Evaluation of the impact of the Catalan model of digital administration and the work of the AOC

Challenge

How can we evaluate the impact of the Catalan model of digital administration and the work of the AOC, compared to other models in the rest of the State

Problem and current context

The technological transformation that society as a whole is experiencing since the beginning of the 19st century also affects the public sector, as a key agent in guaranteeing people's quality of life, the sustainability of the economy and the protection of welfare state. This obligation of the public sector acquires special relevance in a context strongly marked by two exogenous factors: the pandemic generated by Covid-XNUMX and the consequent health, social and economic crisis, which when it was beginning to turn towards recovery has had to face an unprecedented scenario in which the digital factor has already become the essential factor, beyond legal requirements.

Thus, the digital transformation of public management has brought new challenges and challenges to the use of technology and the protection of the rights and freedoms of citizens in a new reality, but also to the organizational and operational elements of public bodies.

This digital transformation is particularly complex due to the heterogeneity of the public sector, marked by the atomization of the local map and the deep asymmetries that exist, and increased not only by the fact that the basic regulatory framework does not distinguish based on size, dimension and resources of local entities, or that the legal system and reality do not go at the same pace; but also due to the lack of a strategy, planning and common tools, which can satisfy the transformation process of each and every one of the entities that make up the sector.

In Catalonia, however, the vertebral importance of the technological and organizational elements was soon understood and, in July 2001, through the Agreement for the promotion and development of the Information Society in the Catalan public administrations, one began to be built own model of digital administration which has been perfected over the years, already twenty, through the Open Administration Consortium of Catalonia (AOC).

Indeed, the Catalan model of digital administration pivots on an instrumental body, the AOC, which was born in 2002 with the following strategic objectives:

a) Promote the interoperability of the Catalan information systems with the rest of the administrations.

b) Create and provide common electronic administration services for all entities (such as the portal of transparency, notification solutions and electronic invoicing...) and promote the reuse of the solutions that are developed.

c) Guarantee the identity and accredit the will in the actions of citizens and public sector personnel, as well as confidentiality and non-rejection in electronic communications (Security and data protection).

d) Establish agreements and collaboration measures between the different levels of administration, as well as develop work methods to digitize internal management and to accompany to organizations in change management.

In this way, the Catalan model of digital administration aims to act as an element to mitigate the risk of non-compliance and enable the digital transformation that guarantees equal rights among all people regardless of the part of the territory of Catalonia where meet, without there being first and second class citizens depending on the digital element. Because it is precisely the smaller municipalities that need electronic administration services the most, since otherwise they will have to move to the big cities where the headquarters of the other administrations are located, increasing the administrative burdens, the ecological footprint and clear contradiction with the guiding principles of the operation of public administrations.

With the final entry into force of the 2015 digital government regulatory framework, the digitization drive of the pandemic and the celebration of the AOC's twentieth anniversary, it was deemed the perfect time to carry out an exercise of internal reflection on the Catalan model of digital administration and also external reflection, in comparative terms, with other models; in addition to conducting a review of existing methodologies and indicators to assess the degree of digital maturity of public bodies in order to be able to adequately measure the value of the Digital Maturity Index of Catalonia.

Solution 

The AOC Consortium has celebrated its twentieth anniversary and to commemorate this date, and to highlight the work done by the Catalan public administrations, the AOC commissioned a study on the Catalan model of digital administration, in terms of law and organization compared, but also in the functional aspect, through a field study that allows obtaining empirical evidence on the result of this model compared to other existing ones.

The study was awarded to Concepcion Campos Acuna i Sergio Jimenez Meroño, two people with experience and reputation in the public sector and with an external and independent vision.

Specifically, the objectives of this study were the following:

a) Analyze the experience of the Catalan model of digital administration and the AOC (hereinafter "the Catalan model"), assessing the positive aspects and aspects to be improved.

b) Make a comparison of the degree of digital maturity of Catalan local administrations with respect to a sample of other communities.

c) Identify future opportunities taking as a reference the best experiences of state and international digital agencies.

For this reason, in this study, different digital administration governance models have been examined throughout the Spanish territory, both at the state and regional levels. And the exam is completed with a comparative analysis of the degree of digital maturity of public bodies which is inspired by the methodology of the Digital Maturity Index (IMD) developed by the AOC.

The study has focused on the local level, on the municipalities as entities closest to citizens and vehicles for guaranteeing their relational rights also with other administrations.

To carry out the study, a methodology was proposed that allowed to cover two different needs:

• A comparison between the successes of the implementation of digital administration in Catalonia, AOC territory, and the rest of Spain, OBSAE territory.
• An overview or model that transcends the simple analysis of each of the municipalities included in each scenario.

Finally, the study concludes with a series of reflections on the determining factors of the present and future scenario that should allow us to maintain the course of the model, consolidating its strengths, strengthening its weaknesses and taking advantage of opportunities which presents the model and the future context.

 

SYNTHESIS OF THE STUDY

Full text of the study [PDF]

Chapter II. Comparative models of digital governance

Digital transformation is much more than the acquisition and use of technology, as it requires the adoption of a strategy, planning, design and evaluation, which must be based on a governance model suitable to the needs of management of the different entities engaged in this challenge and which happens, sometimes, to superimpose layers of institutional collaboration and generate synergies of cooperation between the different territorial levels, beyond matters of competence.

In the study carried out, a journey has been made from the state level to the formulas chosen by other autonomous communities compared to the referenced model of the AOC.

Specifically, they analyzed:

• The state model, with the State Secretariat for Digitization and Artificial Intelligence (SEDIA) and the General Secretariat for Digital Administration (SGAD)
• The Technological Modernization Agency of Galicia, created in 2011
• The Provincial Councils in the Basque Country, which provide basic technological solutions for electronic administration since 2018
• The Digital Agency of Andalusia, created in 2021

Unlike the analyzed models, the AOC was born much earlier, in 2002, being from the beginning in the very middle of an innovative model in its ideation and in permanent mode of exploration.

The distinctive element of the AOC is determined, first of all, by the ability to bring together the whole of the Catalan public sector, since the Consortium is constituted by the Generalitat de Catalunya and the Localret Consortium, through which the entities local Catalans participate in governing bodies; and is based on a plural governance model, in which the 4 provincial councils of Catalonia and the 41 regional councils are contemplated.

Secondly, due to its purely instrumental and specialized nature, compared to other described models that have multiple objectives, without consequences of expert knowledge and experience in the development of technological solutions and design of strategies for the transformation of the model digital, turned into the specialty of the local world. Professional and professionalized management based on data management, as demonstrated, among the different lines of action deployed throughout the 20 years of action, the creation of the Digital Maturity Index (IMD) which has marked a differential fact in the comparative context of other existing indicators.

 

Chapter III. The necessary assessment aimed at continuous improvement: an overview of the main indicators

Although there is no model similar to the IMD of Catalonia, a series of reports from the international, state and regional level have been analyzed that offer indicators to monitor the implementation of digital government and/or digital maturity of public administrations.

• Digital Government Index. OECD
• eGovernment Benchmark Report. European Commission
• Digital Economy and Society Index (DESI). European Commission
• LATAM: the Digital Maturity Index for ATs. BID
• Electronic Administration Observatory (OBSAE)
• Inspection report of the Court of Auditors in the matter of electronic administration
• Report on the implementation of electronic administration in the town councils of Navarra
• Report of the Chamber of Accounts of Aragon
• Report of the Council of Accounts of Castile and Leon

The study of these indicators in a comparative context has made it possible to adequately measure the value of the Digital Maturity Index of Catalonia (IMD).

However, it is clear that the IMD is not just another indicator. It is a complete information system (“relates indicators”) that allows:

• Knowing the degree of digitization of a public body (strong points and weak points)
• Compare, get perspective. The digital maturity of each of us is more clearly appreciated when it is compared (contrasted) with others.
• Get the big picture (who's leading and who's lagging)

This powerful tool for analysis and prospecting created by the AOC, provides knowledge and a 360º vision that allows the continuous redesign of the digital transformation strategy for the APC as a whole and to plan the actions that will need to be taken to term

In addition to its unique character, in the formulation, evolution and execution, it should be noted that it is an Index in which entities participate in the review of their data and contrast by submitting amendments through the form that 'establishes

 

Chapter IV. The comparative study of digital maturity

The data study is organized around three large conceptual blocks:

• Citizens' rights (real offer of some type of transactional digital service) Indicator: identifications with digital tools, either Valid in the AOC territory and Cl@ve in the rest.
• Activity or use in the back office of electronic administration tools. Indicators: Number of consultations per 1000 inhabitants per year carried out through the PID and AOC, and the coverage of registry exchanges through digital channels (SIR transmissions)
• Transparency, since much of the information that a transparency portal must contain must be manageable in a sustainable way and this is only possible when there is a digital maturity that allows the creation, classification, structuring and presentation of public information of automatic way

In order to make a meaningful comparison, given the structural differences presented by the municipalities due to size, the segmentation of municipalities used by AOC in its digital maturity index has been used:

 · Less than 500 inhabitants, · From 501 to 1000, · From 1001 to 5000 inhabitants, · From 5001 to 20000 inhabitants, · From 20001 to 50000 inhabitants, · More than 50000 inhabitants.

The results offered by the analysis carried out in the general area (without taking into account the sections of the population) are the following:

• The AOC territory shows a greater degree of maturity in all indicators
• The differences are less marked in the registry exchanges, which especially affect the back office and is marked by the legal obligation of interconnection.
• The most pronounced differences are in interoperability, both in coverage and use, especially due to the poor data in the OBSAE territory.
• The degrees of coverage show a greater development than those of use, indicating either a low demand or an insufficient supply of services connected to these structures, although in the case of interoperability of the AOC territory it is significantly high.
• Compliance in transparency indicates, again, a very low degree in both cases, the degree of compliance in the AOC territory being higher.

When the analysis is done in terms of population segments, some interesting nuances can be observed and conclusions can be drawn, such as:

• Despite the fact that the almost universal coverage of the AOC solutions is always above the OBSAE levels, many Catalan municipalities under-use the solutions due to a lower interconnection to services or interest (as happens in the section of 1000 to 5000 inhabitants). It would be desirable to seek a homogenization of procedures, resources or interconnected services that promote use in those that have a slower maturation.
• In the lower sections of the population there is greater parallelism in the results of AOC and OBSAE than in higher sections, indicating that there is a greater structural than strategic relevance in the digital maturation process.
• The size of the municipality has a direct relationship with the degree of transparency observed, possibly due to availability of means or political relevance. Any measure that eases the burden of effort on small municipalities should have the effect of improving service substantially.
• The use of interoperability soars in automation contexts, so it is to be expected that offering services with interoperability packages for small segments of the population can have a significant impact.

 

Chapter V. Conclusions

Once the phase of analysis and review of results is completed, it is appropriate to draw a series of conclusions about the determining factors and trends that allow reflection on the next steps and roadmap of the Catalan model, looking to the future but consolidating the present, and that revolve around the points:

Size matters: the governance of the Catalan model

The study demonstrates a clear correlation between the guarantee of digital services and the size of the municipality, the most populated cities being the ones that tend to have more resources and can develop smart portals and applications, providing a high or very high percentage of their procedures through the digital channel. But solutions are needed on a smaller scale for municipalities with smaller populations, largely located in rural areas and with geographically dispersed population centers. The collaboration between municipalities of similar size and with similar needs is very beneficial, as demonstrated by the Catalan model, as well as being essential collaboration with other supramunicipal AAPP, and that this articulation is carried out from innovative approaches, as is the case in the AOC case.

Interoperability: the Rosetta Stone

La interoperability it must continue to be one of the fundamental work axes of the Catalan model to guarantee digital administration in all municipalities, among all services, regardless of size; so it will make the one-time start possible.

Likewise, the reuse of solutions is presented as a basic axis in the Catalan model that actively promotes the reuse of solutions developed in the public sector, as demonstrated by the fact that AOC services are used by 2.250 public bodies in Catalonia. This data is proof of an effective success case of reuse that generates significant operational and operational savings and efficiencies on the part of the Catalan administrations, at the same time it allows to reduce the deadlines for fulfilling legal obligations and facilitates usability in the face of citizens with standardized services. Thus, the AOC makes the source code of the applications it has developed available to the rest of the public entities that request it. On the other hand, the AOC, whenever possible, reuses solutions from other public or private bodies, applying the logic that must preside over the digital world, in the face of "group" strategies, which generate strong service inefficiencies and public spending.

Innovation and data management

The technological modernization of public services should be done from one service-based approach and not exclusively in the administrative procedure, since the legal model is very uninnovative.

In this sense, the AOC formula, after more than 20 years of experience and the evidence accredited through the IMD, not only seems to have contributed in a more successful way than the other tested formulas but is aligned with the challenges and future challenges presented by the current context.

To this approach it is necessary to add the advance in the data management, to transform it into automatable information, which allows to simplify processes and improve compliance standards in terms of transparency.

Equality and inclusion

Technology is currently a key piece for people's access to fundamental rights, and that is why one of the aims of the IMD is not only about the quality of public services but the effective exercise of people's rights citizenship, beyond the right to relate electronically with the administration, and without forgetting the right to equality regardless of the territory of residence or activity. The AOC territory shows a greater degree of maturity in all the indicators analyzed in this study, a scenario that places citizens in a better position in relation to the exercise of their rights in the digital environment.

Agenda 2030 and Urban Agenda

The functionality of the IMD and the construction of the Catalan model during these 20 years must be linked to the 2030 Agenda and the Sustainable Development Goals of the urban agendas.

In particular, for the purposes of this analysis, it is necessary to highlight the specific objective 9.2.– Promote electronic administration and reduce the digital gap, which includes the following lines of action:

• Increase electronic administration services, facilitating administrative procedures for citizens and companies.
• Adopt technological innovation measures, with applications that bring citizens closer to public services.
• Have digital literacy strategies for vulnerable groups (long-term unemployed, elderly, etc.) in order to reduce the digital gap.
• Improve specialized training in these subjects, both for public employees and for society in general.

Ultimately, the conclusions of the study validate the strategy developed by the Catalan model and, in particular, the need to have a planning, measurement and evaluation system (a lack highlighted in the other cases, both in national and international studies), a system open and continuous improvement, which can adapt to new factors, such as telework or sustainability, to support the deployment of digital administration.

To move forward in the digital transformation process, municipalities need to have a global vision, with an institutional project that, as a roadmap, defines the objectives and determines the actions to be taken based on the resources and skills available. The absence of a road map with which to direct or lead the design and implementation of digital transformation can have a high cost for municipalities. It seems clear that the implementation of the IMD and the support of the AOC in the formation of the Catalan model allows for public managers to map these dimensions in detail and diagnose their strengths and gaps to be closed by continue to promote a digital transformation that produces the expected gains in efficiency, and the corresponding social and economic return.

Status of the project

In production. Study carried out by Concepción Campos Acuña and Sergio Jiménez Meroño (October 2022)

Full text of the study [PDF]

More information

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• From Diego Gómez, A. and Vaquero García, A. (2016). "Redimensioning of the local plant: challenges facing minifundism in Galicia", Doc. Local network 5/2016, 2016, last consulted October 21, 2021)  

• Jimenez Meroño, S. (2019). Digital transformation for Public Administrations. INAP, Madrid 

• Maldonado-Melendez, MAA (2022). "The administration and its digital transformation: the state of the issue in LATAM", in Cerrillo (Director) and Castillo (Coord.), The Digital Administration, Dykinson, Madrid 

• Salvador Serna, M. (2021). Digital transformation and public service: institutional capacities to face new challenges. Administrative Documentation, 8, 25-42. 

• Valero Torrijos, V. (2022). "The reuse of information in the municipalities of lower population", in Fondevila (Dir.), Digital transformation in medium and small local entities, The Consultant, Las Rozas, Madrid.