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| ID | AGR-2 |
|---|---|
This use case profiles rural advisory services for farmers. The objective is to equip farmers with the information, knowledge and skills needed to improve their farms and get better yields.
Governments in low- and middle-income countries are increasingly driven to identify sustainable strategies to ensure farmers have the information they need to stimulate agricultural productivity. Also, to overcome various production, management and marketing constraints that affect their productivity, profitability, and livelihood. Providing rural advisory services that are personalized and subscription based to the needs of famers is seen as a solution to equip farmers with the knowledge required to help upgrade their farming and managerial skills.
Ministry of Agriculture and/or relevant government run agriculture extension/advisory institution.
Non-governmental organizations (NGOs), the private sector, and producer organizations (POs) and cooperatives.
Agricultural extension agents with expertise in farming systems and supporting rural agricultural productivity.
Farmers seeking to improve agricultural yield and outputs.
Crop insurance providers that provide rural advisory service to ensure insured farmers have the right information.
Staff from the Ministry of Agriculture/ Agriculture extension institution organizes an awareness campaign on a new program initiated by government to support farmers in addressing causes of yield losses in agricultural and horticultural crops - i.e., crops pests. In some countries, rural advisory services are also provided by non-governmental organizations (NGOs), civil society, the private sector, or even by producer organizations (POs) and cooperatives. The campaign is spread using promotional services - mobile messaging and/or aired on national radio/television to inform farmers about the new program. Posters advertising this service can also be disseminated. In addition, the agricultural advisor staff for this program, can coordinate in-person community outreach to rural farming communities.
Awareness drives can be implemented to educate and explain to farmers on the benefits and methods to subscribe to the advisory services of the program for example via a Mobile App, which can be downloaded for free from an online repository i.e., an App Store. Also, advisory services can be offered via a SMS & voice based advisory service, available to the subscribers of a particular Mobile Network Operator.
Workflows
Client Communication to raise awareness to target users about the program via mobile messaging / media channel(s)/ in-person. Also, communication on how farmers can access and subscribe to use the rural advisory service
Client Education for educating potential target users about the program's objective(s), benefit(s), constraint(s), guideline on access etc.
Content Management for the government staff and/ extension agents working on the program, to develop and manage training content for farmers on how to use the rural advisory services. Also, development of farming advisory content available on a mobile app and/or via a SMS & Voice based advisory service
Building Blocks
In this step, content contributors (e.g., agriculture experts) can use a digital system (often an online content management system such as wiki) to create crop specific advisory packages for targeted users. These guidance recommendations for farmers can then be made available in local languages and saved in data repositories - subsequently, a content management system can be used to publish the digital content. In certain countries, service providers such as mobile network operators, can then access the content management system and pull content - per specific need of the users (farmers) - based upon their query and profile, and send advisory messages to them. Thus, access to the content repository and delivery of the content to the targeted users is facilitated using digital means (SMS or via an App).
Workflows
Content Management to create information packages for targeted users and store all the information in a database/ content repository. Also, to facilitate the publishing and dissemination of the data to the target users
Data Analysis and Business Intelligence / Decision Support / Data Collection and Reporting to capture, analyze and update all crop specific advisory packages and messages. Information can be collected from the subscribers through digital survey (e.g., mobile survey)
Work Planning & Coordination to provide advisory services per user need and situational requirements (e.g., adverse climatic conditions, pest outbreak etc.)
Building Blocks
Registration is the process of collecting standard information of a target group. For this use case, farmers seeking to receive personalized rural advisory service could be required to complete a registration process to subscribe to rural advisory services. Information requested could include information on the user's gender, age, phone number, location, size of farm, crops they are growing etc. This data which is store into a system is to facilitate a personalized user profile. The user will then receive personalized advisory messages based on the crops they are growing, advice on farming techniques and equipment to use based on their farm size, as well as receive local weather forecast and market price updates.
Workflows
Data Collection and Reporting for capturing and storing information provided by each farmer - stored as user profile
Identification and Registration to facilitate personalized advisory services based on registration information provided by the farmers. Also, to capture location of the farmer in order to provide localization-based services - this can be done with aid of geographic information services tool
Building Blocks
This step is to verify and validate the submitted registration data. The data can automatically be checked against other government databases (e.g. ID, tax, land cadastre, etc.) in order to fill in any missing gaps, verify and validate collected information, including authentication of all records. Data checking approaches also vary: sometimes it has full interoperability.
Workflows
Client Case Management for storing and reviewing identification records
Data Analysis and Business Intelligence for cross-referencing and verifying records across multiple registry sources, and reconciling gaps / overlaps
Building Blocks
Following registration, eligible farmers are asked to enroll in this advisory service program by subscribing to receive agri tips on crop and livestock, market prices and weather updates. In this use case, subscription can happen when users enact a digital action (e.g., dial an USSD code or complete a personalized profile on a mobile app) to receive personalized rural advisory services. Subscription can be open (without any pre-authorization or ID) or closed loop (only those having pre-authorization, such as a registration token).
In some countries, following registration to participate in the rural advisory service, the users must the enroll to receive tailored rural advisory services. This is to personalize their service experience. The user is prompted to complete their personalized profile by selecting the crops and agricultural products they would like to regularly receive advisory services on - optimal time to harvest specific crops, addressing crop specific pesticide issues, market price updates etc.
Workflows
Data Collection and Reporting for capturing personalized subscription selections
Identification and Registration for identifying registered users and linking them to the crop advisory subscriptions they have selected
Client communication sends users personalize SMS and/or notifications of harvest schedule, market prices for subscribed products/crops, and weather/natural disaster updates. Also to respond to any support needs/services requested by the users
Building Blocks
Users that subscribe to the rural advisory service, receive a specific number of agri tips notifications (via SMS or App) per week regarding the crop(s) and/or livestocks of their choice. Users should also have the ability to contact a helpline via app or telephone. The objective of the helpline is to connect users to agricultural experts, who can address their queries and follow-up questions on specific advisory notifications they receive. Users can then be given the ability to SMS in their questions or call in to speak to an expert for instant help.
Workflows
Client Case Management to address any communication needs and queries of the target users via mobile helpline, personal messengers, app messaging platform etc
Communication to facilitate communication between farmers and agricultural experts and extension agents (advisory content providers) supporting the implementation of this service
Building Blocks
A marketplace is a platform where customers can find information of vendors selling products or services they need. This marketplace function can include searching and filtering feature as well as scheduling appointments feature. In certain countries that are implementing this rural advisory service via a mobile app, a procurement function is also incorporated into the app. This supports users to be able to search for a specific agricultural product on the app and then be provided a link or even redirected to the respective digital marketplace, where they can purchase this product. An example of such a marketplace platform can be seen outlined in this market linkage use case.
In other instances, this marketplace function can support farmers in identifying and booking a meeting and/or inspection with a specific agricultural expert i.e., an agronomist to visit their farm and address soil management and crop production issues they are facing. Furthermore, also coordinate supply chain management support for farmers around crop storage and waste recycling as well as helping farmer identify contracting services on tilling, harvesting, transport, irrigation,etc.
Workflows
Client Case Management to address any communication needs between users and scheduling support to coordinate on product or service delivery
Communication to facilitate communication between farmers and vendors via app
Marketplace to provide users with a list of products and vendors that can address their products and agricultural service needs
Building Blocks
Monitoring insights are essential to facilitate learning and continuous improvements. Ongoing monitoring and evaluation entails tracking performance of a service all throughout its implementation cycle. It is important to incorporate the changing needs of farmers, but also address environmental problems in the agricultural sector such as soil erosion, pollution and salination which all cause a decrease in yields for farmers. Thus, being agile and having a process in place to implement learnings as quickly as possible, and method to collect, assess and incorporate feedback from farmers are crucial. For example, feedback can regularly be collected from farmers by using various digital tools such as SMS feedback (e.g., send Yes to 123}, IVRS {press 1 if you agree with statement} or mobile survey forms in mobile apps.
Workflows
Client Case Management for ongoing monitoring and tracking of advisory support services provided to farmers
Data Analysis and Business Intelligence / Decision Support / Data Collection and Reporting to analyze, update, and evaluate farmers' crop yields and outputs performances
Data Collection and Reporting for capturing feedback received, and data collected
Building Blocks
Wesley Brown, GovStack Product Owner, Digital Impact Alliance
Sarah Farooqi, The Exchange Product Owner, Digital Impact Alliance
Sainabou Jallow, Business Analyst, Digital Impact Alliance
Margus Mägi, GovStack Project Lead for Estonia
Farina Owusu, Junior Advisor, Global Programme Digital Transformation at GIZ
Meelis Zujev, GovStack, Estonia
| ID | FINC-1 |
|---|---|
This use case profiles the digital transformation of tax administration (e-taxation) in the business sector. The meaning of business taxation refers to the taxes that businesses must pay as a normal part of business operations. Tax administrations across the globe are examining the potential benefits of digitalization to broaden the tax base and improve the quality of taxpayer services - tax reporting and collection. Digital tools are seen as potential means that can make tax systems more accessible, efficient, and seamless for both taxpayers and tax administration.
Moreover, digitalizing the tax collection process is now seen as a key mean to combat tax evasion and reduce the room for non-compliance. Thus, more countries are focused on moving away from a paper-based tax administration to primarily computer-based interaction between taxpayer and administration. This process can also help tackle problems of businesses operating in the hidden and informal economy.
Ministry responsible for administering and enforcing all laws relating to tax revenue.
Chamber of Commerce facilitating all business registration and/or certification in a country.
Institution or agency in charge of business registry - typically under Ministry of Trade and Industry.
Revenue Authority and/or taxation authorities/ agency in charge of the collection and receipt of all business-related tax revenue in a country.
Corporate/business entities in the country - public and private companies.
Tax agents, auditors, and compliance officers reviewing submitted tax related files.
SDG 17: Partnerships for the Goals
Success in digitalizing the tax administration process requires a high level of commitment and buy-in from all levels of government authorities involved – from policy makers to tax officers and auditors. Thus, developing a fully articulated implementation plan (road map) with a communication strategy that prioritizes internal change management of all staff is key. In this step, the government body in charge of tax administration (i.e., Tax and Customs Administration, Revenue Authority) trains all staff about the core benefits of standardizing/automating the business tax filing and payment process via a digital platform. Close collaboration with the Chamber of Commerce and their staff may be required. In certain countries, once a business formally registers with the Chamber of Commerce, their information is automatically forwarded to the Tax Administration Authority.
Workflows
Content Management for the staff to acquire technical and nontechnical guidelines on how to use platform
Coordination to have an agreed form of coordination, communication and collaboration between the Chambers of Commerce and Tax Administration - facilitating information sharing on businesses operating in the country
Education for educating and training all relevant government staff on new process and platform/solution being utilized. Emphasis on objective, process, guidelines, and benefits - time saving and easy usability
Building Blocks
For communication with the target business entity taxpayers - the tax administration implements a robust awareness raising campaign via telephone, email (i.e., Chambers of Commerce registered business entities contact database), SMS, newspapers, and social media. The purpose is to inform this target group about the new and mandatory digitized tax reporting process with clear guidelines and initial support on how to file taxes electronically using the platform in place. All information on the tax reporting platform should already be easily accessible and disseminated on all government run websites including in the Chambers of Commerce website, - timeframe to register, tax submission steps and requirements, deadlines, pre-filled standard form to declare revenue, expenses etc. Certain countries have a grace period of 1-3 years by which all businesses are required to transition to electronic invoicing (instead of cash-based transactions) to streamline and automate tax filing and reporting process.
Workflows
Client Communication to facilitate awareness of the tax platform for target audience and mandatory registration and enrollment process
Client Education for educating target users/audience on the objective(s), benefit(s), process, guideline etc
Content Management for the staff to generate relevant educational and promotional content
Building Blocks
Registration is the process of collecting information of all eligible tax paying businesses that have formally registered their business entity in a country. Registration on the tax administration platform can take place via computer, mobile device etc. Information required could include business name, contact information (phone, email etc.) address, legal structure/type of business, date of establishment, taxpayer segment and corporate relationships., bank account details, business identification number or certificate received from the Chamber of Commerce etc. In certain countries, the Tax Administration allocates a unique taxpayer identification number and/or value added tax number (VAT) to each business, once they have fully completed the registration process. Personalized log in credentials can also be provided for each entity to be able to login to file taxes.
Workflows
Client Case Management for creating business entity user records
Data Collection and Reporting for capturing data of business entities
Identification and Registration for each registered business to be provided with unique identification number and/or personalized login details to the tax administration platform in order to submit all required forms and tax related documents
Data verification and validation should be coordinated with all relevant government authorities and regulatory bodies. For the e-tax system, in certain countries, the registration data that is submitted for tax purposes, is checked against other government databases (e.g. chamber of commerce business registry, etc.) to fill in any missing gaps, verify and validate collected information, including authentication of all records.
Workflows
Client Case Management for storing and reviewing identification, registration, and business registration records for tax purposes
Data Analysis and Business Intelligence for cross-referencing and verifying records across multiple registry sources, and reconciling gaps / overlaps
To complete the registration, a fee can be charged to cover administration cost of registering a company in the Business Tax Register for the first time. This can be a one-time non-reoccurring fee. The payment can be done online or in person at the Tax Administration office as part of the final step of registration - this will depend on the country's tax regulations. This fee can directly be paid via debit or with credit card. Once the registration information and payment have been processed, a payment confirmation receipt and notification can be sent to the user information registration completion and approval.
Workflows
Client Case Management for identifying, authenticating and monitoring/verifying that the registration information and fee have been fully processed and received
Financial Services for processing registration fee
Building Blocks
To file and submit all requirements for tax submission purposes, users (business owners) can log in to the designated platform. They can then complete standardized electronic form(s) and submit other income data (e.g., payroll and financial). They can also submit accounting or other source data to support filings (e.g., invoices and trial balances) in a defined electronic format. In certain countries, there is an annual deadline of when to file taxes whereby all taxable income will be calculated according to the tax year. All income received or accrued during a single year would need to be submitted in the filling process, along with expenses paid or accrued. Depending on a country by country basis, there are generally three types of taxes that can be filed: (1) turnover taxes - value added tax (VAT) or goods and services tax (GST); (2) taxing profit of companies/ corporate income tax; (3) taxes from wages or salaries - these can be paid as you earn taxes or even directly taken monthly from wages.
Workflows
Client Case Management to track, review and process all submitted tax related documents. Also, to respond to any inquiries or support needs from business owners/accounting team
Data Analysis and Business Intelligence to analyze all submitted data and ensure they meet tax compliance obligations
Building Blocks
The amount of taxes a business pays can depend on the type of business, the nature of the business activity, and the volume of transactions carried out within the tax assessment period. In some countries, businesses must adhere to several domestic and business taxes including corporate income tax, value-added taxes, withholding taxes, and capital gains taxes. Thus, business taxes are calculated per the specific norms of a country.
The tax platform used can automate the tax calculation process by taking into account the tax regime and rate in the country, and the business's profit, revenue, expenses, and other relevant tax filing information submitted. The business is then allocated a timeframe in which to make this tax payment. The tax payment can be paid in one lump sum or installments.
Workflows
Client Case Management to track, manage and calculate tax payment per business. Also, to respond to any inquiries or support needs
Data Analysis and Business Intelligence to analyze all submitted data and ensure tax payment requirements are met
Financial Services for processing tax payments
Building Blocks
This step is where the tax paying business entity can keep track of all filed tax returns and turnover payments done. This step is also where outstanding tax liability/owed taxes not paid or underpaid can be tracked and used to calculate the interest of delayed or underpaid tax payments. Depending on a country's tax debt management and enforcement system, this step can faciliate payments enforcement.
Workflows
Client Case Management for identifying and recording business entity tax liability and payments. Also monitoring any underpayments or delay in fulfilment of the correct tax payment amount
Client Communication to notify tax delinquent entities on additional payment requirements. To facilitate the reconciliation process
Data Collection and Reporting for tracking all filed tax returns and turnover payments. Also tracking reconcilation payments
Building Blocks
Tax audit is the processing of reviewing/examining a business' accounts and financial information to ensure all information is reported correctly according to the tax laws and to verify the reported amount of tax is correct. This can be done via random selection and computer screening, where submitted tax returns are selected based solely on a statistical formula. Selection can also be made when it involves issues or transactions with other taxpayers, such as business partners or investors, whose returns were selected for audit.
An experienced auditor will then manually review the submitted tax information. If the auditor notes something questionable, they will identify the items noted and forward the return for assignment to an examination group. Should a business be selected for audit, they will be notified via mail and/or on the tax platform. Following completion of the audit, the business entity should be notified of the outcome - whether changes are required and/or if additional money is owed.
Workflows
Client Case Management for communicating with businesses selected for audit: providing them with updates, requesting additional information and/or meetings. Also responding to inquiries, capturing reported cases on grievances / appeals etc., and for determining risks / conditionality by reviewing individual audit cases in-depth
Data Analysis and Business Intelligence to analyze behavior of tax payers and select cases that have higher probability of tax non-compliance. Also to analyze and review all cases selected for audit
Building Blocks
This step involves ensuring information of businesses are kept up to date - specifically relating to timely tax payments. Also ensuring that there is a process in place to address any complaints, grievances and appeals raised. This process should be led by the Tax Administration's compliance officers/team.
Workflows
Client Case Management for identifying and recording business entity interactions with local officers and capturing reported cases on grievances / appeals etc., and for determining risks / conditionality by reviewing individual client case
Data Collection and Reporting for capturing changes in business entity information
Work Planning and Coordination to potentially suggest and connect with Chambers of Commerce in data validation/vetting
Building Blocks
The primary agent should conduct M&E exercises to acquire feedback from all relevant stakeholders on ways to improve the platform and ensure tax submissions are as streamlined, effective and efficient as possible.
Workflows
Client Case Management for ongoing monitoring and tracking of platform performance, and integration to other registries for holistic view and reporting
Data Analysis and Business Intelligence / Decision Support / Data Collection and Reporting to analyze, update, and report output / performance information
Building Blocks
Wesley Brown, GovStack Product Owner, Digital Impact Alliance
Sarah Farooqi, The Exchange Product Owner, Digital Impact Alliance
Sainabou Jallow, Business Analyst, Digital Impact Alliance
Aare Laponin, GovStack, Estonia
Margus Mägi, GovStack Project Lead for Estonia
Dr. P. S. Ramkumar, GovStack, International Telecommunication Union (ITU)
Farina Owusu, Junior Advisor, Global Programme Digital Transformation at GIZ
Meelis Zujev, GovStack, Estonia
| ID | FINC-2 |
|---|---|
Small and medium enterprises (SMEs) represent the economic backbone of most developed and emerging countries. Yet they face a number of hurdles in acquiring loans/credits and financing from traditional financial institutions. Thus, access to finance is a critical barrier for SMEs to start, sustain and grow their businesses. For lenders, information asymmetry on the financial and credit data of SMEs, leads to their high lending interest rates and higher rejection rates of loan applications by SMEs. Many SMEs do not have reliable financial statements and/or are unregistered and have no official documentation when compared to large enterprises, making it difficult for financiers to appropriately evaluate and monitor credit risk.
This use case profiles how streamlined loan programs targeting SMEs can support access to financing for SMEs, and address information asymmetry and collateral requirements in lending markets. Digitization in this use case can range from the use of alternative data sources and big-data analytics to facilitate credit risk-assessment processes for SMEs. It can also mean the use of fintech solutions to facilitate SMEs access to financing i.e., digital credit and equity products such as loans, marketplace lending, and/or equity crowdfunding.
Ministry responsible for Finance and SMEs
Public central banks and financial intermediaries
Investors, private equity, venture capital or angel capital business associations
Chamber of Commerce and/or institution in charge of business or credit registries
Small and medium enterprises (SMEs)
8.3: Promote development-oriented policies that support productive activities, decent job creation, entrepreneurship, creativity and innovation, and encourage the formalization and growth of micro-, small- and medium-sized enterprises, including through access to financial services.
8.10: Strengthen the capacity of domestic financial institutions to encourage and expand access to banking, insurance and financial services for all
The Ministry of Finance and/or the Central Bank/public financial institution coordinate on targeted efforts to strengthen SMEs access to traditional or mainstream financial services and products. These public authorities can liaise with private sector players - commercial banks etc., private equity, venture capital or angel capital business associations, on best approach - methods and tools to facilitate SME financing.
Certain countries have implemented SME credit guarantee schemes, where a government body/ministry stands as guarantor for eligible SMEs applying for loans. As banks will be more willing to provide a loan to SMEs if that loan is partially guaranteed by the government. This credit scheme increases the SME’s collateral and thus their financing options. Another example is lending to SMEs through a factoring platform. Factoring is a financing product that allows a financial institution to provide financing to an SME supplier through the purchase of its accounts receivable or invoices (“receivables”). In factoring transactions, the SME supplier is the client of the financial institution.
Workflows
Coordination to have an agreed form of coordination, communication and collaboration between public and commercial financial institutions.
Education for educating and training all relevant staff on use of digital solutions and any guarantee scheme programs to facilitate credit lending to SMEs.
Content management for content development of technical and nontechnical guidelines.
Building Blocks
This step entails launching an awareness campaign about a new loan program initiative targeting SMEs. Information on the program, which SMEs are eligible and processes to obtain the credit loan are disseminated through all sources of media - television, radio, SMS, email, and social media platforms.
Targeted outreach can also be done via existing databases and registries of operating SMEs in the country. These SMEs should be encouraged to digitize all their internal and business-to-business (B2B) processes on their business activities and cash flows - this will facilitate the automation of credit-risk measurement and monitoring that lenders value.
Workflows
Client communication to facilitate clear information and communication on processes to apply for credit and loans targeting SMEs.
Client education for educating target users/audience on the objective(s), benefit(s), process, guideline etc.
Content management to disseminate relevant educational and promotional content that local loan officers can use at banks, financing institutions etc.
Building Blocks
Registration is the process of collecting information on potential SMEs seeking to apply for financing and go through a credit approval process. This is in order to gather all the necessary information needed for assessment of their needs and conditions. Depending on the specific country context, registration may occur by leveraging an existing business registry database - national SME business registry to acquire all information the lending financial institution requires to assess a loan application. During this process, the business entity's information is collected (type of enterprise, business model, financial documents, collateral etc.) as a prerequisite in assessing their eligibility for a particular loan/ financing scheme.
Workflows
Data Collection and Reporting for capturing data of SME business entities.
Identification and Registration to be able to identify the SMEs.
Client Case Management for creating business entity user records.
Data verification and validation should be coordinated with all relevant authorities and participating lending financial institutions. The SME registration data that is submitted can be checked against other credit institutions and government databases (e.g. chamber of commerce business registry, etc.) to fill in any missing gaps, verify and validate collected information, including authentication of all records.
Workflows
Client Case Management for storing and reviewing identification, registration, and SMEs credit scores and financial information.
Data Analysis and Business Intelligence for cross-referencing and verifying records across multiple registry sources, and reconciling gaps / overlaps.
To be eligible for the SME credit guarantee scheme or any public funding scheme, SMEs have to fulfil specific conditions. Eligibility conditions must be very clear and accessible. Certain countries even include questionnaires that interested parties refer to/ have to complete in order to find out if they are eligible for a loan credit support scheme. These conditions could include requirements on where the business is established, number of employees, years the business has been in operation, annual revenue and balance sheets, revenue thresholds, etc.
For example, in the case of a government credit guarantee funding scheme - where a government body acts as guarantor for eligible SMEs, a list of the banks and funders that have agreed to this funding scheme with the government body, is available on websites and relevant social media platforms. A special dedicated web portal can be made available for SMEs with all relevant information on the eligibility conditions and application processes for each participating funder.
Workflows
Content management to disseminate information of eligibility criteria.
Identification and Registration to identify eligible SMEs that meet the criteria.
Client Case Management for storing specific data and tracking SMEs interested in applying for loans as well as those eligible.
Building Blocks
This step entails the application process for SMES to apply for a loan. SMEs can be required to complete a form online and submit all required documents pertaining to the financial situation of their business (turnover, assets, business activity, collateral information, credit information, outstanding loans etc). In most cases, the representative from the SME will have to schedule a consultation and interview with a loan officer at the financial institution to discuss their loan application. In certain countries, banks have an obligation to provide SMEs with a standardised credit report and with their credit rating, based on a common methodology.
For example, with countries implementing the SME Credit Guarantee scheme for SMEs, the eligible SMEs does not apply directly for the SME Credit Guarantee scheme via the government body guarantor. Instead, the SMEs directly applies for a loan from one of the participating banks or other funders collaborating on this scheme. It is the bank that reviews the SMEs application and then coordinates with the national body acting as the guarantor.
Workflows
Client Case Management to track, review and process all submitted loan documents. Also, to respond to any inquiries and provide updates on the loan application decision.
Data Analysis and Business Intelligence to analyze all submitted data and ensure they meet the eligibility criteria.
Building Blocks
Loan issuance takes place once the submitted loan application has been reviewed and approved. If the application is approved, both parties sign a contract that outlines the details of the agreement. First, a notification is sent to the applicant informing them that their loan has been granted with the contract that provides information on loan agreeement, collateral details, date when amount is available in the SME borrower's account, loan interest rate, and the length of time before repayment is required. The terms of the loan has to be agreed by each party before any money or is disbursed.
Workflows
Data Collection and Reporting for capturing and tracking all approved loans and informing all relevant authorities of approval decision.
Client Case Management to communicate approval decision to the applicant and coordinate loan allocation as well as payment plan and processes.
Building Blocks
Should an SMEs loan application be rejected, it is crucial to have an effective case management system in place. Some countries have put in place credit review offices, providing a credit appeals process for SMEs. The credit review office is meant to help SMEs who have had an application for credit of up to a certain amount, declined or reduced by participating banks, but feel that they have a viable business proposition. It also looks at cases where borrowers feel that the terms and conditions of their existing loan, or a new loan offer, are unfair or have been unreasonably changed and causing harm to their business.
Workflows
Client Case Management for identifying and recording SMEs appeal request for a loan decision - capturing reported cases on grievances / appeals etc., and for determining risks / conditionality by reviewing individual client case.
Work Planning and Coordination to communicate with the relevant banks about their loan decisions and ways to address grievances together.
Building Blocks
Wesley Brown, GovStack Product Owner, Digital Impact Alliance
Sarah Farooqi, The Exchange Product Owner, Digital Impact Alliance
Sainabou Jallow, Business Analyst, Digital Impact Alliance
Margus Mägi, GovStack Project Lead for Estonia
Dr. P. S. Ramkumar, GovStack, International Telecommunication Union (ITU)
Farina Owusu, Junior Advisor, Global Programme Digital Transformation at GIZ
Meelis Zujev, GovStack, Estonia
| ID | HLTC-1 |
|---|
This use case profiles the digital integration steps to provide high-quality and integrated Postpartum and Infant Care services for a mother and child spanning the mother's prenatal and postnatal periods - during the pregnancy, childbirth and after birth. Governments in low- and middle-income countries are increasingly implementing mother and child care programmes to provide primary healthcare services, prenatal care and educate new mothers about post-delivery care (e.g. breastfeeding, nutrition, immunization, personal hygiene).
Postpartum maternal and infant mortality is still high across multiple low and middle income countries. This use case will support and guide countries in their efforts to reduce maternal and perinatal mortality and morbidity, through digitizing the process of postpartum care and services.
Ministry of Health and Welfare or national government body in charge of providing nationwide healthcare services and/or postpartum services and care.
Community healthcare workers trained in essential newborn care, and providing postpartum care for both mother and their newborns.
Expectant mothers and their new born babies as the key beneficiaries of this service.
SDG 3:
Staff from the Ministry of Health or the relevant government agency leads a campaign to spread awareness about a new mother and childcare community health programme with the purpose of facilitating postpartum healthcare services. A comprehensive information and education campaign is developed around prenatal and postnatal healthcare services available through the programme. These educational materials/content can be made available in local languages online. The materials could include information on programme enrollment process and incentives, primary care recommendations/guidelines, pre-and post delivery healthcare support services being offered, participating facilities/clinics, beneficiaries rights and responsibilities, etc.
Outreach communication should be intensive during the kick-off phase of the new programme, but also requires targeted communications to encourage expectant mothers' enrollment in the mother and child care community programme. The campaign can be conveyed via mobile messaging and/or aired on national radio/television as well as through field visit campaigns to local villages, hospitals/clinics - performed by well trained community healthcare workers.
Workflows
Client Communication to facilitate the spreading of programme awareness for target audience and encouraging enrollment via mobile / media channel(s)
Client Education for educating potential target beneficiaries around the approach and objective(s), benefit(s), incentives, role of Community Healthcare Workers, partner(s), etc. of the programme
Content Management for the backend Community Healthcare Workers staff to populate relevant educational and promotional content that local clinics, hospitals, facilities etc, can disseminate and use during on-the-ground outreach campaigns
Building Blocks
Registration is the process of collecting information of target beneficiaries for identification purpose, assessment of their needs and conditions, and to enroll them in a programme. Depending on specific country context, registration can work in very different ways. Registration should support the creation of an electronic medical record and tracking capabilities for each enrolled beneficiary. This can ensure timely and effective monitoring of healthcare data.
For example, some countries use a centralized information technology based application to deliver maternal and child health care services through name-based tracking. During registration, the following information is collected: the mother's name, phone number and ID, as well as the information of their child's name, address and birth certificate. The data (the birth certificate and mother’s ID) provided is then automatically validated in the government’s citizen records system. Once their information is validated, it results in the following: 1. an online account per beneficiary - created for records associated with the mother and child care community programme; 2. a barcode unique to each beneficiary; 3. a Community Healthcare Worker assigned to their case to support the beneficiary in accessing all health services under this programme.
Workflows
Data Collection and Reporting for capturing responses or general observation during registration process
Identification and Registration for registering the mother and child in the system
Client Case Management for the target beneficiary (mother/child's main caregiver) to give permission to a Healthcare Worker to access and use their electronic healthcare record to coordinate the mother and child's healthcare services being provided under the programme
Building Blocks
Data within the Mother and Child Tracking System (MCTS) is generally checked by the Ministry of Health managers, against other government databases (eg. ID, citizen's records, civil registry municipality etc.) in order to fill in any missing gaps, verify and validate collected information, including authentication of all records. *Data checking approaches also vary: sometimes batch-sharing via CD, sometimes full interoperability.
Workflows
Client Case Management for storing and reviewing identification records and authentication information of target beneficiaries
Data Analysis and Business Intelligence for cross-referencing and verifying records across multiple registry sources, and reconciling gaps / overlaps
Building Block Workflows
Eligibility determination is the process of assessing whether an eligibility criteria is met inorder to benefit from certain services. In most countries, the maternal and child health programme is part of the general health services provided by the government, however the eligibility structure can vary across countries. All expecting mothers and caregivers of infant children are generally considered to be eligible beneficiaries. The targets for this programme depends on a country by country basis. In certain countries, the target beneficiaries all women in their reproductive age groups, i.e., 15 - 49 years of age, and infants/ new born population. ***Certain government's give eligibility priorities to low-income pregnant individuals to help them get the health and social services they may need and covers a variety of services for pregnant individuals and their infants.
Community Healthcare workers determine eligibility by reviewing all submitted registration details. Once eligibility has been determined, a notification (via sms, email etc) is sent to the beneficiary.
Workflows
Client Case Management for effectively managing all eligible and enrolled beneficiaries in the programme and monitoring the healthcare services being provided to them
Communication to inform target beneficiaries that they meet the eligibility criteria and can start the enrollment process
Data Analysis and Business Intelligence potentially for mapping and analyzing the different beneficiaries - socioeconomic / demographic information
Building Blocks
Enrollment is the action of being enrolled and accepted as a beneficiary to receive certain benefits and/or access to a service provision. In certain countries, once eligibility is confirmed, the target beneficiary is considered as enrolled in the programme. During the enrollment, further data can be collected (depending on programme design) e.g. pregnancy and general health details, phone number, bank account details, biometrics, etc. Moreover, depending on the system setup by country, each beneficiary is then issued an online account and/or unique barcode to keep track/record of each beneficiary participating in the programme and utilizing the primary healthcare services being provided. **All programme specific data is often stored in a tailored software application that supports beneficiary management functions (e.g. enrollment, payments, case management, M&E etc.).
Workflows
Data Collection and Reporting for capturing additional programmatic information on the beneficiaries during enrolment
Financial Services for staging beneficiary account details for enrollment incentive payment processing
Identification and Registration for identifying beneficiaries and confirming enrolment
Client Case Management for storing program specific data for tracking
Building Blocks
Certain mother and child community health programs have a financial incentive in place in order to incentivize eligible beneficiaries to enroll and fully participate in the programme and the pre and post natal health services being provided. Furthermore in some cases, Community Health Workers also receive an incentive distribution for convincing/facilitating the process for expectant mothers to enroll in the programme. In most cases, incentive distributions are paid through mobile G2C or B2C incentive payments. Payments are subsequently paid according to the programme schedule e.g. one time incentive payment.
Workflows
Financial Services for processing incentive payments that are G2C or B2C mobile payments, for withdrawal by beneficiary from designated mobile money/ pay-point(s) thereafter
Client Case Management for identifying and authenticating individual that is making a withdrawal, or to recall / verify deposit account information prior to payment transaction
Building Blocks
As part of this programme, Community Healthcare Workers or healthcare professionals, play a very active and hands-on role in the programme. They are generally the professionals on the ground, reaching out to target beneficiaries and convincing them to enroll in the programme.
This step involves ongoing interaction with beneficiaries via Community Health Workers and local hospitals/clinics/facilities to: ensure information on beneficiaries stays up to date, monitor usage of the primary healthcare services, and address grievances, and general primary care needs. Note that this step also requires clarity, clear decisions, and protocols regarding up-to-date data management and sharing between different health clinics and hospitals that provide pre-and post natal healthcare services.
Workflows
Data Collection and Reporting for capturing changes in beneficiary information
Client Case Management for identifying and recording beneficiary interaction with Community Health Workers, local hospitals/clinics and capturing reported cases on grievances etc., and for determining risks / conditionality by reviewing individual beneficiary client case
Work Planning and Coordination to potentially suggest and connect with other hospitals, clinics and relevant healthcare services to target beneficiaries
Building Blocks
National healthcare managers and officers make decisions and management choices (e.g. where to conduct add-on training on pre-natal and post-natal care, enrollment facilities in clincs/hospitals, or communities, where to prioritize budget, etc.) on up-to-date data on the programme/s (e.g. what primary healthcare services are being provided and by whom, where and when, what areas are performing better, etc). Note that countries that do this effectively ensure programme data is connected / integrated/ uptodate on MCTS and other relevant databases.
Workflows
Client Case Management for ongoing monitoring and tracking of both mother and child's health wellbeing and performance, ensure easy assessment of holistic view and reporting
Identification and Registration (with aid of geographic information services tool for potential use) in tracking / locating clinics and hospitals being used through the programme
Data Analysis and Business Intelligence / Decision Support / Data Collection and Reporting to analyze, update, and report programme output / performance information
Building Block Workflows
Ensuring data is up to date to trigger: Programme exit for those who are no longer eligible e.g. when a beneficiary dies, migrates, child exceeds eligible infant age or no longer qualifies for other reasons. This is achieved via a combination of re-enrollement campaigns anytime a mother is expecting, automated data updates, and data-sharing with other government databases e.g. civil registration for brith and death. Programme entry for newly eligible beneficiaries, via new data collection or analysis etc. Other changes to entitlements (e.g.child no longer considered an infant). Note that this step also requires clarity, clear decisions, and protocols regarding whose data (or subset of such) is to be updated by which programme personnel or role and at what time.
Workflows
Data Collection and Reporting for routine update of information on the beneficiary client base, and integration of other databases and systems for automated data update on client cases overtime
Client Case Management for ongoing review of beneficiary case information
Data Analysis and Business Intelligence / Decision Support to support identification of individuals for exit or entry based on analyzing change in programme-specific / socioeconomic data
Building Block Workflows
Wesley Brown, GovStack Product Owner, Digital Impact Alliance
Steve Conrad, Associate Director of Technology, Digital Impact Alliance
Sarah Farooqi, The Exchange Product Owner, Digital Impact Alliance
Sainabou Jallow, Business Analyst, Digital Impact Alliance
Dr. P. S. Ramkumar, GovStack, International Telecommunication Union (ITU)
Max Carlson, GovStack
Raul Kaidro, GovStack
| ID | EDU-1 |
|---|
The primary objective of the remote learning platform is to deliver engaging and effective educational content to students, facilitate seamless communication between educators and learners, enable interactive assessments, and support continuous learning in a virtual environment.
Remote learning systems can be used to enhance traditional schooling, for vocational training, or for continuous learning and it reduces the need for physical infrastructure, travel, and resource duplication. Learners can access educational content and participate in classes from anywhere, breaking down geographical barriers, and promoting learners of all abilities to participate effectively.
Administrator that manages the remote learning system and can be available for technical difficulties.
Educator that is in charge of course creation, course delivery, and student evaluation.
Learner that is accessing platform for educational content.
Administrator that manages the remote learning system and can be available for technical difficulties.
: Quality Education
Educators register on the platform by providing their credentials, teaching experience, and expertise. Their accounts are verified and approved by administrators. Learners register on the platform by providing basic personal information. User accounts are created, allowing access to course offerings and other platform features.
Workflows
Data Collection and Reporting for capturing details of educators and learners
Identification and Registration for educators and students
Client Case Management for creating user records
Building Blocks
Accounts are verified and approved by administrators, including setting permissions based on the user profile. For example, educators will have access to course creation features and will have grade visibility of all students (if applicable). Learners will have a view that supports their personal learning. Advanced identity verification mechanisms, such as email confirmation or multi-factor authentication can ensure the accuracy of user-provided information and prevent unauthorized access. In some cases verification will also involve checking with learning institution (such as student/faculty ID numbers).
Workflows
Client Case Management for storing and reviewing identification records
Data Analysis and Business Intelligence for cross-referencing and verifying records with email, two-factor authentication, student/faculty records
Building Blocks
In some cases, payment will be required as part of the course, and students and/or educators will have to make the payment after registration. In other cases, payment may be collected as part of a school student and will be external to the learning management system. If payment is required, the platform can facilitate secure online payment options for course enrollment, or the student may be be requested to travel to the nearest designated pay-point and pay in person.
Workflows
Client Case Management for identifying and authenticating individual that is making the payment
Financial Services for processing educator and/or learner payments for accessing the course
Building Blocks
Educators can create courses, upload course materials, including lecture notes, presentations, assignments, and reading materials. These resources are made available to enrolled students. They can also conduct real-time virtual classes using video conferencing tools integrated into the platform.
Workflows
Client Education for tutorials or guides aimed educators that are creating course content
Knowledge Management to manage course materials, lectures, assets, etc
Work planning and Coordination to manage release of learning modules, grades, quizzes, etc
Building Blocks
Learners can access course content when released by instructors, submit assignments, access quizzes, access grades, and use discussion boards interact with peers and educators. Students can also receive notifications when new modules, messages, or grades are received.
Workflows
Client Education for tutorials or guides aimed learners to be able to use platform with ease
Knowledge Management to manage submissions, interactions with educators and peers, etc.
Building Blocks
At the end of the course, the learner will receive proof of evidence of learning, for example: a digital badge, final grade, and/or certificate that shows the course was completed by the student.
Workflows
Identification and registration to link student account with credential/digital badge
Building Blocks
The platform tracks student performance, engagement, and progress throughout the course. Educators and administrators access real-time analytics and reports to monitor learning outcomes. Administrators can also track bug and issues create system updates accordingly.
Workflows
Client Case Management for ongoing monitoring and tracking of how educators and learners are using the platform
Data Analysis and Business Intelligence / Decision Support / Data Collection and Reporting to analyze, update, and report course performance and evaluation
Building Blocks
The system should cater to the archiving/sunsetting of student data, cohort data, and course data, while considering the security of personally identifiable information. In some cases, data should be archived at the end of the course or at the end of student enrollment. In other cases, the system will have a delay function where data will be archived after a pre-determined amount of time. While most data should be archived, analytics and other anonymized data can be retained. Reminder messages may be sent to stakeholders to remind them that their data will be archived/deleted.
Workflows
Content Management for student/educator records
Data Analysis and Business Intelligence to retain necessary analysis on courses, student progress, educator profiles, etc
Knowledge Management for archiving course content and any libraries associated with courses
Building Blocks
Wesley Brown, GovStack Product Owner, Digital Impact Alliance
Steve Conrad, Associate Director of Technology, Digital Impact Alliance
Sarah Farooqi, The Exchange Product Owner, Digital Impact Alliance
Sainabou Jallow, Business Analyst, Digital Impact Alliance
Rachel Lawson, Community Manager - GovStack, Digital Impact Alliance
Margus Mägi, GovStack Project Lead for Estonia
Dr. P. S. Ramkumar, GovStack, International Telecommunication Union (ITU)
Ayush Shukla, Technical Officer, International Telecommunication Union (ITU)
Meelis Zujev, Project Manager, Govstack Sandbox, Gofore
| ID | HLTC-2 |
|---|
Telemedicine (also referred to as telehealth) lets patients visit with a health care provider without an in-person office visit. Instead, patient-provider interaction is conducted over the phone or online through a computer, tablet, or smartphone.
The goal for modern telemedicine is to provide an alternative to in-person visits which helps improve access to health care for distant or rural populations, provides a safe experience without the risk of exposure to communicable diseases, and/or helps patients receive routine, specialty, or emergency care without the need to visit a health center. For healthcare providers telemedicine can save time in under-resourced areas, can extend the geographical reach of individual practitioners, and can meet gaps in a practitioner’s schedule.
Telemedicine is not a substitute for in-person care, but can extend the reach of traditional health systems and can help meet ambitious national health targets.
Local connectivity levels must be considered when designing a telemedicine project since there may be remote communication disadvantages in rural regions to ensure efficient remote consultations. For instance, if the internet connection is poor, software should be able to switch to audio communication using VoIP (Voice over Internet Protocol) or cellular network. If the audiovisual communication is still poor, healthcare practitioners can consult via text messages.
Patients that want to receive accessible health services and care from anywhere, including those in hard-to-reach areas not serviced by hospitals.
Healthcare providers (doctors, nurses, etc.) that want to provide care to patients remotely.
Ministry of health or central government body in charge of national health outcomes that needs to track aggregate indicators of health care access.
Administrators that need to manage payments and/or labs of patients.
In cases where telemedicine is being pursued as a centralized activity to meet national health objectives, the Ministry of Health can work with Mobile Network Operators (MNOs) to map regions and districts which have broadband connectivity. Communications Satellite Networks can also be engaged to provide the required broadband bandwidth for effective delivery of telemedicine services in areas with little or no terrestrial mobile networks. In some cases, agreements between governments and MNOs need to be established in order to enable an accessible system, such as health helplines.
Workflows
Data Collection and Reporting to facilitate the mapping and scoping of connected/under connected areas
Building Blocks
Staff from the Ministry of Health, private telehealth companies, or other intermediary organizes outreach communications to physicians, nurses, and other healthcare providers to sign up as a telehealth practitioner. Similarly, staff from the Ministry of Health, CSOs, or other intermediary organizations launch an information campaign to inform about a telehealth program aimed at potential target population/ beneficiary group and implemented via telehealth company. The campaign is conveyed via mobile messaging and/or aired on national radio/television, while a more capillary village to village campaign is performed by district / local social welfare officers. Outreach communication is intensive during the kick-off phase of the new program, but also requires ongoing touch points and additional information sharing.
Workflows
Client Education for educating potential target beneficiaries around the approach and objective(s), benefit(s), constraint(s), partner(s), etc. of the program
Client Communication to facilitate the spreading of program awareness for target audience and encouraging enrolment via mobile / media channel(s)
Content Management for the backend Social Welfare staff to populate relevant educational and promotional content that local officers can use during on-the-ground outreach campaigns
Identification and Registration (along with GIS) in mapping and locating households and individuals for outreach target
Registration for healthcare workers can occur differently based on whether the telemedicine system is rolled out in a centralized or decentralized manner. In country contexts where a centralized authority (such as the Ministry of Health) is rolling out a telemedicine program (such as a health helpline), healthcare workers can sign up on a central roster.
In decentralized contexts, healthcare workers an sign up through participating hospitals/health care provider networks or directly through a telehealth company.
In this step, all healthcare workers will also provide information on qualifications, certifications and licenses.
Workflows
Data Collecting and Reporting to capture provider’s demographic data, information on specialties, and information on qualifications. In return patients can provide demographic, geographic, and health history data
Identification and Verification for enrolled identified healthcare providers and patients and enabling permissions
Client Case Management for creating patient user records
Registration for patients can vary depending on specific country/district-level contexts. Patients can sign up directly, through their hospital systems, or via representative health workers that can register participating individuals. In the latter case, the healthcare worker can assist individuals to provide demographic, geographic, and health history data into the system.
Workflows
Data Collecting and Reporting to capture provider’s demographic data, information on specialties, and information on qualifications. In return patients can provide demographic, geographic, and health history data
Client Case Management for creating patient user records
Identification and Verification for enrolled identified healthcare providers and patients and enabling permissions
In this step, registration data needs to be verified and validated. Healthcare provider qualifications can be checked via the licensure organization in the country and patient data can be verified with local digital identification or census database.
Workflows
Client case Management used for verifying and validating enrollment of patients and healthcare workers
Data Analysis and Business Intelligence / Data Collection and Reporting for administrators and national workers to monitor and track use and uptake of the system.
Patients, healthcare providers, and administrators need access to telehmedicine system using an application protocol while adhering to stringent privacy protection measures. As the front end to most telemedicine applications, it is critical to maintain available, high-performance web front end systems. When monitoring and troubleshooting issues with telemedicine systems, IT teams need to have visibility across web connections and through firewalls and load balancers.
Workflows
Client Communication to facilitate individual communication between the system and all users (healthcare workers, patients, and administrators)
Appointments can be triggered by patients (such as for a first-time visit) or by health care providers (such as for a follow-up). In either case, health care providers set a schedule of availability for patients selection. Patients can book appointments with health care providers directly or through intermediaries, based on preferences and condition (such as general, emergency, specialty, or nursing care, etc.). The system can also generate auto-notifications for receiving confirmations and/or reminders, and for approving appointments.
Workflows
Client case Management can be either automated or through an intermediary health care worker on the ground that is responsible for coordinating appointments on a centralized system
Work Planning and Coordination so healthcare providers and administrative staff can coordinate the timing/schedules of multiple patients they may be serving
Depending on connectivity and device parameters, there are two main ways that a health care practitioner and patient can conduct the consultation. 1) The consultation can be done through a live phone or video chat using a personal device. In some cases, the consultation can be done using a shared device provided by a health care officer or other intermediary. 2) The consultation can also be done by sending and receiving messages using secure messaging, email, and secure file exchange.
As part of the consultation, the healthcare provider can update the patient record, diagnose the patient, recommend a treatment plan, prescribe medications, request lab work, generate a referral with a specialist, and/or recommend a follow-up.
Workflows
Client Communication for sharing relevant updates, diagnoses, treatment plans, and follow-up with client
Client Case Management for identifying and recording patient interaction with healthcare workers and for determining follow-ups and storing patient history
Data Collection and Reporting for capturing changes in beneficiary information
Work Planning and Coordination for referrals to specialists or connections with other hospitals, clinics, or lab and pharmacy services
Payments can be collected either pre- or post-consultation. In the context where a digital financial service system is not employed, each beneficiary would be requested to pay via mobile money or to travel to the nearest designated pay-point and pay the fees by program-specific authentication. Money is transferred to the selected payment mechanism and is subsequently verified against the provider.
Workflows
Client Case Management for identifying and authenticating individual that is making a payment
Financial Services for processing consultation fees and other fees related to tests, labs, and prescriptions
Depending on the program and on the country’s broader health policies, this step involves ongoing interaction with beneficiaries via healthcare officers to help:
Provide ongoing care and management – In some cases, this can also be done through remote sensors that can send information to healthcare providers on the patient’s health status
Ensure information on patients and health care providers stays up to date
Address complaints, grievances, and appeals
Workflows
Client Case Management for identifying and recording patient interaction with health care providers/worker and capturing reported cases on grievances
Data Collection and Reporting for capturing changes in patient or health care provider information
Work Planning and Coordination to potentially suggest and connect with departments / agencies offering other social benefits and services to eligible patients
Administrators of the telehealth company and/or Ministry of Health analysts conduct ongoing M&E of the programs to understand uptake and benefit of telemedicine services. In addition, they can use analysis to make decisions and management choices, such as general health outcomes of enrolled areas/patients vs. non-enrolled areas/patients, where to conduct trainings, where to prioritize budget, etc.
Workflows
Client Case Management for ongoing monitoring and tracking of patients and health care workers usage and experience
Data Analysis and Business Intelligence/ Decision Support / Data Collection and Reporting - to analyize, update, and report program output/performance information
Wesley Brown, GovStack Product Owner, Digital Impact Alliance
Steve Conrad, Associate Director of Technology, Digital Impact Alliance
Sarah Farooqi, The Exchange Product Owner, Digital Impact Alliance
Sainabou Jallow, Business Analyst, Digital Impact Alliance
Margus Mägi, GovStack Project Lead for Estonia
Dr. P. S. Ramkumar, GovStack, International Telecommunication Union (ITU)
Dr. Sanjay Sood, Project and Associate Director, eSanjeevani (National Telemedicine Service)
Jai Ganesh Udayasankaran, Senior Manager, Healthcare Information Technology and Telehealth Sri Sathya Sai Central Trust, INDIA AeHIN
| ID | URB-1 |
|---|
This use case profiles the implementation process of a construction permit. A service that automates the entire construction permit approval process - from enabling online application submissions of building construction plans, to initiating verification and final approval by the local government authorities. This process is how local governments can decide whether to approve or decline construction permit applications by evaluating submitted building plans, and assessing their compliance with standard building codes and local regulations. A construction permit is an important requirement for countries to ensure buildings and structures are safe, with sound engineering, foundations and construction techniques.
Municipalities and counties/towns have traditionally managed construction permits "over the counter" and through paper or PDF applications. This time-consuming, complex and error-prone tasks has raised issues in some countries - around the accountability and transparency, as well as inefficiencies in achieving timely construction permitting processes, and sustainable urban planning development. As a result, a number of governments in low-and-middle income countries are implementing an online construction permit. A digital service with a hassle-free online procedure and user-friendly tools to achieve a more streamlined end to end approval process that ensures transparency, accountability, and time-bound services.
Ministry or national government body in charge of urban development, housing, and/or town planning.
Local building government authorities - building officials, inspectors and design auditors - across municipalities in charge of reviewing and/or issuing construction permits.
Technical team responsible for the rollout of the construction permit portal/platform initiative in the state - system integrator, building architect, software engineer, QA engineer, help desk staff, DevOps engineer etc.
Citizens and professionals (engineers, architects, construction supervisors) seeking permission to construct, renovate or alter a building.
: Sustainable Cities and Communities
Staff from the Ministry of Urban Planning or another leading agency / organization in charge of regulating all aspects of a country's construction permit issuance processes (building codes and laws), leads the campaign to disseminate information about the construction permit. Roll out of this service can be disseminated on the Ministry's and all the municipalities' websites and social media platforms. Marketing and promotional communication materials (i.e., brochures, pamphlets, flyers etc) can also be made available at the local municipalities/urban planning centers.
To achieve clarity, consistency and transparency on the new online process and requirements for obtaining a construction permit, target communication to the key stakeholders involved (issuing government authorities, citizens, architects, engineers) should be prioritized. The state team can lead rollout plans and ensure the necessary infrastructure for local municipalities staff training and deployment are made available at each building plan department in the country. Moreover, to ensure that implementation of the construction permit approval method is uniform throughout the country and that the rules are not interpreted differently, a user manual on the new construction permit should be provided to each local government building plan staff.
Awareness campaigns can be organized across municipalities informing citizens about the new construction permit application procedure with information on how they can upload their application (building plans and construction documents), pay fees and track their application online, schedule an inspection (if required), and download and print their permit order once issued.
Workflows
Client Communication to facilitate information dissemination on the new digitized construction permit via government and municipalities' building construction permit websites, social media, and national media channel(s)
Content Management for the development of a user manual and training guide on the digitized service for building plan officials and/or users wishing to submit a construction permit application
Data Collection and Reporting for capturing the new construction permit and regulation changes, and to report this data to all relevant stakeholders
e-Marketplace as a web-based application to promote and disseminate information of all government services offered to citizens, and guidance on how to access them
Identification and Registration for providing an administration account for all qualified government building plan staff with authority to issue construction permits
Staff Communication and Education for informing construction permit issuing staff authorities about the construction permit. Organize training sessions for staff on how to review applications, check fee payment status, and process and issue permits - all online
Building Blocks
Registration is the process of collecting information of users wishing to access a digital service. Depending on specific country context and the platform being utilized to host the construction permit, registration process could defer. This service can be hosted using a single window approach to facilitate the end-to-end construction permit application procedure and clearances from multiple agencies or departments.
In certain countries, there is a statewide online construction permit platform in place, and the target users - citizens, architects, engineers etc., are required to register (provide full name, email, phone number, occupation etc.) on the platform in order to generate personalized login credentials. Then subsequently with these login credentials, the user can then create, save and/or submit a construction permit application on the online portal. **If a country already has a national digital registry system in place with a unique identification number for every citizen, then the registration step that allocates a unique username and password to access the permitting platform might not be necessary. In some countries, a citizen can use their national electronic identification data to access all online public services. This system will pull in all applicants' data to facilitate their registration process.
Workflows
Client Case Management to help automate and manage the registration process, and respond to any inquiries or issues around registering on the platform
Data Collection and Reporting for capturing, managing and evaluating registration application data submitted, and in some cases - allocating personalized login credentials per user
Identification to easily be able to identify and track registered users
Building Blocks
A permit application is the process of applying for the issuance of a legal document to conduct a specific activity that requires the approval from a governmental authority. In this use case, a construction permit is an official approval issued by a local government agency that reviews construction permit applications to ensure the building plan complies with local standards for land use, zoning, and construction. Once approval has been received, the applicant can start the construction project.
Depending on the country context, the application process can require applicants to first login to the permitting platform using their unique identification data from the registration step (i.e., username and password or national identification data). Then fill out a standardized online application form, upload the documents required to process the application and asses the building design (i.e., building plan - drawings, specifications, photographs of existing situation, photomontage of proposal, land title, ownership certificate, etc) and pay the application fee that must be submitted with the application. Once their application is submitted, applicants should be able to view and track their application, schedule any follow-up appointments required for document scrutiny and/or site inspection visits by a public official. Emails and SMS notifications can be sent to the applicants to request follow-up action items and provide updates during the application process. ** An application cancellation request could be made available for applicants to cancel their permit request at any stage.
Workflows
Client Case Management to help automate and manage the permit application submission process. Support in vetting applications - ensuring the applicants meet the eligibility requirements and have submitted all required documentations. Also schedule any necessary follow-up site visits by the building plan inspection authority
Data Collection and Reporting for capturing and evaluating permit application data submitted by the user applicant
Financial Services for processing the permit application fee and generating payment confirmation receipt
Identification to easily be able to identify and track registered applicant applying for a construction permit
Building Blocks
Data within the online construction permit is generally checked* by the Central Level Ministry in charge of urban planning and the local permit issuing municipality departments, against other government databases (e.g., ID, tax, land titles, utilities, etc.) in order to fill in any missing gaps, verify and validate collected information, including authentication of all records. Data checking approaches also vary: sometimes batch-sharing via CD, sometimes full interoperability. This step may be done for both the registration (step 2), and application process (step 3) - whereby before any application is reviewed, each applicant's submitted data will be scrutinized and vetted. To address data privacy issues, in some countries, data sharing permission should have already been requested and granted from the applicant, to conduct the data checking process against other government databases.
Workflows
Client Case Management for storing and reviewing registration, and construction permit application records.
Data Analysis and Business Intelligence for cross-referencing and verifying records across multiple registry sources and reconciling gaps / overlaps.
Building Blocks
The construction permit can have APIs in place that can scrutinize submitted construction permit applications to support in the decision-making process. This entails the detailed review of application form data and all uploaded documentations (i.e., building plan design, land ownership, deed etc). Applicants should receive general updates on the status of their application such as a notification when their application is being processed with a tentative decision date, or additional information and documents required.
NOTE: Depending on the country, construction permit approval takes different forms e.g. some countries have a document submission checklist embedded and if one of the required documents is not submitted or the submitted documents are unclear or structural design images blurry, then the application is left as pending and a local building plan officer receives a notification for a more manual review and followup. The applicant will receive a notification (via email, SMS, on the permitting platform) stating what is missing or required. The building plan officer can request the hard copy permit application submissions, when appropriate. The application can then be revised and resubmitted.
In most countries that have implemented the construction permit, a building authority still scrutinizes all applications received and consults with other authorities: i.e., a design auditor may conduct an audit to provide feedback regarding the extent to which the design conforms to planning demands and technical requirements. If opinions from other authorities and design auditors are favorable, and the building authority is satisfied that the building design meets the compliance and technical building plan requirements (fire safety, accessibility, space standards etc), then a construction permit is granted. If the building design and construction documents do not meet the compliance and technical building plan requirements, the applicant will be issued a notice stating why their construction project does not comply. These applicants could be asked to submit further information or a revised application meeting the compliance requirements, in order for their application to be reconsidered. **All submitted applications should be archived to ensure a secure longterm storage of this data.
Workflows
Client Case Management for reviewing submitted applications and communicating any application status updates or additional information needed to the applicant
Data Analysis and Business Intelligence / Decision Support for approving or rejecting applications - based on compliance with building regulations, submission of required documents, and existing criteria (e.g. via checklist, or category-based)
Building Blocks
Multiple fee types can be required in the construction permit approval process (e.g., filing fee, permit fee, surcharge fee, fixed fee per building use etc). A document can be made available summarizing the construction permit fees and calculation method.
If an electronic payment process is enabled, then applicants can pay these fees via a digital financial service embedded in the platform. In certain countries, these fees are calculated based on the size, type and valuation of construction. Following the submission of their online permit application, the applicant can be taken to a payment portal with information on the calculation of their permit fee which is payable online i.e., via a third-party integration (NOC, Payment gateway, Digital signature) or local government online payment system. The applicant must pay all outstanding fees for their permit to be issued. Once the payment is processed, a payment confirmation screen is displayed. Applicants should also receive (i.e., via email, mobile etc) a standard payment receipt.
Workflows
Client Case Management for calculating fees, and monitoring/verifying that all required payment transactions, per applicant, has been fully processed and received. Also ensuring that applicants receive payment confirmation and receipt
Content Management for the development of documentation summarizing construction permit fees and calculation method
Financial Services for processing all fees associated with the construction permit approval process and generating payment confirmation receipts
Building Blocks
Permit issuing generally takes place once the submitted construction permit application has been reviewed and approved, and in some country cases - an extra step includes conducting an in-person building site inspection prior to permit issuance. Examples of construction permit standards that must be met could include structural safety, fire safety, the control of toxic substances, ventilation, sanitation, fall-protection and general safety measures that will be implemented during the design, installation and inspection of building construction works.
Once the building authority also ensures that all outstanding fees have been paid by the applicant, a notification is sent to the applicant informing them that their construction permit has been granted and issued. The permit can be allocated in different forms – a digital format that is downloadable via the permitting platform and/or issuance of a physical permit document with an official stamp. Permit issuance is communicated to different parties - informing relevant individuals/stakeholders of the issuance. A digital security label could be embedded in all government issues construction permits and an online system utilized to validate the authenticity of all permits during any building construction processes.
*** In certain countries, following permit issuance, construction work can start right away. However, a construction permit can expire if construction work is not started within a certain period or is not completed within a certain time from the date the permit was granted. An application to extend the period to start or to complete the construction work can be submitted to the building authority. Beyond a certain limit, a new construction permit must be applied for.
Workflows
Client Case Management to check that the applicant has paid all outstanding fees. To communicate approval decision to the applicant and coordinate permit pickup should allocation of a physical copy be a requirement
Data Collection and Reporting for capturing and tracking all approved permit issuances and permit holders and informing all relevant authorities of approval decision
Building Blocks
This step involves ensuring that there is a virtual help desk and/or physical support centers in place to address any queries pertaining to registration on the platform and the construction permit approval decision. Incorporating a complaint management software will efficiently and transparently ensure that all grievances, complaints and appeals raised by the applicants, are tracked and addressed. In certain countries, this process is led by the construction permit help desk support unit at the state level, to address problem diagnosis needs pertaining to the platform. The local building officials can also be trained to address any queries that cannot be addressed through an automated process.
Workflows
Client Case Management for identifying and capturing reported cases on grievances / appeals etc., and for determining decisions/actions to proceed with by reviewing individual applicant's client case
Data Collection and Reporting for capturing reoccurring complaints, queries and feedback received from the construction permit service users and permit holders. And integration of other databases and systems for automated data update on client cases overtime
Building Blocks
Monitoring and evaluation is crucial to ensure transparency, accountability and quality public service delivery. To facilitate this process, the government authority leading the implementation of the construction permit can allocate a coordination team (i.e., inspection unit) in charge of ensuring construction work is carried out in compliance with the approved building plans, the construction permit and building regulations. This team could have in place a system with key stages to inspect all construction works or carry out random site inspections to supervise construction works. The inspector authority can provide a report for each examination - available in a digital format and accessible via the permitting platform. If construction works take place without a construction permit or do not comply with the approved design, they can be suspended until the relevant local authority takes a decision regarding demolition or continuation. A fine may also be charged.
In certain countries, once the construction work has been completed, the building authorities are to be notified. Several documents may be required to demonstrate completion, such as, the building design with the actual works carried out, reports of site inspections etc. In addition, submission of an attestation stating that the construction work has been carried out in accordance with the approved design and if any changes were made, that they comply with the building regulatory requirements. In other country cases, a final site inspection is required - the purpose is to verify whether construction works actually carried out comply with the building regulations and the approved building design.
Workflows
Client Case Management for monitoring building construction compliance by all permit holders. Also scheduling all site inspection visits, tracking site inspection reports, and communicating with permit holders
Financial Services for processing fine payments of construction works not complying with the approved building design
Building Blocks
Dominika Bieńkowska, IT Project Manager, SolDevelo
Wesley Brown, GovStack Product Owner, Digital Impact Alliance
Steve Conrad, Associate Director of Technology, Digital Impact Alliance
Hani Eskandar, Head of Digital Service Division, International Telecommunication Union (ITU)
Sarah Farooqi, The Exchange Product Owner, Digital Impact Alliance
Ibrahim Habib, Director, Djibouti Ministry of Housing, Urbanism and Environment
Abdallah Ibrahim, Secretary General, Djibouti Ministry of digital economy & Innovation
Sainabou Jallow, Business Analyst, Digital Impact Alliance
Concorde Kananura, GovStack Regional Coordinator, Africa, International Telecommunication Union (ITU)
Mohamad Kaourah, Deputy Director, Djibouti Ministry of Housing, Urbanism and Environment
Arnold Kibuuka, Project Officer, International Telecommunication Union (ITU)
Nico Lück, GovStack Advisor, GIZ
Margus Mägi, GovStack Project Lead for Estonia, Government of Estonia
Yolanda Martínez, Overall Lead for GovStack, International Telecommunication Union (ITU)
Stephen Oyala Odhiambo, Digital Government Advisor, GIZ
Farina Carolina Owusu, Junior Advisor Global Program Digital Transformation with GovStack, GIZ
Hossam Ragheb, GovStack Regional Coordinator, International Telecommunication Union (ITU)
Dr. P. S. Ramkumar, GovStack, International Telecommunication Union (ITU)
Christin Schulz, Governance Advisor and Component Leader, GIZ
Pia Seiffarth, Junior Advisor Global Program Digital Transformation, GIZ
Ayush Shukla, Technical Officer, International Telecommunication Union (ITU)
Siri Nanz Snow, Country Engagement Lead for the GovStack Initiative, GIZ
Valeria Tafoya, Technology Consultant, International Telecommunication Union (ITU)
Meelis Zujev, Project Manager, Govstack Sandbox, Gofore
Raul Kaidro, GovStack
| ID | ENV-1 |
|---|
This use case provides step by step guidelines on how to implement the Extended Producer Responsibility (EPR) system of waste from electrical and electronic equipments (also known as e-waste). EPR is an environmental policy approach that regulates a producer’s responsibility for a product throughout the product’s life cycle. Improper disposal of e-waste poses numerous threats to the environment, economy, and health and well-being of citizens. Under the EPR approach, a producer takes the responsibility for financing collection, recycling and end-of-life disposal of e-waste equipment/product streams - batteries, small consumer electronics, accumulators, packaging and other EPR product categories - in order to mitigate the environmental impacts of their products throughout the entire product life cycle. It thereby aims to increase the separate collection of end-of-life products and to enable their more circular treatment.
Implementing EPR can create various environmental, economical and social benefits. Example of EPR benefits include - improved waste collection and treatment, higher rates of waste reuse and recycling, incentivizing greener products, helping to finance waste collection and processing, and generally promoting a sustainable management of waste and circular economy. Governments in low- and middle-income countries are increasingly interested in implementing an EPR system in various forms through a system where they: define the products covered, the producers affected, the obligations imposed on producers - targets and fees, disseminate information on EPR and e-waste to stakeholders and citizens, and have a process to ensure effective monitoring and enforcement of the EPR.
Ministry of Environment or any Ministerial body in charge of environmental, recycling, waste, ICT and/or circular economy related regulations and policies.
Inspectorate, Competition and Consumer Protection Authority or any governmental body that ensures the protection and promotion of basic consumer rights as well as safeguarding healthy competition among enterprises.
Utilities Regulatory Authority or any governmental body with the mandate to license, monitor and enforce license obligations in the ICT sector.
Revenues Authority or any government revenue collection agency in charge with enforcing, assessing, collecting, and accounting for the various taxes imposed in a country.
Producers/business operators that manufacture, import, distribute, resell and/or assemble electrical and electronic equipments (e-waste products).
: Sustainable Cities and Communities
: Responsible Consumption and Production
The Ministry of Environment or relevant Ministry, should coordinate with relevant authorities i.e. the Inspectorate, Competition and Consumer Protection Authority, Utilities Regulatory Authority, the Revenues Authority etc., to develop and establish a legal EPR Framework and Implementation Plan that outlines the responsibilities and role of all relevant authorities. The EPR framework should include key clauses on scope of obligated products, stakeholder roles and responsibilities, financing mechanism, targets, penalties, authorization procedure, reporting, monitoring and enforcement mechanisms. To formulate this document, the Ministry can map policies and learnings from other countries, evaluate e-waste quantities and flows within their country, analyze waste management infrastructure and skills, as well as existing policies and legislation at national and sub-national level.
As a next step, the draft Framework can be shared with a core group of diverse stakeholders including other government authorities, civil society actors, and private sector actors that are electrical and electronic equipment producers (importers, distributors, manufacturers and resellers) - to review and comment on the draft document via workshop format sessions. A co-creation session with this group around the registration and EPR fee payment procedure would be very useful to acquire input from producers, and promote a user-friendly EPR designed process.
Once the EPR regulations and processes have been finalized, information on the EPR scheme can be disseminated via - media campaigns facilitated by relevant government authorities, and through local private sector federations/associations.
Workflows
Client education for educating and/or informing producers (e.g. an importer, manufacturer, distributor or reseller) on the EPR legal framework, requirements, fee as well as sustainable e-waste management and collection systems they are recommended to implement.
Client communication to facilitate information dissemination of the EPR Framework and electrical and electronic product license and registration process via government and business registration and licensing websites, mobile / media channel(s)
Country wide campaign to increase awareness amongst local population about how and where to drop off old electrical and electronic equipment and the status of e-waste collection and management in the country.
Identification and Registration where target producers register with the relevant Regulatory Authority of the EPR system, apply for operational licensing and register the electricals and electronics they intend to introduce (new or used) into the market. Producers are then allocated a certificate of approval with an EPR registration certificate and operational license number for identification purposes.
Content management for the backend EPR Regulatory and Revenue Authorities to populate, track and monitor e-waster producers (electronic manufactures, e-waste importers, e-waste management and recycling companies), and their registered products.
Building Blocks
Producer registration is the process of collecting information of a new business - i.e., a business' name, purpose, tax data, etc – required by the chamber of commerce and/or relevant government authority as part of the business registration process. In this use case, producers (e.g. an importer, manufacturer, distributor or reseller) of electrical and electronic equipment have to register with the relevant Inspectorate, Competition and Consumer Protection Authority, as a business entity planning to operate in the electrical and electronics sector. A certificate of domestic company registration will be provided to the producer following their provision of the required registration information. The business registration certificate is a prerequisite in order for the producer to then apply for the operational license required to put electrical or electronic equipments on the market.
Workflows
Data Collection and Reporting for capturing the business registration information of producers wishing to operate in the electronics and electrical sector.
Identification and Registration for locating, authenticating and tracking business operators registered in the EPR system.
Client Case Management for automating the process in creating, collecting and organizing the registered producers' records in one place. This will allow the convenient access and a comprehensive view of each registered producer in order to initiate and manage compliance. Moreover, support improved and timely registration services, and back office efficiencies.
Building Blocks
Licensing is the process to acquire authorization from a government agency to operate in a sector that has specific requirements that need to be met. In this use case, licensing is fee-based and is the process for business operators, manufacturers, importers, distributors or assemblers of e-waste products, to apply for operational permission to introduce e-waste products into the local market. The local government's Regulatory Authority makes the decision on whether or not to issue an EPR license. This license is required for all producers to acquire prior to registering the specific type of e-waste product(s) they plan to introduce into the market. Licensing application to include i.e. licensing application fee payment receipt, completed application form, certificate of domestic company registration, environmental impact assessment, audit certificates etc). Certain countries also require site visits of a producers warehouse/factory prior to approving the issuance of a license.
Workflows
Data Collection and Reporting for capturing and evaluating licensing application data submitted by producers of e-waste products.
Identification to easily be able to identify and track registered business operators applying for a license within the EPR system.
Client Case Management to help automate and manage the licensing application and approval process, schedule site visit appointments of e-waste factories/warehouses, and distinguish between new and renewal licensing applications. Moreover, support in vetting/ensuring the applicants meet the eligibility requirements, and have submitted all required documentations.
Client Communication to update producers on additional documentations required and/or application status updates/outcome.
Financial Services for facilitating one off licensing application fee payment by the producer and allocation of a fee payment receipt.
Building Blocks
Registration is the process of documenting and maintaining records of registered electrical and electronic products (new or used) being manufactured, distributed, imported and sold on the market. All licensed producers will be required to register the respective type of e-waste goods they wish to introduce to the market - in order to obtain a registration number/code for each type of product. As part of the product registration process: producers submit a completed product registration application form with agreement to comply to the EPR, the product user manual, installation manual, and document indicating product life span. The producer completes this registration process by paying the product registration application fee and receiving a receipt confirming payment. Some producers may be requested to submit a product sample. Based on whether a producer imports their e-waste products, additional data might be requested (i.e. import permit, product country of origin etc). Once all requirements are met, the producer receives a registration number/product code.
Workflows
Data Collection and Reporting for capturing the registration data of e-waste product(s) that will be on the market.
Identification and Registration for locating and tracking e-waste products being introduced into the market in all phases of their life cycle.
Client Case Management for automating the process in creating, collecting and organizing the registered e-waste products' records in place. This will allow the convenient access and a comprehensive view of each type/category of registered e-waste products in order to calculate EPR fees and manage compliance.
Financial Services for facilitating one-off product registration application fee payment by the producer and allocation of a fee payment receipt.
Building Blocks
Data verification and validation should be coordinated with all relevant governement authorities and regulatory bodies. For the EPR system, in certain countries, the registration data collated of the e-waste producer and their products by the respective business registration and licensing authorities, is then generally checked by the Ministry of Environment, and against other government databases (eg. ID, tax, chamber of commerce, etc.) in order to fill in any missing gaps, verify and validate collected information, including authentication of all records. *Data checking approaches also vary: sometimes batch-sharing via CD, sometimes full interoperability.
Workflows
Client Case Management for storing and reviewing identification, registration, and licensing records.
Data Analysis and Business Intelligence for cross-referencing and verifying records across multiple registry sources, and reconciling gaps / overlaps.
Building Blocks
For this use case there are three specific payments: (1) producer licensing fee, (2) product registration fee, and (3) EPR fee.
The producer licensing fee and the product registration fee are to be paid as part of each application process/phase, to the respective government agency in charge of allocating EPR licensing and EPR products registration. A payment receipt is to be provided to each producer for each payment made.
The concept of the EPR policy scheme is that an EPR fee is to be paid for each type of electrical and electronic equipments introduced into the market every year. The fee will be used at the end of the product lifecycle to cover the collection, treatment, recycling and awareness raising when it becomes e-waste. The EPR regulatory framework must clearly spell out which entity will collect the EPR fee, how much the fee is, what the methodology is being used to determine the fee, and how payment should be processed. For instance with e-waste products being imported, the EPR fee can be collected at the point/port of entry by Customs Revenue Authority or the Utilities Regulatory Authority. The EPR fee can be collected with the import tax fee etc. To facilitate this, producers could be required to declare cargo (online: e-single window) and make the payment through an online portal.
The fee to be paid could be proportional to the amount of electrical and electronic equipment introduced into the market. Below are examples of methods that can be used to arrive at the fee:
Product EPR fee paid by the producer = Total costs for waste stream divided by/ Mass of product type put on the market.
Market share calculation for a producer:
Market share = The weight of products put on the market by an individual producer per product type divided by/ The total weight of products put on the market by all producers for that specific product type
Obligation calculation for a producer:
Obligation for a producer = Total reported tonnage by product type multiplied by* Individual producer's market share
Total costs per e-waste product stream:
Total costs = Overhead costs per product type multiplied by* % Market share + Operational costs (per tonne) multiplied by* Tonnes collected
Product EPR fee paid by the producer = An EPR cost is calculated and associated for every possible type of e-waste product. Thus, the EPR fee a producer has to pay is the quantity of a product they plan to introduce into the market multiplied by the EPR cost associated with the product type.
Workflows
Financial Services for processing EPR fee payments by producers.
Client Case Management for identifying, authenticating and monitoring/verifying that the e-waste producers have made the EPR payment and the transaction has been fully processed and received.
Building Blocks
This step involves ensuring information of e-waste producers are kept up to date - specifically relating to registration and licensing. Also ensuring that there is a process in place to address any complaints, grievances and appeals raised by the producers. This process should be led by the government authority's EPR compliance officers/team.
Workflows
Data Collection and Reporting for capturing changes in producer's information (e-waste products, licensing etc).
Client Case Management for identifying and recording producer interaction with EPR compliance officers and capturing reported cases on grievances / appeals etc., and for determining decisions/actions to proceed with by reviewing individual producer client case.
Building Blocks
The government authority leading the EPR implementation should also allocate a team in charge of regulating EPR compliance and enforcing penalties. A monitoring team consistently tracking all e-waste operators active in the market, registered with a license within the EPR system and payments of the EPR fee. A live database should be put in place to categorize and track e-waste products in the market and EPR fee payments from the producers. Late payments can be tracked and an automated system put in place to send out late fee penalties to the producers.
Workflows
Financial Services for processing late EPR fee payments by producers.
Client Case Management for identifying, authenticating and monitoring/verifying that the e-waste producers have made the EPR fee payment and the transaction has been fully processed and received.
Building Blocks
Garam Bel, Circular Economy Coordinator, International Telecommunication Union (ITU)
Wesley Brown, GovStack Product Owner, Digital Impact Alliance
Taylor Downs, CEO and Founder, Open Function
Jaume Dubois, Digital ID Lead, GovStack
Longin Dusengeyezu, Database and Applications Lead, Rwanda Institute for Conservation Agriculture (RICA)
Theophile Dusengimana, Environment and Climate Change Policy Specialist, Rwanda Ministry of Environment
Hani Eskandar, Head of Digital Services, International Telecommunication Union (ITU)
Sarah Farooqi, The Exchange Product Owner, Digital Impact Alliance
Sainabou Jallow, Business Analyst, Digital Impact Alliance
Concord Kananura, GovStack Africa Regional Coordinator, International Telecommunication Union (ITU)
Dismas Karuranga, Pollution Control Specialist, Rwanda Ministry of Environment
Nico Lück, GovStack Advisor, GIZ
Margus Mägi, GovStack Project Lead for Estonia, Governement of Estonia
Yolanda Martínez, Overall Lead for GovStack, International Telecommunication Union (ITU)
Antoinette Mbabazi, Head of Registration& Licensing Department, Rwanda Institute for Conservation Agriculture (RICA)
Olivier Mbera, Country Manager, Enviroserve Rwanda
Robert Mugisha, Director of Registration& Licensing Unit, Rwanda Institute for Conservation Agriculture (RICA)
Eric Murera, Environment Expert, Private Sector Federation (PSF) Rwanda
Dr. P. S. Ramkumar, GovStack, International Telecommunication Union (ITU)
Ayush Shukla, Technical Officer, International Telecommunication Union (ITU)
Patrick Umuhoza, Multilateral Cooperation Officer, Rwanda Environment Management Authority
Olivier Urukundo, Engineering Risk Analysis Specialist, Rwanda Institute for Conservation Agriculture (RICA)
Eng. Gaston Uwayo, TMEA ICT Technical Assistant, Rwanda Standards Board
Damascene Uwizeyemungu, IT Officer, Rwanda Utilities Regulatory Agency
Meelis Zujev, Project Manager, Govstack Sandbox, Gofore
Within the core GovStack Initiative, "reference use cases" are used to provide context and limit scope of the various GovStack Building Blocks. These use cases are considered to be part of GovStack and are versioned and released alongside the Building Block Specifications when a given GovStack release occurs.
Work on use cases is organized by the and is tracked by the on the GovStack Jira instance.
| ID | CLMT-1 |
|---|
This use case profiles the implementation process of a disaster management system. With the increasing frequency and severity of disasters (both natural and human-made hazards), the international community and country-level disaster management authorities are prioritizing ways to mitigate, prepare for, respond to, and recover from disasters. This process tends to involve a multiplicity of diverse stakeholders (public, private, non-profit organizations) - to respond to disasters and protect people, property, and places.
Thus, implementing a harmonized approach to disaster management requires systematic and clear coordination mechanisms on disaster preparedness within government authorities across sectors, at all levels, between levels, as well as with disaster relief organizations. This process entails how to coordinate once a disaster occurs, to setting up a rapid response disaster relief, delivering information on disaster management activities to the public, and implementing rehabilitation and reconstruction support. Certain countries and organizations are increasingly incorporating the use of digital tools in their disaster management systems to enhance their capabilities for preparedness, detection, mitigation, and response to various types of disasters.
Ministry of Interior, Ministry of Home Affairs, National Crisis center, and/or national government body responsible for dealing with crises and disasters.
Regional, district and/or provincial level authorities responsible for disaster response in their federal state/municipality.
National and international organizations/ disaster relief agencies.
Disaster managers and case managers working at emergency operation centers, logistic and equipment depots, and/or disaster management organizations.
National or regional weather service.
Affected communities and general local population in the vicinity.
The Ministry of Interior and/or national government body in charge of nationwide disaster-related activities leads the disaster management coordination efforts. Staff from this government body is tasked with producing a unified legal policy framework, comprehensive disaster preparedness framework and guidelines to determine the declaration of a disaster and the operational direction of response at municipal, district, and federal state level. There needs to be clearly defined roles and responsibilities from central and local governments up to village levels, including the role of community, private sectors, and international partners in disaster management. A collaborative process to define roles and responsibilities is recommended to ensure buy-in and ownership by all relevant parties. All this information can be made available on a dashboard to ensure transparency and accessible of this information via different channels on all governmental levels.
In certain countries, disaster management is a task which is shared between all levels of government - national and subnational authorities (federal, district and/or provincial level authorities). Whereas in other countries, voluntary response organizations and international disaster relief organizations (i.e., Red Cross etc.) lead all disaster relief assistance and public service provisions in the event of a disaster.
Workflows
Client Communication to raise awareness amongst citizens and disseminate information of national and regional disaster management system via all relevant government bodies and disaster relief organizations' websites, mobile / social media channel(s)
Content Management for the collaborative development of agreed regulations and guidelines on harmonized coordination and implementation of disaster management - from policy to implementation
Data Collection and Reporting to ensure that all involved stakeholders are appropriately mapped and aware of their roles and responsibilities
Work Planning and Coordination for liaising with all government authorities and disaster relief organizations on new harmonized disaster management system and methods to effectively communicate and coordinate
Building Blocks
Risk management planning is crucial to achieve disaster risk reduction, mitigation, prevention, and preparednes. This process can help countries set up emergency response and evacuation plans. Risk assessments should be carried out at all governmental levels, documenting disaster risk scenarios (man-made and natural hazards - floods, droughts, landslides, avalanche etc.), and their probability of occurrence - based on disaster history in the country or the region. Unpredictable climate and climate change related disasters should be considered in the risk assessment.
The purpose of this step is to map the identified disaster scenarios/risks and develop precautionary measures of how to mitigate the consequences for each specific disaster. A strong system of structural and non-structural protection methods should be outlined against each identified disaster. Satellites and information portals for specific natural hazards and other risks can be set up to monitor their early warning signs/ elements. Risk monitoring operational lines should be established at the levels of the municipality, district, and federal state. Authorities can install a national warning system through an alarm that can be triggered nationwide or regionally. i.e., sirens that will warn the population in an emergency. *In countries where disaster management are decentralized, appropriate risk management planning can be drawn up at the level of municipalities, districts, and federal states.
Workflows
Client Communication to provide comprehensive information about disaster risks for the public via the internet, information portals and/or through various local channels and regional media. With information about self-protection and adequate behavior in emergency situations
Data Collection and Reporting for capturing, managing, and evaluating identified disaster risks, their likelihood of occurring, and comprehensive mitigation and/or protection methods
Building Blocks
Early warning systems detect and inform signs before a disaster occurs. As part of their early warning systems, government authorities can set up several surveillance systems to monitor the environment and trigger an alert to the relevant authorities when defined thresholds are exceeded. For example, the use of satellites to map and monitor areas that are likely be affected by natural disasters. On the main rivers, there could be fully automatic flood warning and control systems managed by the hydrological services of the provincial governments.
As it is instrumental for people to know what to do during a crisis or disaster, the authorities can use national and regional government websites, radio stations etc., as an information channel during a disaster or crisis. It can contain information on the incident and on ways for people to reach safety. For people in the immediate vicinity of a disaster (or impending emergency), the authorities can provide warning information in the form of a direct 'Alert'. This could be via a mobile app or a text message that people receive on their mobile phones. In some countries, the National Weather Service operates a warning system for extreme weather conditions, which can be used to warn the authorities and response organizations. Weather warnings can also be disseminated to the local population via a mobile app.
Workflows
Client Case Management for population to be able to report disasters, and receive followup correspondences
Client Communication to disseminate unified disaster information broadcasting through different media platforms including social media, media channel(s), and SMS blasts
Data Collection and Reporting for monitoring, capturing, and evaluating disaster warning information and triggers
Identification to easily be able to identify and track people living in the vicinity where impending emergency is expected to occur
Building Blocks
Disaster response encompasses all measures from the official declaration of a disaster until its end. This refers to all measures taken by authorities, response organizations, enterprises, individuals and affected parties to mitigate the consequences of an emergency or disaster. In the aftermath of a disaster, it is crucial to put in place a rapid response and assistance delivery system. Based on the location, type and scope of the disaster, stakeholders involved in the disaster response process can include various ministries, agencies, civil society organizations, international disaster relief organizations, the fire service, the police, and the medical services to provide rapid assistance and to keep situations from getting worse.
Depending on the location(s) of the disaster, effective cooperation between emergency services and municipalities in the region is crucial. Some countries have a stand-by force for emergency management made up of a combined civil-military forces from various relevant line ministries/agencies. This national stand-by force coordinates very closely with the local authorities in the district/municipalities the disaster occurs in. Their role is to be ready to assist the disaster-affected municipality in undertaking emergency activities in its area in a timely and integrated manner.
Workflows
Client Case Management for disaster support authorities to rescue victims, provide basic services, and respond to all inquiries and support required to help affected population to start early recovery measures
Communication to facilitate collaboration and communication between authorities, response organizations and affected parties prior to and following the occurence of the disaster
Data Collection and Reporting for capturing information on the initial event (type of disaster, when, where number of victims, cause, and capacity)
Financial Services for providing cash transfers and assistance to support affected population
Identification to easily be able to identify and track affected disaster locations and affected households
Building Blocks
Community engagement is a critical component of emergency management and disaster resilience. It is the process of building the resilience of communities to play an active role before, during and after a disaster occurs. Especially in disaster prone areas, local volunteers can respond quicker and provide aid due to their close proximity - assisting their fellow community members directly impacted by the disaster - disseminating real time information, evacuation coordination support, emergency first aid etc. Thus, this step recommends for government authorities to coordinate closely with local community groups in the disaster management process.
Workflows
Coordination for liaising with local emergency agencies and their workers involved in supporting disaster relief
Data Collection and Reporting for collecting real time data and disseminating with relevant parties
Building Blocks
Since most municipalities are too small to handle major hazards, and certain countries might not have the resources to handle all disasters, international cooperation with disaster relief organizations is the norm. The Ministry of the Interior and/or Ministry of Foreign Affairs coordinates support request from international disaster relief organizations. Coordination between national and international emergency agencies and their workers is crucial for any disaster response effort to run smoothly and enable a quicker and better response in crises. Certain countries have digital systems and platforms in place to facilitate asynchronous coordination and communication with international actors on registering the affected population, evacuating people, providing medical assistance, first aid, food, and temporary shelter.
Workflows
Coordination for liaising with all emergency agencies and their workers involved in supporting disaster relief. Onboarding their usage of a platform or system to communicate with each other, provide updates and flag support needs
Building Blocks
Depending on the country context and the systems used in a country's disaster management system, case management is crucial in the disaster recovery phase. Thus, in certain countries, each municipality has a unit in place with case managers to support case management services during disaster relief efforts. For instance, case managers supporting affected population to have access to public services - housing, medical needs, food etc. These case managers respond, track and monitor urgent support requests from citizens, displaced people etc. Depending on the resources available, certain countries follow a “one-to-one” approach - assigning one case manager per household affected by the disaster.
Workflows
Client Case Management - for identifying and recording affected households’ interaction with case managers and capturing reported cases on grievances
Data Collection and Reporting - for capturing information of affected households and any changes regarding their assistance needs
Work Planning and Coordination - to potentially suggest and connect with departments / agencies offering other social benefits and services to affected households
Building Blocks
Monitoring insights are essential to facilitate learning and continuous improvements. Ongoing monitoring and evaluation entails tracking performance of a service all throughout its implementation cycle. All remote sensing and geodata collected and monitored can be assesed to identify ways to improve support during a national disaster situation. A process should be in place to implement learnings as quickly as possible, and method to collect, asses and incorporate feedback from all stakeholders. I.e., this could mean having a system in place that learns and improves its algorithms for subsequent climate events.
Workflows
Client Case Management for ongoing monitoring and tracking of support services provided to affected population
Data Analysis and Business Intelligence / Decision Support / Data Collection and Reporting to analyze, update, and evaluate disaster response performances
Data Collection and Reporting - for capturing feedback received, and data collected
Building Blocks
Wesley Brown, GovStack Product Owner, Digital Impact Alliance
Sarah Farooqi, The Exchange Product Owner, Digital Impact Alliance
Sainabou Jallow, Business Analyst, Digital Impact Alliance
Nico Lück, GovStack Advisor, GIZ
Ayush Shukla, Technical Officer, International Telecommunication Union (ITU)
Meelis Zujev, Project Manager, Govstack Sandbox, Gofore
| ID | HLTC-4 |
|---|
This use case profiles digitalizing pandemic response operations and management systems in a country to ensure effective control of the pandemic. Accurate and real-time data is central to any pandemic response. Having a digitized pandemic response system could entail utilizing robust data science, interactive dashboards, and analytics tools to better understand pandemic impact across the country - where cases are concentrated, coordinate and track treatments and implement preventative measures in communities. This can support emergency operation centers and other coordination response efforts to make quick and informed decisions during disease outbreaks or pandemics.
Digitalizing pandemic response can facilitate rapid information sharing of accurate data (number of cases, deaths, geolocation, testing and vaccinations, among others) to assist with outbreak response and public health decision making. Governments are increasingly digitizing this process to inform their pandemic response action effectively and efficiently. This promotes a streamlined process for the coordination of disease control measures such as testing, vaccination and lockdown, as well as for the support to frontline health workers and public health responders in their pandemic response efforts.
Ministry or national government body in charge of disease surveillance and epidemic/pandemic response.
Health professionals - general practitioners, public health responders, frontline health workers, health system managers, emergency operation officers, surveillance officers etc,.
Population at exposed to epidemics and pandemics.
: Good Health and Well-Being
The government body in charge of Public Health and emergency operation response efforts, should agree on streamlined decision making and coordination processes pertaining to pandemic preparedness and response. Governments should assess and evaluate gaps in the health system, ensure they have up to date map of regions and districts - for mapping locations of clusters in a country to guide emergency response efforts, and decide where to prioritize monitoring and other systems that are essential during a disease outbreak. As a next step, they can identify the most strategic opportunities to adapt digital tools at different phases of a pandemic to monitor, detect and manage spread of disease as well as screen and track suspected infected persons. The output can be manuals and/or e-learning courses which give response staff guidance.
Once a disease outbreak has been declared in a country, i.e., the emergency operation centers can then rapidly leverage the digital tools to acquire real time data on situation on the ground, put in place adequate disease control measures and share accurate information/messaging with the population.
Workflows
Content Management for the development of manuals and/or e-learning courses which give response staff guidance
Data Analysis and Business Intelligence for analyzing data to make informed decisions on how to respond to pandemic and aid population. Data from screening tools can also be assessed and used to inform national decisions that may restrict travel from certain countries or regions
Data Collection and Reporting for collecting data on epidemics and pandemics, and to report this data to all relevant stakeholders
Building Blocks
Staff from the Ministry of Health and/or public health agencies responsible for surveillance and epidemic/pandemic management organizes outreach communications and trainings for frontline healthcare workers and emergency operations response teams - about a new digitized and streamlined process of responding to epidemics and pandemics. The staff are then trained on digital tools and standards to gather/input real-time data during pandemic responses.
Communication outreach should be facilitated often to improve public awareness of facts and best practices for disease prevention and encourage treatment-seeking behaviors. Subsequently, once a disease outbreak occurs, staff from the Ministry of Public Health and the frontline healthcare workers can launch an information campaign to: inform population about the outbreak, counter/address misinformation, advise on disease control measures to control the outbreak, explain what to do in case symptoms appear, and locations of testing and treatment facilities. The campaign is conveyed using all available communication outlets - via television/radio, official government websites, mobile messaging and in person at local healthcare facilities and hospitals.
Workflows
Client Communication to facilitate real-time and accurate information on epidemic/pandemic, preventative measures, self-reporting mechanisms and treatments. SMS and other digital tools can be used to share information with the community about a potential outbreak of a new disease or renewed outbreak of a disease already well known to a community
Client Education for educating population about the epidemic/pandemic, safety measures and available support
Identification and Registration (along with GIS) in mapping and locating households and individuals in affected region/area
Building Blocks
In this use case, enrollment is the process of collecting and documenting data of infected and exposed persons during a disease outbreak. Citizens can be provided with means to electronically self-report exposure to the disease. Data can then be collected to facilitate testing, track/map exposure location, designate treatment and to easily be able to follow-up and track infected/exposed persons in the health system. Exposed and infected pesons' can register by contacting their local emergency operation center or via representative frontline health workers that can register affected individuals and schedule testing. *** These individuals can also opt to receive automated contact notification and follow-ups.
Workflows
Client Case Management for creating user records - managing clients who are suspected and/or infected. Also, to appropriately document health visits, follow-up needs, and treatment protocols
Data Collecting and Reporting for capturing infected persons health related data, collect information on others they could have passed the disease to, monitor all testing and clinical interactions across facilities
Identification and Verification for enrolled person and enabling permissions
Building Blocks
In this step, registration data needs to be verified and validated. The person's data can be verified with local digital identification or census database. **Permission should be granted from each person to anonymously use this data for sharing and comparing data between the states and territories, to track real-time data - infection rates and facilitate treatment/vaccine rollouts. And to help national government body in making informed decisions to improve pandemic operations on an on-going basis.
Workflows
Client Case Management used for verifying and validating patient data
Data Analysis and Business Intelligence / Data Collection and Reporting for administrators and front line healthcare workers to monitor and track infections and exposures.
Building Blocks
In a pandemic situation, an effective supply chain and logistics management system can support allocation of resources to aid in response - ensure that testing kits, therapeutics, and other treatment commodities, as well as essential supplies like gloves, cleaning agents, etc., are ordered, tracked, and delivered on time at health facilities. I.e., governments can use forecasting tools and built-in data visualizations and analytics at the point of an outbreak, and report any delays in supply through supply chain systems. This can also help ensure accuracy of ordering and timeliness of shipments, and should there be a delay, provide visibility into data insights around the supply chain. Robust analytics, artificial intelligence (AI)/machine learning (ML), and other data science tools can support countries to ensure their supply chains are working effectively.
Workflows
Client Case Management to provide support and track supplies are being utilized effectively to aid infected/exposed persons
Identification to easily be able to track pandemic aid supplies and testing
Supply Chain Management: for capturing, managing and evaluating supplies during a pandemic
Building Blocks
Depending on the type of pandemic there will be a need to track infected individuals to manage and reduce spread of disease. Ongoing case management entails coordination of patient data throughout a country, allowing health providers to appropriately document health visits, follow-up needs, and treatment protocols. Contact tracing tools can also send alerts to exposed persons.
It is also essential to deploy some type of contact tracing tools to track the cases and anyone who has been exposed to the disease by that case. Digital contact tracing tools deployed at this stage can enable authorities to track and slow the spread of the disease by imposing isolation measures on infected and exposed persons and to understand geographically where clusters of cases are located. Data aggregation should also be prioritized to help public health professionals analyze, track and visualize the complex data used in infectious disease control.
Workflows
Data Collection and Reporting for capturing data on cases and contacts, testing outcomes and treatments received
Client Case Management for identifying and recording cases with health care providers/worker and capturing reported cases on grievances
Building Blocks
Administrators at the Ministry of Health and/or public health agency in charge of surveillance and epidemic/pandemic management conduct ongoing M&E to incorporate feedback on better ways to develop e-learning solutions in pandemic responses, and more effective ways to help the population. In addition, they can use data analytics to identify better techniques that can help preempt outbreaks through real time surveillance to identify early onset of cases, and more effective ways to deploy preventive measures early.
Workflows
Client Case Management for ongoing monitoring and tracking of frontline healthcare workers feedback as well as population feedback
Data Analysis and Business Intelligence/ Decision Support / Data Collection and Reporting - to analyze, update, and report output/ information
Building Blocks
Wesley Brown, GovStack Product Owner, Digital Impact Alliance
Sarah Farooqi, The Exchange Product Owner, Digital Impact Alliance
Pilar Hernandez, Director, SORMAS (Surveillance Outbreak Response Management & Analysis System) Foundation
Sainabou Jallow, Business Analyst, Digital Impact Alliance
Margus Mägi, GovStack Project Lead for Estonia
Julia Niklewski, Advisor Digital Health, GIZ
Dr. P. S. Ramkumar, GovStack, International Telecommunication Union (ITU)
| ID | HLTC-3 |
|---|
A smart vaccine delivery system can revolutionize immunization efforts by enhancing distribution efficiency, optimizing resource utilization, promoting equitable access to vaccines, and ensuring the integrity of the vaccine supply chain. By leveraging digital technologies, smart vaccines can address the challenges associated with traditional vaccine distribution, and can contribute to the global goal of preventing infectious diseases and safeguarding public health.
Seamless vaccine management and execution under compressed timelines requires organizations to automate as much as possible since manual processes are slow, prone to error, and overwhelming for staff. In turn, digital technologies can improve the management, distribution, and monitoring, and timeliness of vaccines. For smooth rollout, end-to-end vaccine management requires vaccine administration management, vaccine allocation, healthcare provider management, vaccine capacity management, transportation storage, and monitoring.
Patients that are included in the vaccine program rollout
Healthcare providers providing vaccinations to beneficiaries
Ministry of health or central government body in charge of national health outcomes that are involved in the vaccination program
Pharmaceutical suppliers and intermediaries that need to be engaged for timely supply
Administrators that need to manage payments and/or labs of patients
: Good Health and Well-Being
Using both targeted and widespread approaches to launch a proactive outreach campaign through SMS, email, and social media. The purpose is to inform the population about upcoming vaccination drives, benefits of the vaccination, eligibility criteria, and registration procedures.
Workflows
Client Communication to facilitate the spreading of vaccine awareness for target audience and encouraging participation
Client Education for educating potential target beneficiaries around the approach and objective(s), benefit(s), constraint(s), partner(s), etc. of the program
Content Management for the Ministry of Health to disseminate relevant educational and promotional content that local officers can use during on-the-ground outreach campaigns
Identification and Registration to target households and individuals eligible for vaccine
Building Blocks
Individuals can register online through their medical facility, roving healthcare practitioners, or with personal devices through a web portal or mobile app. The system securely collects basic information, contact details, and demographic data, streamlining the process for individuals and healthcare providers.
Workflows
Client Case Management for creating beneficiary user records
Data Collection and Reporting for capturing interview responses or observation during registration process
Identification and Registration for enrolled identified beneficiaries in the system , and to track households and targeted individuals
Building Blocks
Advanced identity verification mechanisms, such as biometric authentication or digital IDs, ensure the accuracy of user-provided information and prevent duplicate registrations. Other government databases (eg. ID, tax, land cadastre, etc.) can be used to fill in any missing gaps, verify and validate collected information, including authentication of all records.
Workflows
Client Case Management for storing and reviewing identification records and eligibility information of potential beneficiaries
Data Analysis and Business Intelligence for cross-referencing and verifying records across multiple registry sources, and reconciling gaps / overlaps
Building Blocks
The system cross-references registration data with eligibility criteria defined by health authorities. Individuals who meet the criteria are notified of their eligibility status either through SMS/USSD mobile technology or through a healthcare practitioner. Eligibility determination for vaccination can happen either before scheduling the appointment or at the start of the vaccination appointment.
Workflows
Client Case Management for storing and reviewing identification records and eligibility information of potential beneficiaries
Data Analysis and Business Intelligence for cross-referencing and verifying records across multiple registry sources, and reconciling gaps / overlaps
Building Blocks
Eligible individuals receive automated appointment scheduling options based on their preferred date, time, and vaccination center. The system optimizes appointment slots to manage crowd flow and reduce wait times.
Client Case Management can be either automated or through an intermediary health care worker on the ground that is responsible for coordinating appointments on a centralized system
Work Planning and Coordination so health care providers and administrative staff can coordinate the timing/schedules of multiple patients they may be serving
At the vaccination center, healthcare workers use the system to access individuals' vaccination records, verify identities, and record administered doses. The system ensures real-time integration with vaccine inventory to ensure demand doesn't outpace supply in any given timeframe.
Client Case Management for identifying and recording patient interaction with healthcare workers and for determining follow-ups and storing patient history
Client Communication for sharing relevant updates, diagnoses, treatment plans, and follow-up with client
Data Collection and Reporting for capturing changes in beneficiary information
Work Planning and Coordination for referrals to specialists or connections with other hospitals, clinics, or lab and pharmacy services
The system monitors the entire vaccine supply chain, from manufacturing to distribution, ensuring that vaccines are transported and stored within the appropriate temperature and humidity ranges. Real-time alerts are triggered for any deviations, preventing spoilage. While supply chain management has many steps, in this use case we acknowledge that it is necessary to ensure that supply and demand is being met to prevent shortages and or excess supply in any given region.
Supply Chain Management to manage the supply from production to vaccination
Some vaccination campaigns may be partially or fully subsidized by the government. In that case, payments may not be required. Otherwise, payments can be collected either pre- or post-consultation. In the context where a digital financial service system is not employed, each beneficiary would be requested to pay via mobile money or to travel to the nearest designated pay-point and pay the fees by program-specific authentication. Money is transferred to the selected payment mechanism and is subsequently verified against the provider. For areas with payment requirements, the system facilitates secure online payment options. It generates digital invoices and receipts, simplifying the financial transaction process.
Workflows
Financial Services for processing vaccination fees
Client Case Management for identifying and authenticating individual that is making a payment
Building Blocks
Once vaccination is completed the patient's immunization record can be updated and a digital certificate/vaccine passport issued that indicates the administered dose, date, and other important information.
Identification and registration to link patient account with certificate/vaccine passport
Healthcare providers and recipients can use the system to report any adverse events or side effects following vaccination. The system continues to monitor vaccinated individuals for adverse effects and tracks immunization coverage rates. It generates automated reports for health authorities to assess the effectiveness of vaccination campaigns.
Workflows
Client Case Management for ongoing monitoring and tracking of client performance, and integration to other registries for holistic view and reporting
Data Analysis and Business Intelligence / Decision Support / Data Collection and Reporting to analyze, update, and report programme output / performance information
Identification and Registration (with aid of geographic information services tool for potential use) in tracking / locating areas in relation to level of activities and adherence, or client household location
Building Blocks
Wesley Brown, GovStack Product Owner, Digital Impact Alliance
Sarah Farooqi, The Exchange Product Owner, Digital Impact Alliance
Sainabou Jallow, Business Analyst, Digital Impact Alliance
Dr. P. S. Ramkumar, GovStack, International Telecommunication Union (ITU)
| ID | AGR-1 |
|---|
This use case profiles a market linkage service that links buyers to sellers in the agriculture sector. In this context, market linkage pertains to connecting rural farmers to market information, products, and related services in order to boost productivity, and improve rural incomes and livelihoods. Due to the constraints of their remote location, farmers in remote areas - especially in developing countries, tend to have unequal market power, and poorer access to agricultural production inputs (seeds, fertilizer, and other goods) and services needed to grow and sell their crops.
Governments in low- and middle-income countries are increasingly driven to identify sustainable strategies to link farmers with input and output market services, and stimulate agricultural productivity. One pathway is through the implementation of a digital Marketplace platform that connects farmers and other players within the agricultural value chain to: effectively trade goods and services, facilitate management and timely communication of market data (i.e, prices, harvest schedule), wider market access and help agro-dealers manage and streamline the farm input trade (i.e. fertilizers). Such a platform could improve operational efficiency, communication and viable linkages within the agricultural value chain thereby further unlocking the potential of the agriculture sector.
Ministry of Agriculture and/or relevant governement run agriculture extension institution.
Agricultural extension agents serving as experts and trainers of a Marketplace platform dedicated to supporting market linkage in the agriculture sector.
Farmers seeking to buy affordable agricultural inputs and services, and sell their agricultural products.
Agro suppliers/dealers/middlemen that provide agricultural inputs (fertilizers, pesticides), equipments, processing and/or wholesale services to farmers.
: Zero Hunger
: Decent Work and Economic Growth
Staff from the Ministry of Agriculture/ Agriculture extension institution, organizes an awareness campaign about a newly launched digital Marketplace platform. A platform that connects core actors in the agricultural value chain (farmers, input suppliers, processors, wholesalers etc.,) to be able to connect with each other in order to buy and/or sell agricultural goods - products or services.
The campaign is spread using promotional services - mobile messaging and/or aired on national radio/television to inform buyers and sellers across the of agriculture value chain, about the benefits of the Marketplace platform and process to register, download the app and create an account. To address literacy issues and reach more scope, the government extension institution staff will put a team in place to coordinate in-person community outreach to rural farming communities. Awareness drives will be implemented to educate and explain to farmers on how to use the Marketplace application - use the audio feature if they cannot read.
Workflows
Client communication to raise awareness to target users about the Marketplace and encourage registration and account creation via mobile messaging / media channel(s)/ in-person
Client education for educating potential target users about the digital Marketplace platform's approach, objective(s), benefit(s), constraint(s), guideline on the Marketplace app/platform usage etc
Content management for the government staff and/ extension agents working on the Marketplace platform, to develop and manage training content for farmers on how to use the Marketplace and access all its feautures and functionality
Identification and Registration (with aid of geographic information services tool for potential use) in mapping and locating the target users
Marketplace as an application workflow (mobile or web) to connect buyers and sellers, and to enable them to transact digitally
Building Blocks
Registration is the process of collecting standard information of a target group. For this use case, buyers and sellers working across the agricultural value chain, will be required to complete a registration process in order to fully access the Digital Marketplace (via app download and/or web browser). The user needs to complete a registration form with their identifiable information - this could include the person's citizen ID information, phone umber, age, gender, occupation etc.,). The purpose is to collect and authenticate the data identity and information of the intended Marketplace user. Once the intended user's identity data has been verified, they will then receive notification (via sms, e-mail and/or messaging system) confirming their registration with a first-time user ID and password to create a personalized profile on the Marketplace platform. Users can browse Marketplace with or without being logged in. If they want to sell and/or buy goods on the platform, then they must login with a valid account.
Workflows
Data Collection and Reporting for capturing responses provided during the registration process
Identification and Registration allows users to register themselves in the Marketplace in order to access the platform and its services. A built-in GPS in the users' main device i.e. mobile phone, automatically captures the user's location data so as to provide location based services
Building Blocks
As the purpose of the Marketplace is to easily facilitate the buying and selling of products and services in the agriculture value chain, a process is needed to verify and validate the submitted identity registration data. The data is automatically checked against other government databases (eg. ID, tax, land cadastre, business registration, etc.) in order to fill in any missing gaps, verify and validate collected information, including authentication of all records. Data checking approaches also vary: sometimes it has full interoperability.
Workflows
Client Case Management for storing and reviewing identification records
Data Analysis and Business Intelligence for cross-referencing and verifying records across multiple registry sources, and reconciling gaps / overlaps
Building Blocks
Every user on the Marketplace that registers will be provided with a personalized username and password to create their own detailed account on the platform. However if a country has a national identity scheme/nation ID registry in place, then this information can used for users to log in/access their personalized account on the Marketplace. Once a user has an account, they must be able to log in, change their details, and create profile with their name or business name, upload images, and other relevant information.
Users should be able to select what kind of services they are seeking to access on the Marketplace platform - i.e., the type of products or services they wish to buy and/or sell on the platform and whether they wish to receive agriculture advisory notifications via audio and text messages (on weather forecasts, crop calendars, pest and disease prevention/control, new seeds, inputs and technology, and market pricing alerts). For any users wishing to supply any products or services, they should be able to personalize their profile page to make their business stand out, and input information on products or services for sale, and their set preferred delivery method (pick up and/or delivery). All of this needs to be done in a way that both keeps user data secure and is compliant with a country's legal requirements.
Workflows
Data Collection and Reporting for capturing the personalized profile information of all registerd users on the platform
Financial Services for staging users' account details for payment transfer processing
Identification and Registration for identifying users and linking them to a personalized profile on the Marketplace
Client communication sends users automated notification of harvest schedule, market prices for subscribed products, and weather/natural disaster updates, transaction-based and promotional information from the Marketplace through digital messaging (e.g. SMS, notification, etc.)
Building Blocks
The Marketplace needs listing pages - pages on the platform where sellers can display their products for sale and buyers to browse the different options available. Listing information can be sourced from sellers profiles where they can list attributes of goods and services they have for sale - with pictures, descriptions, prices, delivery options etc. Search and discovery tools should be incorporated features on the listing pages to help buyers find what they’re looking for on the Marketplace - buyers should have the ability to search and filter through based on the attributes above as well as use key words, audio function, image search etc, to filter through the Marketplace. A government run Marketplace admin system could be put in place to monitor, change, approve, close, and delete listings if necessary.
Workflows
Data Analysis and Business Intelligence / Decision Support / Data Collection and Reporting to capture, analyze and update all products and services listed on the platform, and ensuring the listing pages are automatically kept up-to-date with any new changes
Client Case Management for tracking products and services listed by Marketplace users on the platform and addressing any customer/ Marketplace users' related issues
Client Case Management for tracking all business transactions
Building Blocks
On-platform communication is typically achieved through a messaging tool; a common marketplace feature that allows buyers and sellers to communicate quickly and easily. Buyers might have questions about items before placing an order. Sellers need a way to share updates with buyers after their purchase. Further, once a buyer is interested in buying a specific product, they can search for the product in the Marketplace and find different sellers who are selling the product in different markets, the pricing they are offering and delivery options. Once the buyer finds a seller that meets their pricing and need, they can directly contact the seller, negotiate pricing and share the delivery location with the seller. If the seller agrees to deliver the product at the buyer's location and the pricing is agreed by both parties, then the payment process can be facilitated.
Workflows
Communication to facilitate communication between buyers and sellers via app, web browser, mobile etc
Client case management to address any communication needs between users and schedueling support to coordinate on product or service delivery
Building Blocks
A digital Marketplace should incorporate a process to facilitate the payment of goods and services to the seller. To facilitate transactions/payments between buyers and sellers, the platform can have an in-built payment function in the application. Step 7 above tracks the farm products and/or related services listed on the Marketplace and the preferred delivery method by location (pick up and/or delivery). Once the seller agrees to sell to a buyer, and the buyer makes the payment, an SMS or anther direct messaging system is sent to the seller informing them of the remittance being processed. The money could be deposited in to an Escrow Account possibly managed by a financial service provider, which only releases the final remittance to the seller once the physical deliver of a good or service is received b the buyer successfully. Once the physical delivery process has succeeded, the seller then receives the payment in their account.
When filing out their profile with their necessary information and phone number, a process should be put in place for all users to verify their preferred method to receive payment (i.e.via bank account or mobile money), mobil, which will be used to facilitate payment transactions on the platform. Should mobile banking be an agreed transation method, a verification process will be put in place to ensure the mobile number is associated with the user's banking details, and payment transfer can be facilitated via a financial service broker or intermediary embedded as part of the Marketplace platform.
Workflows
Client Case Management for tracking transactions - identifying and authenticating payment transaction between buyers and sellers
Financial Services to facilitate financial transactions between buyers and sellers in order to conclude the buy-sale process
Identification and Registration to identify, register and verify a registered seller's bank and/or mobile banking details is associated to their account
Procurement: buyers and sellers in the Marketplace procure via a Procurement workflow of goods and services by negotiating transactional terms and conditions (e.g. price, delivery time etc.)
Building Blocks
A digital Marketplace should also provide some kind of process to facilitate payment of the listed goods and services by thee registered buyer. After a user wishing to buy agricultural products or services completes their detailed profile on Marketplace, then based on this data, products and services can be suggested for the user. Once a buyer finds a product or service they wish to proceed with, they can get in touch with the seller to discuss pricing and delivery options. Once an agreement is reached, the buyer selects the payment service - it could be the in-built payment function in the Marketplace application connected to the seller's bank or mobile banking. After the payment successfully processed, the buyer receives an SMS or any direct digital messaging system - transaction confirmation authentication code, which has to be shared with the delivery service provider once they receive the goods.
When filing out their profile with their necessary information and phone number, a process should be put in place for all users to verify their preferred method to receive payment (i.e.via bank account or mobile money), mobil, which will be used to facilitate payment transactions on the platform. Should mobile banking be an agreed transation method, a verification process will be put in place to ensure the mobile number is associated with the user's banking details, and payment transfer can be facilitated via a financial service broker or intermediary embedded as part of the Marketplace platform.
Workflows
Client Case Management for tracking transactions - identifying and authenticating payment transaction between buyers and sellers
Financial Services to facilitate financial transactions between buyers and sellers in order to conclude the buy-sale process
Identification and Registration to identify, register and verify a registered buyer's bank and/or mobile banking details is associated to their account
Procurement: buyers and sellers in the Marketplace procure via a Procurement workflow of goods and services by negotiating transactional terms and conditions (e.g. price, delivery time etc.)
Building Blocks
Physical delivery is the act of sending out and the receiving of goods or services at an arranged place. In this use case, once the seller receives confirmation of payment for their good or service, an invoice is generated with the buyer's name and address. The next step is to coordinate the delivery process of the physical good(s) to the agree location/address of the buyer. The delivery could be done independently by the seller themself or through a logistics service provider (courier company, transporter) etc. I.e. the seller pays the courier company for on-site pick up and the courier company picks up the good and delivers to the buyer. On receipt of purchased good, the buyer provides the authentication code (see step 8) to the delivery service. The code gets authenticated and the seller receives payment in their bank account.
Workflows
Client Case Management for identifying and authenticating the buyer's authentication code
Financial Services to deposit payment into the seller's account once buyer confirms receipt of purchased goods or services
Supply-chain Management: ensuring the physical delivery of the goods and services being transacted in digital Marketplace and monitoring when the actual supply of goods or service happens physically
Building Blocks
The government entity running the Marketplace platform has a team of case mangers and administers in place to operate the platform and ensure quality assurance. The case managers can address any queries and support needs of of users. This body also supports in monitoring and addressing complaints and grievances submitted by registered users.
Workflows
Client Case Management for tracking all business transactions, and addressing complaints/grievances raised by Marketplace users
Data Collection and Reporting for capturing the personalized profile information of all registered users on the platform
Building Blocks
Wesley Brown, GovStack Product Owner, Digital Impact Alliance
Steve Conrad, Associate Director of Technology, Digital Impact Alliance
Taylor Downs, CEO of OpenFunction
Sarah Farooqi, The Exchange Product Owner, Digital Impact Alliance
Sainabou Jallow, Business Analyst, Digital Impact Alliance
Dr. P. S. Ramkumar, GovStack, International Telecommunication Union (ITU)
Margus Mägi, GovStack Project Lead for Estonia
Farina Owusu, Junior Advisor, Global Programme Digital Transformation at GIZ
Meelis Zujev, GovStack, Estonia
: Good Health and Well-Being
: Climate Action
Name
Rural Advisory Service for Farmers
Sector
Agriculture
Version
1.0
Status
Published
Name
Business Taxation
Sector
Finance
Version
1.0
Status
Published
Name
Inclusive Financial Services for SMEs
Sector
Finance
Version
1.0
Status
Published
Name | Telemedicine |
Sector | Health |
Version | 1.0 |
Status | Published |
Name | Disaster Management |
Sector | Climate |
Version | 1.0 |
Status | Published |
Name | Postpartum and Infant Care |
Sector | Health |
Version | 2.0 |
Status | Published |
Name | Remote Learning |
Sector | Education |
Version | 1.0 |
Status | Published |
Name | Construction Permit |
Sector | Sustainable Infrastructure |
Version | 2.0 |
Status | Published |
Name | Extended Producer Responsibility (EPR) |
Sector | Environment and Climate |
Version | 2.0 |
Status | Published |
Name | Pandemic Response |
Sector | Health |
Version | 1.0 |
Status | Published |
Name | Smart Vaccination |
Sector | SDG 3 |
Version | 1.0 |
Status | Published |
Name | Market Linkage |
Sector | Agriculture |
Version | 1.0 |
Status | Published |
In GovStack, reference use cases are used to define a set of high-level steps to accomplish a specific task. The Product Committee, who manage the reference use cases, works with the GovStack community and country partners to identify:
Common use cases shared in many settings with relatively little variation
Focused, country-specific, use cases which we believe could be replicated in other country contexts.
Each reference use case is defined using our <Use Case Template> and aligns, as much as possible, to a common set of use case steps. This common set of use case steps allows us to create a lightweight taxonomy for how we describe and break down tasks, as well as how the steps map to Building Blocks.
We welcome feedback and contributions to these reference use cases and will continue working to identify high-value, common use cases which can highlight the value of a building block approach to system implementation. Please provide feedback directly from the documentation by using the "Give Feedback" link at the top of the page, sharing at the Product Committee, or commenting on the #product-committee Slack Channel.
| ID | <Abbev-Sector - Index> |
|---|---|
Prose description of the overall use case. This can, and likely should comprise multiple paragraphs and can be used and a high-level perspective on the individual use case steps.
A list of the stakeholders that have some engagement with this use case, including how they are involved
The specific SDG targets this use case contributes towards
The format for this section is: <Url to SDG Target with text of specific target ID>: Text of the SDG Target
11.6: Reduce the adverse per capita environmental impact of cities, including by paying special attention to air quality and municipal and other waste management.
List of the GovStack Building Blocks involved in this use case, including link to Building Block specification
List of links to documents used to create the use case
Prose description of the use case step
Workflows
List of the workflows involved in this step, include a description of how the workflow involved
Format: Workflow Name text description
Identification and Registration for locating and tracking users registered in the system.
Example Implementation
<Link to example implementation>
Building Blocks
List of Building Blocks involved in this use case step, including link to building block specification
<List of contributors, optionally including organization and email address>
| ID | INST-1 |
|---|---|
The primary agent aims to leverage digital technologies and data-driven approaches to implement anticipatory cash transfers, providing timely financial assistance to vulnerable populations in high-risk areas prone to natural disasters.
Anticipatory cash transfers (or forecast-based financing) are a social protection mechanism to protect people from climate and human-induced disasters. Anticipatory action in the form of a cash transfer provides support to people before a disaster has struck, as an investment in prevention and resiliency, rather than recovery. Early response is a more dignified way of supporting communities and is more cost-effective than rebuilding efforts, but they vary in scope and are highly time-sensitive and connected to forecasts. This use case considers leveraging digital tools to streamline ACTs in climate disaster scenarios.
Aid dispensing agent in charge of the program. The agent can be government, NGOs, multilateral).
Aid recipients or end beneficiaries of cash disbursement.
Government agencies required for data collection, coordination, and oversight. Specific ministries that need to be involved may vary from country to country and may include 1) civil defense, emergencies, and disaster relief, 2) earth sciences and observatory, 3) oceanic and atmospheric agencies, 4) ministry of finance in cases where governments are the agents, etc.
Mobile network operators involved in the digital aspects of the use case.
Financial institutions for disbursement of funds.
The aid dispensing agent conducts scoping exercises in disaster-prone areas within a target region. As part of the scoping strategy, the agent should engage relevant stakeholders, including local communities, government agencies, financial service providers, and technology providers. In this step, the agent will also define the program's objectives, scope, and eligibility criteria. Importantly, the agent will determine the trigger mechanisms for initiating cash transfers based on early warning indicators and establish the frequency and duration of assistance. The trigger mechanisms need to be based on 1) available data and forecasts of emergency climate scenarios and 2) an agreed definition of impact level. The agent needs to coordinate with and leverage the government's existing early warning system.
Workflows
Data Collection and Reporting for primary data collection and assessment of the existing landscape and need and to to ensure that all involved stakeholders are appropriately mapped and included for program implementation
Data Analysis and Business Intelligence to implement the trigger which responds to incoming data from government's early warning system.
Decision Support to automate the trigger mechanism based on the agreed-upon impact level.
Remote Monitoring by the government of weather patterns and other climate emergencies
Work Planning and Coordination to ensure roles and responsibilities are defined and that all stakeholders are involved in the process
Building Blocks
The aid dispensing agent organizes an information campaign to inform about the anticipatory cash transfer program aimed at the target beneficiary population that is eligible for emergency cash assistance. The campaign can leverage multiple channels such as mobile messaging, radio/television, and/or a village to village campaign is performed by district / local social welfare officers. Outreach communication is intensive during the kick-off phase of the new programme, but also requires ongoing touchpoints and additional information sharing, e.g. on grievance procedures, rights and responsibilities, behavioural change communication, etc.
Workflows
Client Communication to facilitate program awareness for target audience and encouraging enrollment
Client Education for educating potential target beneficiaries around the approach and objective(s), benefit(s), constraint(s), partner(s), etc. of the program
Content Management for the staff of the primary agent to generate relevant educational and promotional content
Building Blocks
Registration is the process of collecting information on potential beneficiaries for assessment of their needs and conditions. Depending on specific country context, registration may occur by leveraging an existing social protection registration process or through on-demand registration, which would require the primary agent to collect registration data at local levels of implementation. During this process, the beneficiary's demographic information is also collected, since the eligibility criteria may be very different based on the severity and extent of the anticipated emergency event. During registration, further data can be collected (depending on program design) e.g. bank account details, biometrics, etc.
Workflows
Client Case Management for creating beneficiary user records
Data Collection and Reporting for capturing interview responses or observation during registration process
Identification and Registration for enrolled identified beneficiaries in the system and enabling possible permissions for interaction with the SRIS, and (with aid of geographic information services tool) to potentially locate and track households during the interview process
Data in the system should be checked and validated against other government databases (such as national IDs, tax, land, mobile, etc.) to fill in any missing gaps, verify and validate missing information, and authenticate records. This process should employ secure systems for identity verification to prevent fraud and duplication and the system should be ready-to-deploy in case of an emergency scenario
Workflows
Client Case Management for storing and using beneficiary records and eligibility information.
Data Analysis and Business Intelligence for cross-referencing and verifying records across multiple registry sources, and reconciling gaps / overlaps
Building Blocks
Based on national/regional early warning systems, the anticipatory cash program is triggered if the requirements have been met. The EWS leverages relevant data sources from the government such as technologies such as meteorological data, climate models, and risk indicators. The program will begin if the algorithms or models meet predetermined thresholds. Cash disbursements cannot begin until the threshold for severity, geographical extent, and risk of the climate event has been met.
Workflows
Data analysis and business intelligence to implement the trigger which responds to incoming data from government's early warning system.
Decision support to automate the trigger mechanism based on the agreed-upon impact level.
Remote monitoring by the government of weather patterns and other climate emergencies
Building Blocks
Once the program has been triggered after an emergency event, there will be a real-time eligibility process for beneficiaries to receive cash. Depending on regional/national context, this process could range from highly automated (using mobile technology) to highly manual (with on ground staff) to determine eligibility on a case-by-case basis. Eligibility criteria will be made clear (such as which geographic regions the rollout is specific to) so that non-eligible registrants understand the conditions under which eligibility has been determined.
Workflows
Client Case Management for storing program specific data for tracking
Data Collection and Reporting for capturing additional programmatic information on the beneficiaries during enrolment
Financial Services for staging beneficiary account details for cash transfer processing
Identification and Registration for identifying beneficiaries and confirming enrollment
Building Blocks
Depending on specific country contexts, payments can be highly automated (such as through mobile banking) or highly manual (i.e., local staff as cash distributors. In the case of an automated system, service providers (such as digital payment services or mobile network operators) should have been formally contracted in step 1 to facilitate cash disbursements. If the electronic payment system has been enabled, the payment can be processed for eligible beneficiaries. In the context where a digital financial service system is not employed, each beneficiary would be requested to travel to the nearest designated paypoint and collect money by program-specific authentication. In either case, the money is transferred to the selected payment provider as per generated payroll and is subsequently verified against the individual’s identification of program enrollment. Other possible add-on intervention activities at this step: behavior change communication; triggering of add-on benefits (or widening of beneficiary pool) if emergency worsens.
Workflows
Client Case Management for identifying and authenticating individual that is making a withdrawal, or to recall / verify deposit account information prior to payment transaction
Financial Services for processing beneficiary payment directly to their account, or for generating payroll to deposit payment amounts for withdrawal by beneficiary from designated banking institution(s) / pay-point(s) thereafter
Building Blocks
During non-emergency times, this step involves ongoing interaction with beneficiaries to ensure information on beneficiaries stays up to date. During emergency times, there may be an added responsibility to address complaints, grievances, and appeals.
Workflows
Client Case Management for identifying and recording beneficiary interaction with local officers and capturing reported cases on grievances / appeals etc., and for determining risks / conditionality by reviewing individual beneficiary client case
Data Collection and Reporting for capturing changes in beneficiary information
Work Planning and Coordination to potentially suggest and connect with departments / agencies offering other social benefits and services to eligible beneficiaries
Building Blocks
The primary agent should conduct M&E exercises to make management choices such as where to conduct training, registration campaigns, where to prioritize budget, etc. Monitoring and evaluation for anticipatory cash requires involvement of stakeholders for different parts of the project. Periodic evaluation should consider whether the thresholds, data inputs, and triggers are appropriate or need to be re-evaluated. In addition, assessments should consider impact of the of the program rollout on the intended beneficiaries.
Workflows
Client Case Management for ongoing monitoring and tracking of client performance, and integration to other registries for holistic view and reporting
Data Analysis and Business Intelligence / Decision Support / Data Collection and Reporting to analyze, update, and report program output / performance information
Identification and Registration (with aid of geographic information services tool for potential use) in tracking / locating areas in relation to level of activities and adherence, or client household location
Building Blocks
Wesley Brown, GovStack Product Owner, Digital Impact Alliance
Steve Conrad, Associate Director of Technology, Digital Impact Alliance
Sarah Farooqi, The Exchange Product Owner, Digital Impact Alliance
Sainabou Jallow, Business Analyst, Digital Impact Alliance
Margus Mägi, GovStack Project Lead for Estonia
Dr. P. S. Ramkumar, GovStack, International Telecommunication Union (ITU)
Ayush Shukla, Technical Officer, International Telecommunication Union (ITU)
| ID | INST-3 |
|---|---|
This use case profiles the implementation of a digitized citizen engagement process by a public institution. A digital service that assists public institutions in facilitating a process of engaging citizens on a particular policy matter for different purposes – to inform citizens, to consult citizens and get feedback or to co-create new strategies, action plans, policies together. The participation process can range across different levels of public institutions – from local, provincial, national to regional engagements. The focus of the citizen engagement process can range across various sectors (health, education, transport, urban planning, infrastructure development).
This process is how public institutions can make sure that good governance principles of citizen orientation and feedback are implemented on a practical level. It touches on both - mandatory participation processes (e.g. (e.g. participation in development or urban planning in some country contexts) and voluntary-initiated processes by public institutions. Citizen engagement is a crucial foundation for achieving SDG 16 on accountable public institutions. It helps to make policies more oriented towards the actual needs of citizens and create opportunities for holding decision-makers accountable. In general, citizen engagement refers to ways, activities or processes for involving citizens in the public policy process.
So far, many public institutions mostly focus on face-to-face formats of engaging citizens. This excludes many citizens that e.g. live in the Diaspora, are physically or mentally not able to participate or are – due to existing power structures in communities – not allowed to raise their voice. A digital service for different citizen engagement functions with user-friendly tools can be an important complementary aspect to facilitate inclusive citizen engagement. A digital service should always be applied complementary to existing and functioning face-to-face formats (blended approach).
Public sector institutions on regional, national or local – Officials in respective institutions that are responsible for or interested in facilitating a participation process on specific policy matters
Local municipalities – officials responsible for citizen engagement, for municipal planning processes
Technical team responsible for the rollout of a Citizen Engagement Platform
Citizens, civil society organisations, think tanks that are interested in participating in policy-making processes
SDG 3: Peace, Justice and Strong Institutions
Responsible staff from respective public institutions firstly need to identify the specific participation process they would like to use the digital service for. Importantly, different questions need to be answered before starting a citizen engagement process. These range from the actual focus of engagement process (topic, policy, strategy, plan), level of engagement envisioned (informing, consulting, co-creationg), available budget, timeframe for engagement period, responsible officials, envisioned outcome of process, to suitable feedback mechanism after conclusion of engagement process. These are internal decision-making processes that involve the responsible officials and decision-makers in public institutions. This process results in a particular participation strategy. This participation strategy also includes information on which engagement formats shall be used i.e. for which aspects a digital service for engagement shall be used and which face-to-face formats shall complement the digital service.
Once a participation strategy for the process is in place, the operationalization starts by selecting setting up the relevant content for engagement and selecting the relevant engagement tools. From the methodological digital toolbox for citizen engagement, the responsible official select the relevant tools (e.g. document consultation, survey, proposal-making).
Workflows
Strategy development: Development of participation strategy with information on budget, timelines, objective
Selection and Identification of relevant digital tools for citizen engagement (e.g. proposal-making, survey, document consultation)
Content Management for the development of the respective content on the digital service (incl. information on policy, timelines, process design)
Staff Communication and Education: Technical training of responsible officials in digital service content management
Responsible officials for the respective engagement process develop relevant communication material to inform the target group of the planned digital engagement process. This is an important step and often under-estimated. A targeted communication campaign needs to be set up to share information about the digital engagement process. Roll out of this can be facilitated via the institution’s website, social media channels. In addition, multipliers such as think tanks and civil society organisations should be targeted directly via promotional communication material (e.g. brochures, flyers). If a specific engagement process targets a specific group (e.g. specific sector experts), then intentional outreach and communication should be facilitated.
During this process step, it is important that all information provided is consistent with information provided on the digital service for engagement. The content provided on the digital service needs to be very specific: What is the objective of the engagement process, how can citizens participate, how will the results be used, how will citizens get feedback once the process is concluded.
This process step also involves awareness-raising and training in different forms. On the one hand, all involved officials should be trained on the digital service for citizen engagement – ideally on basis of a user manual. On the other hand, there should be easily-to-understand information material on how to use the citizen engagement platform, if relevant also in different local languages.
Workflows
Client Communication to facilitate information dissemination on the new digitized citizen engagement platform (via websites, social media, multipliers)
Awareness and Education for Citizens (e.g. tutorial, explanatory videos) on how to use newly digitized citizen engagement platform
Content Management for the development of a user manual and training guide on the digitized service for officials responsible for facilitating citizen engagement process
Identification and Registration for providing an administration account for all relevant public officials involved in specific engagement process
Building Blocks
In general, there are two options for engaging citizens on a particular process or topic: open engagement with no registration, or engagement with the condition of registering on the citizen engagement platform. If the public institutions ask for a registration of citizens to be able to participate, an intentional decision needs to be made as to which data is collected. Depending on the content, the following data might be inserted by citizens to participate: full name, email, phone number. Citizens might then have to register on the platform in order to generate personalized login credentials. With these credentials the user can then participate in the specific digitized engagement tools (e.g. document consultation, survey function, proposal-making). If this option is pursued, there should be a targeted data-minimization approach, ensuring that only relevant information on users is collected. Also, information needs to be provided in an easily understandable language how data is stored and how has access to it. If not set up in a transparent manner, it will deter people from engaging on the digitized platform.
If an open engagement process is facilitated, citizens normally can – without any log-in credentials – submit their ideas, comments, feedback on the respective digitized citizen platform.
Workflows
Data Collection and Reporting for capturing, managing and evaluating registration application data submitted, and in some cases - allocating personalized login credentials per user.
Identification to easily be able to identify and track registered users.
Client Case Management to help automate and manage the registration process, and respond to any inquiries or issues around registering on the platform.
Building Blocks
The actual digitized citizen engagement process takes place when citizens use the tools provided by the digital service to submit their ideas, comments, feedback. Depending on the level of engagement (information, consultation, co-creation), citizens will be able to use different tools provided on the digitized service. Commonly used digital functions for citizen engagement are document consultation, survey function, proposal-making/idea submission.
In general, a typical engagement process looks as follows: citizens will access the digitized citizen engagement platform on their mobile or desk-based. They will engage with the information on the engagement process, read through the objectives, the timelines and the specific format of engagement. If provided information and context creates a good enough understanding of why citizens should contribute towards this policy process, a diverse range of practical options for engagement are possible.
A comprehensive digital citizen engagement platforms allows for a diversity of digital functions of engagement. Benchmarking citizen engagement practices across the globe, the following functions are common digital functions for engagement:
Proposal-making
The function allows for citizens to submit their own ideas and discuss the ideas of others. The so-called proposal-making function/ or idea submission functions asks citizens to submit an idea title, a short idea description, budget estimate (if project-related), and depending on the engagement process further details. This function is often used in the context of asking for submissions for new strategies, action plans or in the context of public planning processes (e.g. priorities identification for neighborhoods). The function normally integrates the following: text field, tags, picture upload, title. Once an idea or proposal is uploaded, it is published for other citizens to engage with. Normally other participants can comment on an idea/proposal (comment function), sometimes a thumbs-up option is integrated. In the back-end of this engagement function, policy-makers will be able to see all submitted ideas, see reactions of others and be able to extract/download a summary of submitted ideas for further consideration. Overall, this function allows for the collection of completely new ideas and perspectives.
Document consultation
The function allows for citizens to comment on existing texts. The so-called document consultation function asks citizens to look at existing text (policy, strategy, law) and provide feedback through integrating comments. The document consultation function is a simple instrument of getting feedback on an existing text. Citizens can be asked to provide comments or amendments to a legal text or policy or strategy. This function allows to look at existing text and use a comment function to include feedback, further input or alternative suggestions. Once a comment is published, it is visible to other participants to allow for transparency. In the back-end of this function, policy-makers will be able to aggregate a summary report on all submitted comments and ideas for the respective text. Overall, this function allows policy-makers to collect feedback and comment on an existing policy process.
Survey
The function allows for citizens to answer simple questions to give quick and easy feedback on a policy process. The survey function allows for policy-makers to ask a series of simple questions to get quick insights into a policy question. The function normally allows for a range of question types (closed, open, multiple choice questions). The survey function is a low-threshold form of participation since users only need to click and submit. This function is relevant if policy-makers are interested in getting short and concise insights into a particular policy question. In the back-end policy-makers will be able to see aggregated results from different survey questions.
Importantly, listed functions can be combined for a particular engagement process.
Once users have submitted their inputs using the respective tools, they are able to see their submission on the platform. Depending on the registration requirements, they might be able to get updates via email if e.g. another user has commented on an idea, or an update to a text is made. Users would then also be informed when an engagement activity is closed i.e. comments, submissions are no longer possible. The digitized citizen engagement platform serves as a platform for transparency to monitor the engagement process, its different inputs as well as how results are communicated to users.
Workflows
Content Management to help update the information provided on the respective citizen engagement process if necessary.
Data Collection and Reporting for capturing and evaluating data submitted by the user
Updates and Client Communication to share updates on the engagement process (via mail, SMS) Building Blocks
Building Blocks
Once a specific citizen engagement process or activity has ended officially, responsible public officials need to analyse the provided inputs or comments. They will access the back-end data on the digitized citizen engagement platform in order to see the provided inputs.
The data is generally checked by officials that have responsibility for the engagement process. Depending on the type of tool used (survey, document consultation, proposal-making) data will be assessed and analysed with different tools and formats (survey – statistical analysis, document consultation – overview document of all comments, proposal-making – automatically-generated overview document with all ideas).
Workflows
Content Management for storing and reviewing registration, and construction permit application records.
Data Analysis and Business Intelligence for analysis of provided inputs and data (dashboard visualization, table format, document format)
Building Blocks
Depending on the type of citizen engagement process (mandatory or informal), the hosting public institutions will aggregate and consolidate all inputs received. The inputs will be assessed against criteria that should be publicly communicated. In the case of the proposal-making function this could be i.a. costs involved of submitted idea, impact/effect of idea on broader community vs. only service a particular community, timeframe for implementing idea, environmental and ecological dimensions of implementation. When selecting certain ideas, the responsible public officials should indicate on the digitized service why certain ideas were chosen and others not. In the case of a document consultation, all provided comments and input should be transferred to the policy experts for further consideration. Often these can also have legal implications or touch on specific mandates and responsibilities of public institutions.
In the different cases, responsible public officials should use the digitized citizen engagement platform to communicate the results i.e. how the inputs were further used and what the next steps will be. Users could receive – in the case of registration requirements – an automated update (email, SMS) that there is new information on an engagement activity.
Workflows
Data Analysis and Business Intelligence for aggregating and consolidation provided inputs on specific engagement activity.
Content Management for updating the respective citizen engagement activity on the platform.
Building Blocks
During the digitized citizen engagement process, it is important that responsible public officials monitor the engagement rate and submission of inputs. Only through continuous monitoring the respective public institutions can actually assess whether citizens are really engaging on the content and providing inputs. If – during the process – the number of inputs stay low, it is necessary to intensify communication and outreach to ensure citizens are mobilized to participate and provide their ideas.
Good data collection on the overall development of engagement rate during a specific engagement activity can provide important lessons learnt for the next process. The dashboard of the digitized citizen engagement platform can provide this data.
Workflows
Data Analysis and Business Intelligence for analysis the engagement rate during a specific engagement activity (e.g. number of inputs, number of users, geographic origin, lengths of engagement, etc.).
Building Blocks
Lisa Hiemer-Maqoma, Team Lead, GIZ Datacipation Programme with the African Union
Husnia Mohamed, Advisor, GIZ Datacipation Programme with the African Union
Wesley Brown, GovStack Product Owner, Digital Impact Alliance
| ID | INST-1 |
|---|---|
This use case profiles specifically the digital integration steps within the delivery journey of a generalized unconditional social cash transfer service. Unconditional cash transfers are cash payments provided to financially disadvantaged or vulnerable people or households without requiring anything in return (i.e. without conditionality). This is different from a conditional payment where the benefit needs to be applied on the basis of achieving a certain result (e.g. higher school attendance, or prenatal care visit), or to be expended specifically on a type of resource (e.g. housing, or agricultural equipment). Governments in low- and middle-income countries increasingly use these benefit schemes in attempt to reduce poverty or other vulnerabilities, such as those related to health.
Ministry or national government body in charge of social welfare, community development and/or implementing social assistance and cash transfer programmes.
Local social welfare officers in charge of identifying potential beneficiaries that meet eligibility criteria, and facilitating allocation of cash transfers to eligible beneficiaries.
Vulnerable population/households - beneficiaries, that comply with pre-defined conditionalities and meet the eligibility criteria.
Staff from the Ministry of Social Welfare or another leading agency / organization organizes an information campaign to inform about a social assistance programme aimed at potential target population / beneficiary group(s) and implemented via predefined approaches and partners. The campaign is conveyed via mobile messaging and/or aired on national radio/television, while a more capillary village to village campaign is performed by district / local social welfare officers. Outreach communication is intensive during the kick-off phase of the new programme, but also requires ongoing touchpoints and additional information sharing, e.g. on grievance procedures, rights and responsibilities, behavioural change communication, etc.
Workflows
Client communication to facilitate the spreading of programme awareness for target audience and encouraging enrolment via mobile / media channel(s)
Client education for educating potential target beneficiaries around the approach and objective(s), benefit(s), constraint(s), partner(s), etc. of the programme
Content management for the backend Social Welfare staff to populate relevant educational and promotional content that local officers can use during on-the-ground outreach campaigns
Identification and Registration (with aid of geographic information services tool for potential use) in mapping and locating households and individuals for outreach target
Building Blocks
Registration is the process of collecting information on potential beneficiaries for assessment of their needs and conditions. Depending on specific country context, registration works in very different ways – either through mass-census survey, or on-demand at local offices (either approach potentially building on interoperability existing data sources). While the practicalities of data collection differ across the two, with very different implications for data quality, currency and completeness, the underlying digital processes are broadly the same: Mass census survey registration is sometimes carried out in-house, other times by statistics agency or trained enumerators. A percentage* of households across the country are interviewed on a periodic basis to collect socio-economic data (especially if to target population in poverty), geo-location data, and key documentation. On-demand registration is primarily carried out in-house via capacity at local levels of implementation (e.g. social welfare offices or municipalities) and involves people pro-actively applying when in need. In either case data (both at individual and household-levels) is entered into a registry that serves one social assistance programme alone or several: the Social Registry** (SRIS). This is sometimes done directly at the moment of interview via computer assisted interview methods (CAPI), other times subsequently post-enumeration.
* Percentage varies greatly across countries; 10-95% range depending on prior policy choices, etc.
** The Social Registry collects, organizes, stores, processes, transforms, creates, and distributes information necessary to support intake and registration of potential beneficiaries (gateway function). It is part of a broader Social Assistance Information System, further discussed below and in subsequent steps.
Workflows
Client Case Management for creating beneficiary user records
Data Collection and Reporting for capturing interview responses or observation during registration process
Identification and Registration for enrolled identified beneficiaries in the system and enabling possible permissions for interaction with the SRIS, and (with aid of geographic information services tool) to potentially locate and track households during the interview process
Building Blocks
Data within the SRIS Social Registry Information System (SRIS) is generally checked* by central level Social Welfare Ministry managers, against other government databases (eg. ID, tax, land cadastre, etc.) in order to fill in any missing gaps, verify and validate collected information, including authentication of all records. *Data checking approaches also vary: sometimes batch-sharing via CD, sometimes full interoperability
Workflows
Client Case Management for storing and reviewing identification records and eligibility information of potential beneficiaries
Data Analysis and Business Intelligence for cross-referencing and verifying records across multiple registry sources, and reconciling gaps / overlaps
Building Block Workflows
NOTE: Depending on the country and programme, eligibility determination takes different forms e.g. categorical by age without income screening , poverty-targeted, etc. often via “Proxy Means Test” calculation to screen and rank households by ‘inferred’ income. "Clean" data from a Social Registry that have undergone the data verification and validation step is used to screen eligible beneficiaries and establish the recommended benefit and services ‘package’. The amount of transfer often varies depending on household composition, and beneficiaries may qualify for other add-on services based on analyzed socioeconomic / demographic information being used for other welfare or social programmes.
Workflows
Client Case Management for determining and assigning benefit packages and benefit levels to specific user groups
Data Analysis and Business Intelligence / Decision Support potentially for identifying different benefit levels / types in correlation to target groups’ socioeconomic / demographic information, based on existing eligibility criteria (e.g. via proxy means test, means test or category-based)
Building Blocks
Eligible beneficiaries are re-contacted and asked to enroll onto the programme. During enrolment, further data can be collected (depending on programme design) e.g. bank account details, biometrics, etc.. Further information is exchanged and, in certain program design or context, beneficiaries are issued with a programme card (depending on system setup by country). Programme specific data is often entered into a separate Beneficiary Registry associated with a Beneficiary Operations Management System (BOMS)*, not the Social Registry used during Step 1. Registration. Non-eligible households are also contacted and informed, depending on program and context.
Much of the literature on the topic refers to this as the programme’s Management Information System (MIS). In practice, this is a tailored software application that supports beneficiary management functions (e.g. enrolment, payments, case management, M&E etc.).
Workflows
Client Case Management for storing program specific data for tracking
Data Collection and Reporting for capturing additional programmatic information on the beneficiaries during enrolment
Financial Services for staging beneficiary account details for cash transfer processing
Identification and Registration for identifying beneficiaries and confirming enrolment
Building Blocks
If a social cash transfer programme has enabled electronic payment processes (e.g. via banks, mobile money, etc.), payments are subsequently paid cyclically according to the programme schedule e.g. often bi-monthly. In the context where a digital financial service system is not employed, each beneficiary would be requested to travel to the nearest designated pay-point* and collect money by programme-specific authentication. In either case, the money is transferred to the selected payment provider as per generated payroll and is subsequently verified against the individual’s identification of program enrollment. Other possible add-on intervention activities at this step: behaviour change communication; triggering of add-on benefits (or widening of beneficiary pool) in emergency context using GIS data, etc.
These vary depending on design / implementation choices: banks, armoured vehicles, post offices, schools, etc.
Workflows
Client Case Management for identifying and authenticating individual that is making a withdrawal, or to recall / verify deposit account information prior to payment transaction
Financial Services for processing beneficiary payment directly to their account, or for generating payroll to deposit payment amounts for withdrawal by beneficiary from designated banking institution(s) / pay-point(s) thereafter
Building Blocks
Depending on the programme and on the country’s broader social protection policies, this step involves ongoing interaction with beneficiaries via local social welfare officers to help: Ensure information on beneficiaries stays up to date Address complaints, grievances, and appeals Address multi-dimensional risks via connecting beneficiaries to other programmes and services e.g. child protection, etc. Carry out assessment of co-responsibilities / conditionalities, if any (this is achieved in some countries via data integration into e.g. school management system from Education ministry on attendance, or HIS from Health ministry on check-up, etc.) Note that this step also requires clarity, clear decisions, and protocols regarding whose data (or subset of such) is to be updated by which programme personnel or role and at what time.
Workflows
Client Case Management for identifying and recording beneficiary interaction with local officers and capturing reported cases on grievances / appeals etc., and for determining risks / conditionality by reviewing individual beneficiary client case
Data Collection and Reporting for capturing changes in beneficiary information
Work Planning and Coordination to potentially suggest and connect with departments / agencies offering other social benefits and services to eligible beneficiaries
Building Blocks
Central level managers and local social welfare officers base decisions and management choices (e.g. where to conduct add-on training, re-registration camps, where to prioritise budget, etc.) on up-to-date data on the programme/s (e.g. who receives what, when, what areas are performing better, etc). Note that countries that do this effectively ensure programme BOMS data is connected / integrated via an Integrated Beneficiary Registry* and develop effective reporting functions, including GIS enabled spatial reporting. *This is a Registry that integrates data across existing Beneficiary registries and their associated BOMS to give an overview of who is receiving what across programmes.
Workflows
Client Case Management for ongoing monitoring and tracking of client performance, and integration to other registries for holistic view and reporting
Identification and Registration (with aid of geographic information services tool for potential use) in tracking / locating areas in relation to level of activities and adherence, or client household location
Data Analysis and Business Intelligence / Decision Support / Data Collection and Reporting to analyze, update, and report programme output / performance information
Building Blocks
Ensuring data is up to date to trigger: Programme exit for those who are no longer eligible e.g. when a beneficiary dies, migrates, exceeds eligible age or no longer qualifies for other reasons. This is achieved via a combination of recertification campaigns, automated data updates, and data-sharing with other government databases e.g. civil registration for death. Programme entry for newly eligible beneficiaries, via new data collection or analysis etc. Other changes to entitlements (e.g. benefit type of transfer size) due to changes in household composition, incomes, etc. Note that this step also requires clarity, clear decisions, and protocols regarding whose data (or subset of such) is to be updated by which programme personnel or role and at what time.
Workflows
Client Case Management for ongoing review of beneficiary case information
Data Analysis and Business Intelligence / Decision Support to support identification of individuals for exit or entry based on analyzing change in programme-specific / socioeconomic data
Data Collection and Reporting for routine update of information on the beneficiary client base, and integration of other databases and systems for automated data update on client cases overtime
Building Blocks
Wesley Brown, GovStack Product Owner, Digital Impact Alliance
Steve Conrad, Associate Director of Technology, Digital Impact Alliance
Jaume Dubois, Digital ID Lead, GovStack
Sarah Farooqi, The Exchange Product Owner, Digital Impact Alliance
Sainabou Jallow, Business Analyst, Digital Impact Alliance
Dr. P. S. Ramkumar, GovStack, International Telecommunication Union (ITU)
Max Carlson, GovStack
Uwe Washer, GovStack
Raul Kaidro, GovStack
Saurav Bhatta, GovStack
Name
<Use Case Name>
Sector
<SDG Sector>
Version
<Document Version>
Status
<Draft, Proposed, Approved, Published>
Name
Anticipatory Cash Transfers
Sector
Institution
Version
1.0
Status
Published
Name
Citizen Engagement
Sector
Institution
Version
1.0
Status
Draft.
Name
Unconditional Social Cash Transfer
Sector
Institution
Version
2.0
Status
Published