MC-eGov Study on Multi-channel Delivery Strategies and Sustainable Business Models for Public Services addressing Socially Disadvantaged Groups Contract 30-CE-0161843/00-50 (January 2008 to February 2009) ISAC Multi-Channel Inclusive egovernment using Natural Language Processing Frank Wilson, Michael Blakemore October 2008 v.01 ECOTEC Research and Consulting Ltd Priestley House 12-26 Albert Street Birmingham B4 7UD UK
TABLE OF CONTENTS 1.0 Overview of the ISAC Case Study Error! Bookmark not defined. 1.1 Aims and Background 1 1.2 Intended outputs / results 3 1.3 Target groups and scenarios addressed 4 1.4 Main activities 4 1.5 Service Delivery Business Model 4 2.0 Inclusive egovernment 5 2.1 Approach to Inclusive egovernment 5 2.2 Exploiting MC and Technology for Inclusive egovernment 5 2.3 ISAC in a Multi-channel Context 8 2.4 Policy area 8 3.0 Inclusion and Responsibility 9 3.1 Stakeholders 9 3.2 Responsibility for Delivery - Partnerships 9 4.0 Multi Channel Service Impact and Value 10 4.1 Key Service Results (Outputs and Impacts) 10 4.2 Evaluation and Perceived Public Value 10 5.0 Funding and Management 12 5.1 Funding Strategy 12 5.2 Management Strategy 12 5.3 Organisational change 12 6.0 Challenges and Successes 13 6.1 Key Achievements 13 6.2 Problems Solved and Lessons Learned 13 7.0 Future Perspectives 14 ii
Executive Summary isac is the innovative Servei d Atencio Ciutadana in Terrasa, Catalonia, Spain. the Interactive Citizen Information and Attention Service. In Terrassa, a local innovation partnership have brought together all relevant service information to provide a common validated source to be used in a Multi-channel (MC) service architecture. An online application exploiting Natural Language Processing (NLP) is used as a flexible way for citizens to pose questions to which they require answers, so reducing burden on human service channels. This part of the multi-channel service network can in a large number of cases either answer questions directly, or pass the questioner to the appropriate source of expertise (for complex enquiries). Alternative service channels include face-to-face, telephone, and web. With the NLP system, citizens and small business can simply type any question and the system uses smart language processing, plus a Taxonomy and Municipal Vocabulary to select pre-defined answers, or to support citizens in finding answers. The system is a learning-system so is adaptive over time. The case study shows the drivers towards a MC strategy, and how this particular NLP technology can contribute to its achievement. ISAC received a Best Practice label 1 from the epractice initiative in 2007 Local case study contact: Merce Rovira, University of Girona, merce@isac.cat mrovira@eia.udg.es The information contained here is held to reflect the situation at August 2008. Later readers should verify status in this fast moving area of development. 1 See http://www.epractice.eu/cases/2647 1
1.0 INTRODUCTION MANAGING CHANGE IN SERVICE NEEDS AND CITIZEN EXPECTATIONS 1.1 Aims and Background The aim of the ISAC programme was to implement a pilot of multi-channel (MC) Inclusive egovernment services exploiting useful technologies and human supported activities to provide a set of alternative channels for citizen access to information about services. The implementation happened in the city of Terrassa which has 202 thousand citizens, and so is of a manageable size for a pilot of this kind. The city hoped that by employing latest technologies they could find ways to improve citizen access, make services available to more people than before, and make service delivery more cost effective. Objectives The specific objectives were to: Develop a new channel for accessing public information and services Improve transparency and trust in Public Authorities Launch a citizen-centred inclusive and learning egov service Improve ease of access and length of access periods Include a system for continuous evaluation of services Explore and innovate new types of citizen services Share a standard approach with other public authorities Terrassa city had a good reputation for operating a high quality Citizen Information and Attention Service (SAC) since 1992. However, it had become overloaded with around 400k calls per annum, with more than 70% of these referring to information that could be had via the city directory. The local university was conducting research on egovernment and new technologies, and recognised that technology transfer could be the key to opening new service channels to reduce administrative burden. This was also seen as an opportunity for engaging the local innovation network to exploit existing capacity in knowledge and skills. An initial study determined that for the same cost as the current service, they could serve more people and do so within a 24/7 model. This study led to detailed planning, pilot testing, and subsequent launch of an active service that still provides public value and acceptable quality of service to citizens and business in Terrassa. 2
Table 1. Calls to SAC in 2005 Topic of Call % Requests For Service Department Numbers (directory) 77.57 Municipal Procedures 4.98 Completing Municipal Procedures by Phone 4.80 Calls From Outside City (not citizen requests) 3.81 Public Service Directory 2.75 City Government / Providers Management 1.69 Service Times, Email Addresses, Websites (directory) 1.43 Commercial Activities 1.03 Traffic and Transport 0.63 Procedures in Public Agencies 0.51 Collection of Old Furniture 0.32 Calendar of Events 0.18 City Directions, Locations 0.11 Public Hiring Process 0.10 Requests for Service Lists 0.06 Reserving Internet Access Point (public) 0.04 The above data (from an early study) show that the majority of calls were not for specific information, but requests about who to contact to deal with service issues. Citizens do not always understand which department deals with which service, and so needed some kind of system / service that would better assist with either answering queries directly or routing to suitable expertise. This would mean exploring alternatives to the direct telephone channel, and finding ways to reduce burden on that service (by reducing routing queries). The initial study also exposed potential within latest technology developments for possibly automating routing and simple queries. 1.2 Intended outputs / results The ISAC programme intended to: Reduce dependence on limited channels, Improve services overall through innovative technology, Offer more freedom and flexibility to citizens through multi-channel delivery, Improve service level and service period without increasing costs, Allow citizens to investigate service questions and receive relevant answers without human intervention wherever possible. 3
1.3 Target groups and scenarios addressed The target groups in this programme were all citizens and business in Terrassa. They aimed to implement a Multi-channel Inclusive egovernment strategy whereby all citizens and business might have better access to service information at all times. The city of 202 thousand inhabitants also contained 123,000 business units, housing mainly smaller businesses, and so provided employment for a larger group of citizens from the surrounding region. In support of these citizens and their businesses, the city information service hosted 40,000 items of relevant service-related content in its databases. 1.4 Main activities The main activities in ISAC have been: Forming a partnership to execute the project. Developing a strategy for service redesign and implementation. Integrating all relevant city info (public and private). Identifying suitable technologies and service strategies. Identifying service partners (who does what / support / special requirements). Designing pilots and methods of evaluation to test the concept and operational practicalities. These activities are illustrated in the body of this case study. 1.5 Service Delivery Business Model The core business model of ISAC is quite simple. Integration of information reduces replication of effort in each service department or service area. By having a common strategy and support team the overall expenditure of effort is reduced. The coupling of the standardised and centrally-managed information resources with the new technologies for semantic 2 encoding and search, allow new delivery channels that were not previously possible. In addition, using a common source of information enables standard content and quality across channels. Multiple channels gives access and usage 24/7 with selection of appropriate channel depending on time of day and context (e.g. at work, at home, on the move, etc.). For the same cost level the ISAC strategy has enabled a much higher level of service with easier access by all citizens. 2 Semantic web overview at: http://en.wikipedia.org/wiki/semantic_web 4
2.0 INCLUSIVE EGOVERNMENT 2.1 Approach to Inclusive egovernment The general approach in ISAC is to address the whole of the citizen population, and to provide several channels so that people can select the most appropriate channel to suit the time of day, usage context and personal circumstances. ISAC aims to provide an inclusive egovernment approach where the needs of all are met within an inclusive and common strategy. People who cannot afford Internet access at home can use a public access point, or can phone, or use a face-to-face advisor. People with disability can use access technologies as for any other service (e.g. accessible web browser, screen reader, deaf interpreter, etc.). By providing a multi-channel solution, the municipality ensures that no citizen is left behind and can gain access to service information in the easiest possible, and most preferred, way. All online content and interactions are provided via web sites operated by the municipality and which conform to local design standards taking account of needs for web accessibility by different classes of users. The specific innovations in isac were rigorously tested in experiments and pilots supported by the University of Girona and its innovation network. This approach ensured optimal usability, operability, relevance and user satisfaction could be obtained within the design scope at that time. 2.2 Exploiting MC and Technology for Inclusive egovernment The core technology for ISAC involves the coupling of Natural Language Processing technology (easy access method) with a semantic network exploiting a detailed service vocabulary, frequently asked question (FAQ), a search engine based on relevant semantics. A citizen can, via Internet, simply type a free form (natural language) question (see Figure 1 following). The question is passed to isac for analysis and selection of matching answers based on natural language semantic extraction, pattern matching (via semantics of government vocabulary), and identification of good matches (statistical model). 5
Figure 1. isac Operational Model The semantic search engine, FAQs and vocabulary are refreshed on a 9 month cycle, and so the system is kept up to date. This involves coordination of relevant service departments and so relies on good collaboration between key service actors. Any questions passed to the system which can not be easily handled drive a process of examination and understanding, leading to revised FAQs and updated semantics. This means that the overall system is a learning-system, and adjusts/adapts to user needs as they change. More than 450,000 information objects (documents, forms etc.) are currently involved as targets, and the isac integrated information database is a common reference for all service channels addressing the same content (no replication, minimised errors). The above model illustrates a citizen context whereby needs are met, and it should be borne in mind that part of his context is variability of situation, and variability in ability. A citizen may access form home or from work. They may be able to deal with computers or not. Some may even have a reluctance to use the phone. So the core technology, incorporating a common knowledge base, may be accessed via web directly, or via intermediaries using the telephone (agent can use the knowledge base to help with enquiries), or face to face (local desk officer can access from the desktop to help with problem solving). 6
isac includes: Public information & City information: Available services (public & private) Activities, calendar of events Learning opportunities information & registration Public hiring Mobility & transport information NGOs, voluntary organizations Map & geographical information Connection to public services Support with procedures, models, forms (next year) Access to participation processes and activities (next year) Answers to the citizen are relevant to the question and can include: A specially tailored text (by the system) City Government pretreated information (database objects) A web page with the specific content (URL / link) A set of maximum 3-5 possible very similar references A list of relevant services of a type (bank offices, health NGOs, old people s residences, etc.). Whenever isac cannot give a suitable answer there is always a human operator in the loop and the system will offer other channels (where appropriate): e-mail message direct IP (internet telephony) call to call center (office hours) call back from the service office chat facility (only in call center office hours) WikiFAQ, to allow citizens help with their own community information (future) 7
2.3 ISAC in a Multi-channel Context ISAC is the core element in a multi-channel strategy, and all channels rely on the existence of ISAC as the integrating technology. Hence, the whole project is referred to as ISAC. Service Organisations isac Database PSTN Telephone Face 2 Face isac Internet Phone PDA ichat Web Pages email Citizens / Business The above channels use different technologies. Some use human intermediaries directly (e.g. face to face, phone, etc.), while some use human intermediaries indirectly (e.g. email). Human agents also maintain the database and conduct necessary analyses for extension of the semantic model. When a citizen asks for advice by phone, or face to face, the human agent has access to the isac database, and so the same sources are utilised for all service channels. 2.4 Policy area National government information policy is localised in the Catalonia region by the Generalitat, and the Open Administration of Catalonia (AOC). AOC is an egovernment initiative of Regional and Local Public Administrations, executing the Catalan Information Society Strategic Plan (Catalunya en Xarxa) 1999-2003, and according to eeurope 2005 initiative. Since that inception it has operated as a driver for modernizing all levels of egovernment: Technical platforms, Digital Signature, Call Centre 24x7, Customer Relationship Management (CRM), Workflow re-engineering, epayment, eprocurement, Corporate Intranet and other actions. It is also an initiative for re-engineering internal procedures and improving the professional profile of civil servants. The isac initiative benefits through the work of the DG Citizen Services who coordinate GENCAT 3 (the regional egovernment portal), and who provide a support package to all municipalities to help ensure Inclusive egovernment in line with policy. 3 See GENCAT case study at http://www.mcegov.eu/case-studies.aspx 8
3.0 INCLUSION AND RESPONSIBILITY 3.1 Stakeholders The stakeholders included information holders from three levels of government (municipal, regional and State). Each has a presence in the city and provides services of different kinds (e.g. education, health, transport, social care, environment, etc.). These were supported by the University of Girona who are experts in different kinds of innovative technologies relevant to citizen support. Public Authority University Companies NGOs........ Departments......... Citizen panel The stakeholders also include citizens, represented via the citizen panel, and companies who either deliver services for the public authority, or whose services are considered relevant to the target service areas (e.g. health, environment, etc.). 3.2 Responsibility for Delivery - Partnerships Responsibility was divided between three main partnership groups, including the Public Authority, the University, and Local Industry (innovation group). This triple helix was also supported by the AOC Consortium (Catalan Public Administration Consortium). Uni Girona NLP, Search Engine, Vocabulary, FAQ system, WIKI Phone service outsourced to commercial provider Local companies provide technology and training Local innovation cluster coordinated by University to generate ideas / opportunities for transfer of innovation to egovernment implementation. Engagement of 3rd sector / NGO service providers is via the municipal service departments and also key actors in the regional social network whose collaborative links ensure local information is up to date and relevant. 9
4.0 MULTI CHANNEL SERVICE IMPACT AND VALUE 4.1 Key Service Results (Outputs and Impacts) The service was designed and delivered in three phases: 2006 Researching Open Source tools, and Question Answering software solutions. Researching natural language user interface solutions. Developing semantics for the local and administrative vocabulary. Integrating a common citizen knowledge Database of relevant objects. Translating to Catalan language. 2007 Developing the isac basic tools pack. Running two test pilots 4. Developing a Spanish version. Organising isac + AOC web indexing (integration). 2008 (plan) Introduce multimodality and multilingual access. Introduce synthetic images (avatars). Launch isias (inter-administration service channels) Launch a wiki based FAQ system 4.2 Evaluation and Perceived Public Value The ISAC programme has been evaluated via numerous instruments and care has been taken to clearly identify the perceived public value. Evaluation Activities Evaluation activities systematically look at: number of requests, percentage correct answers, response times, timeliness of new information into the knowledge system, user satisfaction, employee and back office service staff perceptions, number of FAQs answered via phone or face to face (walk in), service cost. 4 See news section at http://www.isac.cat/en/noticies.php 10
The current usage rate is equivalent to seventy-two thousand sessions per annum (72,000). Each session can include more than one service question / service request, and so the service level is estimated to be more than double that of the original service (~ 40k calls per annum). Citizens can give feedback at the end of each session, and indeed are invited to do so. This feedback is regularly analysed to identify problems, usage issues, and any trends indicating needs for change of service strategy / content. Analysis of citizen interactions allows detailed evaluation of the service. It can be seen how they communicate with government, what information types generate greatest demand, and what demands appear at what times. The highest demands drive the greatest updates (attention to what people want). The approach of listening to citizens in this way is also a strategy for building trust and enhancing participation in service and administration modernisation. Perceived Public Value Local citizens and business previously used telephone enquiry lines to find out who to talk to, then moved on to call other departments in a search for answers. Now they can use the multi-channel approach whereby a common database ensures consistent and accurate information that is well maintained and open to quality assurance. Users now find it easier to locate available services (public, private and NGO provided). They also find it easier to locate calendars of local events and activities in the various local institutions, as well as learning opportunities. People can now more easily navigate through processes such as registrations, public hiring, etc., and can find out more easily about NGOs, voluntary organisations, mobility and transport information, as well as maps and geographical information. All of the above are a critical part of the local service and information context, and are made easier and more efficient (and effective) through the implementation of the new multi-channel strategy. The fact that this is done at the same cost as the old service approach, while satisfying may more people, and many more service/information requests, means that public value is seen as very high both in financial terms, and in terms of the real delivery of satisfaction. 11
5.0 FUNDING AND MANAGEMENT 5.1 Funding Strategy Regional funding was attracted via the programme for Catalan Open Administration (AOC) which is mandated by the Catalan Parliament, and which recognised the significant opportunity for a test-bed illustrating the benefits of Multi-channel Inclusive egovernment and as a learning exercise for other Catalan cities. Funding figures in Euro are shown below: 2005 (Research and Preparation Phase) 20k CIDEM (Catalan Govt. Support for SMEs) 50k - University of Girona 2006 (Development Phase) 150k AOC Consortium 35k - City of Terrassa 60k - University of Girona 2007 (Pilot Phase) 89k AOC Consortium 25k - City of Terrassa 60k - University of Girona 2008 (Deployment, Extension and Enrichment Phase) 1.3M (app. To Spanish Government) 0.5M (app. To AOC Consortium) 5.2 Management Strategy The ongoing operation, support and review is organised by the triple helix mentioned earlier. The University, Local Industry and Municipality operate an innovation network to maintain focus on opportunities for improvement of service through technology exploitation. Technology transfer, education and support for deployment are provided in that context. The active service is then operated by the municipality as part of its normal practices. 5.3 Organisational change The main organisation change that took place was the intensified collaboration between service departments, assisted by the partnership developing and launching ISAC. Service responsibility remains with specialist departments, but information ownership and information management are made more collaborative and collective (e.g. common database). The primary service transformation is the move from a single channel / dual channel approach, towards a completely multi-channel approach. Each specialist service department now save significant time because information seeking and provision are concentrated within the ISAC-managed MC scenario. There are fewer instances of people spending a lot of time on the phone because ISAC alleviates a significant part of that burden. Consequently, staff spend more time on high value tasks rather than simple information provision. 12
6.0 CHALLENGES AND SUCCESSES 6.1 Key Achievements Despite the very significant challenge to integrate service information from a wide variety of services (horizontal problem), and despite services and information also being delivered by different levels of government (municipal, regional, State vertical problem), the ISAC programme has delivered a working service. ISAC facilitates access to information about local services using 8 channels, and this means the citizens have flexible choice of access channel 24/7. 6.2 Problems Solved and Lessons Learned Re-engineering work processes was a major problem area. Whereas each department had their own historic approach to gathering, verifying and storing information for use in service provision, they now have to contribute to a common pool of information held in a common database. Not only did they have to deal with ensuring everything is available digitally, but they all had to agree that to reduce replication, each department was solely responsible for its own service-related information. ISAC has proven to be an information integrator for Public Administration. Building a user group took significant time and effort, including engagement with service departments, information holders, and formation of the citizen panel. The citizen panel were especially useful because, as well as participating in presentations, workshops, demonstrations and tests of the pilot system, they also provided a single focus to all service departments they are the customers. The enthusiasm for sharing tools, ideas, problems and solutions has grown steadily throughout he programme of work and will in future be capitalised upon as a living lab or similar conjoint activity. Information is not structured or organised in the same way in every department or service agency, and so there was an ongoing problem to find and encode relevant information, and then to adapt the vocabulary. The programme was then faced with a further problem of how to validate and standardise information. This was achieved as a specific design solution but the exercise has shown a need to develop a unique taxonomy for citizen services, and this will be made part of future work. 13
7.0 FUTURE PERSPECTIVES The ISAC programme has shown how to exploit specialist technologies (NLP, semantic encoding and semantic search) as a way to provide a single common information resource that will enable consistent content and quality across a wide set of service channels. The multi-channel strategy in Terrassa could not have been achieved without the innovative use of technology to support service objectives and service operational strategies, and it has exposed additional technical challenges such as the need for a usable taxonomy (mentioned previously). As extension of the successful work described here, further planned pilots will in involve 5 more Catalan cities 5 as beneficiaries of the collaborative and open source approach of ISAC. SMS delivery of service information will be added as a new channel / service component, and will involve both SMS on demand, and planned (personalised) service information feeds. The general approach of ISAC will be moved towards Web 2.0, and will exploit the social software technologies for greater citizen involvement. For example, wiki as an information repository and a strategy for citizen involvement (participation), and contribution of own information and information from NGOs and citizen organisations of relevance to the concepts on collaborative social support embodied in ISAC. Personalise services are under consideration, especially using electronic identity strategies (eid) to allow private information spaces to be created and managed (e.g. myservices, myinfo). ISAC may also be moved towards a more Google-like Question-Answering system so as to allow it to be embedded in multiple web sites and user interfaces (e.g. as a web service for use by others). Another future stage of the programme will learn from the experience of providing citizen information about public services using ISAC, and will move towards supporting tourism using similar technologies and strategies. This transfer to a new sector may also include new ways of funding the core innovation partnership for wider social benefit. Finding partners to share the research burden and to benefit from shared experience and innovation is a critical issue for future development of ISAC and is being addressed by the local innovation network. 5 See 2007 news announcement at http://www.isac.cat/en/noticies.php?news=1 14