigitaltechnologiescansupporttheoverallvisionandstrategyofnationdevelopment.Theenvisioningisaimedtodevelopsharedgoalsreflectinginterests,needsandskills.Thenationalstrategyandroadmapintroducestheoverallpurposeofdigitalgovernmentforthecountry,howitrelatestothecountry’sSDGpriorities,itskeydevelopmentobjectives,andhowitwillbenefitpeoplethroughaligningwithsubnational-levelstrategiesandplacingemphasisonboth“l(fā)eavingnooneoffline”and“l(fā)eavingnoonebehind”.Capacitiesatinstitutional,organizational,individual,andsocietallevelsallneedtobedevelopedfordigitalgovernmenttransformation.Thecontinuousmonitoringandevaluationofdigitalservices,asapartofcyclicpolicyprocess,helptoevaluateprogressinthemediumtermandmeasurewhatishappeninginrelationtowhatwasplanned.Finally,ChapterSevenwrapsupthewholeprogrammewiththeactionplanexerciseandtrainingevaluation.

TheTrainingToolkitalsoprovidesconcretemethodologiesandinnovativecasesfromacrosstheworldtosupportcapacitydevelopmenteffortsofMemberStatesindigitalgovernmenttransformation.Eachchapteralsoincludesasetofquiz,exercises,lessonslearnedandreflections,whichcanbeutilizedasself-assessmenttoolsorassisted-assessmenttools.

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Abbreviations

3As

access,affordabilityandability

3D

threedimensionalities

5G

Fifthgenerationwirelesstechnologyfordigitalcellularnetworks

A4P

AgendaforProsperity

AI

artificialintelligence

AR

augmentedreality

CIO

chiefinformationofficer

CO2

carbondioxide

COVID-19

CoronavirusDisease2019

DEG

digital-eragovernance

DEWA

DubaiElectricityandWaterAuthority

DGCA

DigitalGovernmentCapabilityAssessment

DGRA

DigitalGovernmentReadinessAssessment

DiGIT4SD

DigitalGovernmentImplementationToolkitforSustainable

Development

DPIDG

DivisionforPublicInstitutionsandDigitalGovernment

EGDI

E-GovernmentDevelopmentIndex

ESCAP

UnitedNationsEconomicandSocialCommissionforAsiaandthePacific

GovTech

GovernmentTechnologyDepartment

GPS

GlobalPositioningSystem

HCI

HumanCapitalIndex

HR

HumanResources

ICT

informationandcommunicationstechnology

ID

identity/identification

IoT

InternetofThings

IT

informationtechnology

ITU

InternationalTelecommunicationUnion

IEC

InternationalElectrotechnicalCommission

ISMS

informationsecuritymanagementsystem

ISO

InternationalOrganizationforStandardization

KPIs

keyperformanceindicators

LDC

leastdevelopedcountry

LED

light-emittingdiode

M2M

machinetomachine

MSQ

MemberStatesQuestionnaire

NDP

NationalDevelopmentPlan

NGO

non-governmentalorganization

NPM

newpublicmanagement

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OECD

OrganizationforEconomicCooperationandDevelopment

OSI

OnlineServicesIndex

PESTEL

political,economic,social,technical,environmentalandlegalfactors

PRIDA

PolicyandRegulationInitiativeforDigitalAfrica

SDGs

SustainableDevelopmentGoals

SWOT

strengths,weaknesses,opportunitiesandthreats

TII

TelecommunicationsInfrastructureIndex

UAE

UnitedArabEmirates

UCLG

UnitedCitiesandLocalGovernments

UK

UnitedKingdom(ofGreatBritainandNorthernIreland)

UN

UnitedNations

UNDESA

UnitedNationsDepartmentofEconomicandSocialAffairs

UNDP

UnitedNationsDevelopmentProgramme

UNESCAP

UnitedNationsEconomicandSocialCommissionforAsiaandthePacific

VR

virtualreality

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OverviewoftheTrainingToolkit

Introduction

“InformationandcommunicationstechnologyenabledbreakthroughsinGovernment,includingtheprovisionofpublicservices,education,healthcareandemployment,aswellasinbusiness,agricultureandscience,withgreaternumbersofpeoplehavingaccesstoservicesanddatathatmightpreviouslyhavebeenoutofreachorunaffordable”1.Inanerawhentheworldisfacinginterlinkedandcascadingcriseswithfar-reachingimplicationsforpublichealth,jobs,socialequity,climatechange,andenvironmentalprotection,digitalgovernmentplaysanincreasinglyvitalroleinacceleratingtherealizationofthe2030AgendaforSustainableDevelopmentandensuringthatnooneisleftbehind.

Governmentsaroundtheworldareusingdigitaltechnologiestoinnovatethewaytheyoperate,shareinformation,makedecisionsanddeliverservices,aswellastoengageandpartnerwithpeopletosolvepolicychallengesofpublicconcern.Yet,manycountriesremainill-equippedtoeffectivelyleveragedigitaltechnologiesandprovideaccessible,reliable,fast,personalized,secureandinclusiveservicesandempowerpeoplethroughopenandparticipatorymechanisms.2Inthiscontext,whilerealizingtheimportanceandbenefitsofdigitalgovernmenttransformation,manycountriesespeciallythosecountriesinspecialsituationsareconfrontedwithamultitudeofchallengesnotablyintechnological,governanceandinstitutionaldimensions.UNDESAsupportsMemberStatesinstrengtheningtheircapacitiesfordigitalgovernmenttransformationforachievingsustainabledevelopment.

TheTrainingToolkitprovidesnationalandlocalgovernmentswithasetofcomprehensiveframeworks,practicalstrategies,andtoolstoembraceaholisticapproachanddeveloprequiredcapacitiesfordigitalgovernmenttransformation.Italsoprovidesstep-by-stepguidelineonhowtoconductasituationanalysis,undertakeavisioningexercise,anddeviseastrategyandroadmap.Itexamineshowtodevelopcapacitiesatinstitutional,organizational,individual,andsocietallevels.

TheTrainingToolkitprovidesconcretemethodologiesandcollectinnovativecasesfromacrosstheworldtosupportcapacitydevelopmenteffortsofMemberStatesindigitalgovernmenttransformation.Eachchapterincludesasetofquiz,exercises,lessonslearnedandreflections,whichcanbeutilizedasself-assessmenttoolsor

1UNGeneralAssembly,OutcomeDocumentoftheHigh-LevelMeetingoftheGeneralAssemblyontheOverallReviewoftheImplementationoftheOutcomesoftheWorldSummitontheInformationSociety,availableat

/system/files/official-document/ares70d125_en.pdf

2DepartmentofEconomicandSocialAffairsoftheUnitedNations(UNDESA),UnitedNationsE-GovernmentSurvey2020

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assisted-assessmenttools.TheframeworkillustratedarebasedontheresearchandcapacitydevelopmentworkthatUNDESAhascarriedoutoverthepastseveralyears.

WhyaTrainingToolkiton“CapacitiesforDigitalGovernmentTransformation”?

Governmentleadershavebeenmakingallendeavourstotransformthepublicsectorbyleveraginginnovation,digitalandfrontiertechnologiestoeffectivelydeliverservicesandengagesocietyforachievingtheSustainableDevelopmentGoals(SDGs).Digitaltechnologyapplicationscanprovideuserswithquickandeasyaccesstopublicservicesandprogrammes,andtheycanfacilitatebuildingparticipatorygovernancemechanismsthatallowpeopletobecomeinvolvedindecision-making,andthedesign,creationandproductionofservices.Digitaltechnologiesalsofostergreatergovernmentopennessandaccountabilityandcanbeleveragedtoincreasepublictrust.Yet,thegovernmentandpublicsectorworkforcehavetobeequippedwithnecessarycapacitiesforimplementingmulti-dimensionalandgovernment-widedigitaltransformationstrategieswhilepromptlyadaptingtothechallengingsituationofthe“NewNormal”inthePost-COVID-19Erawithagility.Strongleadershipandinnovativeanddigitalmindsetsarealsocriticalforsettingthevision,prioritiesandstrategiesfordigitaltransformationfortheCOVID-19recovery.

However,digitaltransformation–whichgoesbeyonddigitalizationandharnessingdigitaltechnologies–hascreatedmanychallengesforgovernments.Inparticular,theuseofdigitaltechnologiesinthepublicsectorposesrisksandthreatstosecurity,includingwideningdigitaldivideswithinandacrosscountriesandpotentiallyundermininghumanrights,individualprivacy,andsecurity.Notallcountriesaresufficientlypreparedtopromoteinnovationandleveragedigitaltechnologiestoprovideaccessible,reliable,fast,personalized,secure,andinclusivepublicservices,andempowerpeoplethroughopenandparticipatorymechanisms.Manyarenotpreparedtoidentifyandaddresstherisksassociatedwithdigitaltechnologies.

Digitalgovernmenttransformationisnotjustaboutdigitalizationofpublicservices.Itis,aboveall,aboutpublicgovernancetransformation,creatingadigitalecosystemsandinnovationaspartofoverallnationaldevelopmentvisionandstrategy.Developingcapacitiesfordigitalgovernmenttransformationisessential.Itrequiresaholisticapproachthatisvalue-drivenandinstitutionalizedacrossalllevelsofgovernmentandsociety.Itentailsfundamentalchangesinthewaypublicinstitutionscollaboratewitheachotherandinthemindsetsofcivilservantsaswellasotherrelevantstakeholders.

ThisTrainingToolkitpresentsaholisticapproachtodigitalgovernmenttransformationinsupportofsustainabledevelopmentandprovidingtheuserswithacomprehensiveframeworkforchange,includingkeypillarsfordigitalgovernmenttransformation.

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WhatisthepurposeoftheTrainingToolkit?

TheTrainingToolkitisaimedtoequipuserswithabetterunderstandingoni)whyaholisticapproachtodigitalgovernmenttransformationisimportant,ii)whatcapacitiesarerequiredfordigitalgovernmenttransformationandiii)howtodevelopcapacitiesfordigitalgovernmenttransformation.Itoffersasetofcomprehensiveframeworks,practicalstrategies,andtoolsonhowtodevelopdigitalgovernmentcapacitiesforeffective,inclusive,andaccountableservicedeliveryinsupportofsustainabledevelopment.

WhoaretheTrainingToolkit’sintendedusers?

TheTrainingToolkitisprimarilyintendedfornationalandlocalgovernments,andpublicinstitutionsatalllevels.Internationalorganizations,businessgroups,privatesector,civilsocietyorganizations,NGOs,academia,andthemediamayalsofindtheTrainingToolkituseful.

WhatmethodologywasusedindevelopingtheTrainingToolkit?

TheTrainingToolkitisprimarilydevelopedthroughdesktopresearch.Mostinsightshavebeendrawnfromthe2020and2022editionsofUnitedNationsE-GovernmentSurvey,aswellasotherreportsbyUNDESA,InternationalTelecommunicationUnion(ITU),UNDP,theWorldBank,andOECD,andotherscholarlyarticlesondigitalgovernment.CasestudiesincludedintheTrainingToolkitaremainlyextractedfromthe2020and2022editionsofUnitedNationsE-GovernmentSurvey,complementedbyadditionalsources.Theyarerepresentativeofalltheregionsoftheworld.Theywereselectedmainlybecausetheyexemplifyrelevantbuildingblocksofthedigitalgovernmenttransformation.ThecasesincludedintheToolkitarebynomeansexhaustiveofthediversityofdigitalgovernmenttransformationimplementedincountriesacrosstheworld.

HowcanthisTrainingToolkitbeused?

TheTrainingToolkitcanbeusedtoenhancetheunderstandingofdigitalgovernmenttransformationbyconveyingthemessagethatthetransformationisnotonlyabouttechnology,butmoreimportantly,aboutgovernancetransformation.Itcanalsobeusedtolearnmembercountries’digitalgovernmenttransformationexperiences.Userscanusethetoolkitwithastagedapproachtodevelopinggovernmentcapacitiestowardsdigitaltransformationfromsituationanalysisandenvisioningtodevelopingnationalstrategyandroadmap.TheToolkitisalsohighlyinteractivewithasetofexercisesforuserstoreflectandpractice.

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Chapter1Generalintroductionontheimportanceofpromotingandacceleratingdigitalgovernmenttransformationforrealizingthe2030AgendaforSustainableDevelopment

InlinewiththeDecadeofActionfortheimplementationofthe2030AgendaforSustainableDevelopment,science,technology,andinnovationholdthepotentialtoresolvesomeofthemostcomplexchallengestheworldfacingtoday.DigitalizationinthepublicsectorprovidesopportunitiestoachieveSDGsthroughitsgrowingroleindeliveringsustainable,inclusive,andequitableservicestoeveryoneandeverywhere,andensuringtoleavenoonebehind.

TheglobaloutbreakoftheCOVID-19pandemicemphasizestheneedfordigitalgovernmenttransformationandcatalyzesitsdevelopment.MemberStatesandparticularlysub-nationalgovernmentsareembracingdigitalandno-touchsolutionstobetterservecitizens.Public-sectorleadersexpectdigitaltransformationtoimproveinternaloperations,suchastheabilitytoworkremotelyandstreamlinedworkflows.Digitalgovernmenttransformationnotonlycreatesmoreconvenienceforcitizens,butalsoplaysakeyroleinhelpinggovernmentsprepareforfuturecrises.3However,challengesalsoarisealongwiththerapidandassertivedigitalambitionsandeffortsofmovingtowardsdigitalgovernmenttransformation.Thishasimmediatelytestedthedigitalgovernmentnationalvisions,tools,andapplicationsthatcountrieshaveinvestedinovertherecentyears.Thisguidebookprovidesacomprehensiveunderstandingandpracticaltoolsfordigitalgovernmenttransformation.

1.1Keydefinitions

?Thedefinitionofdigitalgovernmenttransformation

Digitalgovernmenttransformationcanbedefinedastheprocessof

transforminggovernancemodelsandinteractionmechanismsbetweengovernmentandsocietyandinnovatinggovernmentpolicymaking,organizations,services,andprogrammesbyleveragingdigitaltechnologies.

Itreferstoaprocessoffundamentalchangerequiringaholisticapproach

thatputspeoplefirstandrevolvesaroundtheneedsofindividuals,includingthoseleftfurthestbehind,andthemitigationofrisksassociatedwiththeuseoftechnologies.

3Here'sHowthePandemicisAcceleratingDigitalTransformation,availableat/Heres-How-the-Pandemic-is-Accelerating-Digital-Transformation-136582.html

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Digitalgovernmenttransformationisnotjustabouttechnologies.Itis,

aboveall,aboutpublicgovernancetransformationandinnovationaspartofacountry’soverallnationaldevelopmentvisionandstrategy.Developinggovernancecapacitiesfordigitalgovernmentisessential.

Digitaltransformationisacontinuousjourney,notafinaldestinationof

constantimprovementinserviceofsociety’swell-being,peaceandprosperity,bringingaboutfundamentalchange.

?Thedefinitionofdigitalgovernmenttransformationcapacity

Atthesystemiclevel,aholisticapproachtodigitalgovernmenttransformationrequiresbuildingdeepcapabilitiesandcapacities.4TheUnitedNationsSustainableDevelopmentGroupdefinescapacityas“theabilityofpeople,organizations,andsocietyasawholetomanagetheiraffairssuccessfully”andcapacitydevelopmentas“theprocesswherebypeople,organizationsandsocietyasawholeunleash,strengthen,create,adapt,andmaintaincapacityovertime”toachievetheirdevelopmentobjectives.5

DigitalgovernmentcapacityreflectstheabilityofGovernmentsandsocietytotransformpolicies,programmes,processesandservicesbyleveraginginnovationanddigitaltechnologies.Comprehensivedigitalgovernmentcapacitydevelopmentisneededtoensurethedeliveryofaccessible,reliable,fast,personalized,secure,andinclusivedigitalservicesandtheengagementofpeopleindecision-makingprocessesandservicedesignanddelivery.

Foreffectivedesignandimplementationofaholisticapproachtodigitalgo