undp -数字公共基础设施（DPI）方法

Contents

Foreword

3

Abouttheplaybook

4

Howtousetheplaybook

5

Glossaryandabbreviations

6

Play1

•UnbundlingDPI

8

Play2

•EvaluatingscopeforDPI

19

Play3

•BuildingtechnologyforDPI

26

Play4

•EquippinginstitutionstogovernDPI

34

Play5

•SustainingDPI

42

Play6

•ImplementingDPI

49

Acknowledgements

55

2

Foreword

Everyjourneytowardsimplementingdigitalpublicinfrastructure(DPI)isunique.Forcountriesatthestartoftheirjourney,wrestlingwiththequestionsarisingfromnascenttechnologyandstandardscanbedaunting.Wheretostart?

Thisplaybookisdesignedasapracticalresourceforcountriestouseastheybegintothinkaboutbuildingrights-basedandinclusiveDPIandatallsubsequentstages.Itprovidesperspectivesfrommultiplepointsalongtherouteandwaypointstochartprogression.ItsharesexperiencesfromthoughtleadersinDPIandoffersahands-oncompilationof‘plays’,techniques,self-assessmenttools,andexampleblueprintstocatalysepositiveoutcomes.

WiththegrowingdemandforDPItoaddresscomplexchallengesacrossdifferentsocieties,thetools’abilitytobetailoredtonationalcontextsandneedsisanaddedvalue.Casestudiesscrutinisingbest-practicesareshared,alongsideaseriesofpracticalstepswhichwillhelptoaccelerateachievementoftheSustainableDevelopmentGoals(SDGs)throughDPI.

WeinviteyoutoexploreandusethisplaybooktogetyoutothenextstageofyourDPIjourney.

SushilPal

Co-Chair,DigitalEconomyWorkingGroup(DEWG)India’sG20Presidency,2023

GovernmentofIndia

RobertOpp

ChiefDigitalOfficer

UnitedNationsDevelopmentProgramme

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Abouttheplaybook

Whatisthisplaybook?

ThisplaybookmapsthejourneyfromconventionalpublicservicedeliverytotheDPIapproach.

Itdemonstrateshowbuildingtheappropriatetechnologyarchitectures,governanceschemes,

anddigitalecosystemsenablesafe,inclusive,andsecurepublicandprivateservices.Itconsiderspressingissuesencounteredbycountriesastheyformulaterights-basedDPI.Itoffersexamplesandpracticalreferencetoolsandscrutinisesbothchallengesandbestpractices.

Whoisthisplaybookfor?

Theplaybookisdesignedfromacountry-centriclensasacatalysttoacceleratetheSDGs.Itisatoolforindividuals,sectors,orgovernmentswhoseektoimproveservicesand

safeguardsforpeopleviaDPI.TheplaybookfostersasharedunderstandingofcommongoalsamongstakeholdersworkingwithDPI.

WerecognizeDPI1asasetofshareddigitalsystemswhicharesecureandinteroperable,builtonopenstandardsandspecificationstodeliverandprovideequitableaccesstopublicand/orprivateservicesatsocietalscaleandaregovernedbyenablingrulestodrivedevelopment,inclusion,innovation,trust,andcompetitionandrespecthumanrightsandfundamentalfreedoms.

Publicgovernanceandaccountabilitytopeople

>

Forpublicinterest

Enablesremote,paperless,presence-lessservicedelivery

Enablerfornationalscaleinnovation:actsasbuildingblocksforlarge-scaledevelopmentofdigitalsolutions

PublicInfrastructure

Digital

>Ecosystem-ledimplementation:DPIcanbeprivate-sectorled,

public-privateled,orpublic-sectorled

Reducingcostandincreasingaccessthroughdigital

>Ecosystem-levelimpact:

Digitalrailroads

Governmentorchestration

canbeleveragedinpublicandprivatedomains

4

1.Source:G20consensusonDPI,underIndia’sG20Presidency,2023(refertotheDigitalEconomyDeclarationforexactlanguage).ThislanguageofDPIisbasedonreviewingdifferentconceptionsfromWorldBank,CDPI,DIAL,DPGA,OECD,Co-Develop,GovStack,andotherorganizations.TheplaybookpresentsapracticalunderstandingofDPItobeadaptedtouniquecountrycontexts.

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Howtousetheplaybook

Whatisaplay?

Eachplay(orsection)consistsofguidingliterature,frameworks,bestpractices,andchecklistsforyoutounlockafoundationalunderstandingofDPI.

Theplaysaremodular;youcanreadandimplementthemindependentlyofeachother,basedonyourcountry’sneeds.

ThesixplayscovertheentirejourneyofdevelopinganddeployingDPI.ThisincludesafoundationalunderstandingofDPI,scopingassessment,technology,governance,sustainability,andimplementationofDPI.

Whatdoeseachplaycontain?

Context:Compilesexistingknowledgeanddiscourseontheplay’stheme.

Framework:Providesarubricforanalysisofthecontext.

Examples:Demonstratesapplicationsoftheframeworkthroughreal-worldexamples.

Checklist:Outlinesquestionsforcountriestoconsider.

Howcanyoumakethemostofthisplaybook?

Navigateeasily:Allunderlinedtextinthisplaybookhasbeenhyperlinkedforeaseofuse.Clickonthelinksatthebottomofeverypagetonavigatebetweenandacrossplays.

Lookoutforkeypoints:Takeawaysandtipshavebeenhighlightedwiththe+symbol.

Readfurther:Linkstoadditionalresourcesaremarkedwiththeisymbol.

Printchecklistsandassessments:Somesectionsmightrequirephysicalcopies.Usethelinktotheprintablefile,markedwiththesymbol.

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Glossaryandabbreviations1/2

Buildingblocks

Softwarecode,platforms,andapplicationsthatareinteroperable,provideabasicdigitalserviceatscale,andcanbereusedformultipleusecasesandcontexts.

(GovStack)

Dataminimization

Thedataprotectionprinciplewhichrequiresthattheprocessingofdatabe

adequate,relevant,andlimitedtowhatisnecessaryinrelationtothepurposesforwhichtheyareprocessed.(GeneralDataProtectionRegulation)

Digitalization

Theprocessoftransitioningexistingbusinessesandservicestousingdigitaltechnologies,aswellastheuseofdigitaltechnologiesanddata(andthe

interconnectionthatresults)innewactivities.(DigitalImpactAlliance)

Digitalpublicgood(DPG)

Open-sourcesoftware,opendata,openAImodels,openstandards,andopen

contentthatadheretoprivacyandotherapplicablelawsandbestpractices,donoharmbydesign,andhelpattaintheSDGs.(DigitalPublicGoodsAlliance)

Digitalpublicinfrastructure(DPI)

Asetofshareddigitalsystemswhicharesecureandinteroperable,builtonopen

standards,andspecificationstodeliverandprovideequitableaccesstopublicand/orprivateservicesatsocietalscaleandaregovernedbyenablingrulestodrive

development,inclusion,innovation,trust,andcompetitionandrespecthumanrightsandfundamentalfreedoms.(India’sG20Presidency,2023)

Digitization

Theconversionofanaloguedataandprocessesintoamachine-readableformat,butthatonlytransformsthephysicalanaloguedataitselfinto1sand0s.(Digital

ImpactAlliance)

Interoperability

Theabilityofdifferentsystems,devices,orapplicationstoexchangeanduseinformationeffectively—crucialinDPIasitenablesintegration,cooperation,andtheexchangeof

informationacrossdigitalsystems.(EuropeanDataProtectionSupervisor)

OpenNetworkforDigitalCommerce(ONDC)

AninitiativebytheGovernmentofIndiaaimingatpromotingopennetworksforall

aspectsofexchangeofgoodsandservicesoverdigitalorelectronicnetworks.(PressInformationBureau,India)

OpenAPI(ApplicationProgrammingInterface)

Apubliclyavailableinterfacethatallowsdeveloperstoaccessandutilizethe

functionalitiesofaparticularsystemorservice,enablingotherprogrammestomake

useofthemasmodules.Theterm“open”impliesthattheAPIspecificationsareopenlyavailableandcanbeaccessedbyanydeveloperororganization.(OxfordReference)

Openlicensing

Theuseoflicencesthatallowuserstoaccess,use,modify,anddistributecopyrighted

workssuchassoftware,content,orcreativeworkswithfewornorestrictions.Open

licensingpromotescollaboration,sharing,andthefreeflowofknowledgeandinnovation.(CreativeCommons,MIT)

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Glossaryandabbreviations2/2

Openprotocol

Asetofrulesandspecificationsthatgoverntheexchangeofdataand

communicationbetweendifferentsystemsordevices.Itisopeninthesensethatthespecificationsarepubliclyavailablefordeveloperstointegrateorimplementwithoutrestrictions.(FoundationforInteroperabilityinDigitalEconomy)

Open-source

Referstosomething,historicallysoftware,thatpeoplecanmodify,share,and

re-usebecauseitsdesignor“sourcecode”ismadepubliclyaccessible.Open-sourceproductsprovideuniversalaccessthroughanopen-sourcelicencethatlegallyenablesit.(DigitalPublicGoodsAlliance)

Openstandards

Technicalstandardsandspecificationsthatarepubliclyavailable,developedthroughacollaborativeandtransparentprocess,andfreefromproprietary

restrictions.Thesestandardsensurethatdifferentsystemsandtechnologiescanworktogetherseamlessly,promotinginteroperabilityandavoidingproprietary

vendorlock-in.(InternationalTelecommunicationsUnion)

Privacybydesign

Integrationofdataprotectionprinciplesintothedesignofthetechnologyitself.(GeneralDataProtectionRegulation)

Proprietarysoftware

Anysoftwarethatiscopyrightedandbearslimitsagainstuse,distribution,andmodificationthatareimposedbyitspublisher,vendor,ordeveloper.Proprietarysoftwareremainsthepropertyofitsowner/creatorandisusedbyend-users/

organizationsunderpredefinedconditions.(Techopedia)

SustainableDevelopmentGoals(SDGs)

Universalcalltoactiontoendpoverty,protecttheplanet,andensurethatby2030allpeopleenjoypeaceandprosperity;adoptedbytheUnitedNationsin2015.(United

NationsDevelopmentProgramme)

UnifiedPaymentsInterface(UPI)

India’sfastpaymentssolutionthatpowersmultiplebankaccountsintoasinglemobileapplication(ofanyparticipatingbank),mergingseveralbankingfeatures,seamless

fundrouting,andmerchantpaymentsintoonehood.Italsofacilitates“PeertoPeer”payments.(NationalPaymentsCorporationofIndia)

Vendorlock-in

Whenacustomerisrestrictedandheavilydependentonaproprietarytechnology,leadingtoasituationinwhichauserisforcedtopayhighpricesandstickwitha

technologythatdoesnotmeettheirneedsduetocontractsandthelackofdataportability.(DigitalImpactAlliance)

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PLAY1

UnbundlingDPI

Creatingsafe,inclusiveandsecuredigitalsystemsthroughtheDPIapproach

Contents

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Inthisplay,youwillfind:

Context

WhatistheDPIapproach?

WhatarethesuggestedprinciplesforDPI?WhyshouldcountriesadoptDPI?

WhodrivesDPIdevelopmentandadoption?

Framework

WhichlayerscomprisetheDPIapproach?

HowcancountrieslocatetheirpositionontheDPIjourney?

Examples

HowhavecountriesprogressedtowardstheSDGsbyadoptingtheDPIapproach?

Checklist

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WhatistheDPIapproach?

Physicalinfrastructure,suchasrailroads,builtthroughpublicinvestmentslaidthefoundationforprivateinnovationandsocietaldevelopment.Similarsystemsfor

the21stcenturyarenowbeingbuiltinthedigitaldomaintosimplifytheflowofpeople,moneyandinformation,andarecollectivelyreferredtoasDPI.

DPIcreatesexponentialsocietaloutcomeswithinandacrosssectors.Itis

composedofopen,interoperabletechnologywithtransparent,accountable,andparticipatorygovernanceframeworkstounlockinnovationandvalueatscale.

DPIacceleratesprogresstowardstheSDGsandenablesdigitaltransformation

withinacountry.ByadoptingtheDPIapproach,countriesmodernizetheirservicedeliverymechanismsinasafe,inclusive,andsecuremannerwhilerespecting

humanrights,andprotectingintellectualpropertyrights.Theapproachissituatedattheintersectionoftechnology,governance,andlocalecosystems.

ThekeypillarsoftheDPIapproach:

Open,interoperabletechnology

Builtonprinciplesofopenness,interoperability,andscalability,thetechnologyarchitectureensuresthatDPIareresilient,

adaptable,andcapableofevolvingtomeetthechangingneedsofsocietyatscale.

Robustgovernance

DPIcomplementsregulatoryandpolicyframeworksby

embeddinggovernanceprinciplesdirectlyintothearchitectureoftheinfrastructuretobeinclusiveandsecure.

Resilientlocalecosystems

DPIpromotesmarketinnovationandefficientservicedeliverybychampioningtheprivatesector,civilsociety,academia,anditscommunitiesofpractitioners.

10Source:,WorldBankBlogs,2023;DEWGunderIndia’s

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WhatarethesuggestedprinciplesforDPI?

Byadheringtothefollowingprinciples,countriescanensuredigitalizationisalignedwiththeDPIapproach.

Ecosystem

Technology

Governance

Interoperability

Enableinteroperabilitybyusingopen-sourcesolutionswithatechnology-neutralapproach.

Publicbenefit,trust,andtransparency

Maximizepublicbenefit,trust,andtransparency

throughlaws,regulations,policies,andcapabilitiestoensureDPIissafe,secure,trusted,and

Inclusivity

Eliminateorreduceeconomic,technical,orsocialbarrierstoenablelast-mileaccess,andavoid

erroneousalgorithmicbias.

Modularityandextensibility

Useabuildingblockapproachtoaccommodate

changestoexistingarchitecturewithoutdisruption.

Scalability

Useflexibledesigntoeasilyaccommodategrowingdemandwithoutchangingexistingsystems.

Securityandprivacybydesign

Embedkeysecurityfeatureswithinthecoredesigntoensureindividualprivacy,dataprotection,and

technologyresilience.

transparentlygoverned,promotescompetition

andinclusion,andadherestodataprotectionandprivacyprinciples.

Humanrights

Adoptanapproachthatrespectshumanrightsattheplanning,designing,building,andoperatingstages.

Grievanceredressal

Defineaccessibleandtransparentmechanisms

forgrievanceredressal,i.e.,usertouchpoints,

processes,andresponsibleentities,withastrongfocusonactionsforresolution.

Collaboration

Encouragetheparticipationofcommunityactors

atdifferentstagesofplanning,designing,building,andoperatingtofacilitatethedevelopmentofuser-centricsolutions.

Intellectualpropertyprotection

Protectandprovideadequateandeffective

enforcementofintellectualpropertyrightsfortherights-holdersoftechnologiesandothermaterialsusedinDPIbasedonexistinglegalframeworks.

Sustainability

EnsuresustainabilityofDPIthroughmulti-stakeholderparticipationthatensuresadequatefinancingfor

uninterruptedoperationsandseamlessuser-focusedservicedelivery.

11Source:SuggestedprinciplesforDPIdevelopedunderIndia’sG20Presidency,2023

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WhyshouldcountriesadoptDPI?

Digitalizationincountriesisinevitable.Aninclusive,innovative,andcompetitiveoneisnot.TheDPIapproachhelpscountriesembedrobustgovernance,safeguarditspeople,andaddressthefourmainpurposesidentifiedbelow.

Inclusion

Countriesareunabletodeliverservicestolast-mileefficiencyasexistingmechanismssufferfromdelays,leakages,and

targetingerrors—oftenexcludingwomenandothermarginalizedcommunities.Throughinclusivedesign,DPIhelpovercomesuchchallengesbystreamliningservicedeliveryandensuringequityandempowerment.

Resilience

Publicemergencies(likeCOVID-19andnaturaldisasters)mayimpairconventionalmodesofservicedelivery.DPIhelps

overcomethesebarriersbyenablinguninterrupted,remoteassistancethroughdigitalnetworksoperatingatnationalscale.

Sovereignty

Centralizeddecision-makingandlegacysoftwarerestrictcountriesfromimaginingnewdigitalsolutions.DPIareopenandinteroperable,whichofferscountriestheautonomyandflexibilitytoplan,design,andimplementtheirdigitalsystems.

Innovation

TheDPIapproachallowsmultiplestakeholders—governments,privatesector,andcivilsociety—tocollaborate(throughpublic-privatepartnerships,forexample)andcontributetoinnovationinthedigitalecosystem,enablingfairmarketcompetition.

+UsethislisttoidentifyotherpurposesofDPIthatsuityourcountry’scontext.

iClickheretolearnmoreaboutgender-inclusivedigitaleconomies.

12

Sinlioue:DiiPIue,,dI,

,re;

ge,2023

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WhodrivesDPIdevelopmentandadoption?

DPIecosystemsarecomposedofmulti-stakeholderarrangementsthatcontributetoboththetechnicalandnon-technicalaspects.

STAKEHOLDERS

TECHNOLOGYSTACK

Refertopage26(Play3)

GOVERNANCE

Refertopage34(Play4)

SUSTAINABILITY

Refertopage42(Play5)

Publicsectorregulates,providesfundingfor,innovates,andcontributestothewide-scaleimplementationofDPI.

Privatesectorprovidesfunding,technologyinnovation,technologystandardsforusage,andintellectualresourcesforDPIdevelopment.

Open-sourcecommunitysupportsthedevelopmentofstandardsand

protocols,buildsopen-sourcetechnology,providesintellectualresources(e.g.throughvolunteering),andadvocatesforopen-sourceadoption.

Developmentactorspromotebestgovernancepractices,facilitate

collaboration,andprovideofflineintermediationforon-groundDPIadoption.

Philanthropiesprovidegrantsforafixedperiodoftime,supportthe

developmentofbasicinfrastructure,andpromoteprivatesectorinnovation.

●Highengagement

●Mediumengagement●Lowengagement

Civilsocietyorganizationsandend-usersco-designDPIandhelpraiseawarenessaboutDPI.

+

Thisissuggestiveofstakeholders’involvementinDPIdevelopmentandadoption—reflectontheextentoftheirinvolvementinyourcontext.

Noengagement

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Context

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WhatarethelayersthatconstitutetheDPIapproach?

DPIreferstoasetofshareddigitalsystemswhicharesecureandinteroperable,builtonopenstandardsandspecificationstodeliverandprovideequitableaccesstopublicand/orprivateservicesatsocietalscaleandaregovernedbyenablingrulestodrivedevelopment,inclusion,innovation,trust,competitionandrespecthumanrightsandfundamentalfreedoms1.

<Connectivitylevel>

DELIVERYMODES

OnlineSemi-onlineOffline

<Servicechannel>

Self-serviceAssisted(agents)

<Devicetype>

DesktopSmartphoneFeaturephoneDevice-free

Etc.

SECTORAL

APPLICATIONSTO

LOCALECOSYSTEMS

Digital

commerce

Digital

education

Digitalhealth

Digitalfinancialservices

Digitalclimateaction

Digitaltransportandtourism

Smartcities

Digitalinindustrials

Jobsandskilling

Digitalagricultureandfisheries

Etc.

+

COREDPI2unlockDPIpotentialthroughopenstandards,open-

sourcesoftware,andopen

ApplicationProgrammingInterfaces(API)thatenabledifferentDPI

systemstocommunicate3.

Refertopage29(Play3)formoreinformation.

Digitalidentity4

Digitalpayments5

Consent-baseddatasharing6

Othersemerging7...

COREDPI

GOVERNANCEFOUNDATIONS

+Refertopage36(Play4)

formoreinformation.

Strategicleadershipanddigitalcapacity

tosetlong-termambition,alignpolicy,securefinancing,andsettechnicalstandards

Independentandaccountableinstitutions

topreventoverreachesbythestateandprotectpeople’swelfare

Legislativeandregulatoryframeworks

topromoteinclusionandinnovation,resolvedisputes,andencoderespectforprivacy

Stakeholdercollaboration

tocollectuserfeedbackandmanagesystemperformance

1.Source:DEWGunderIndia’sG20Presidency,2023.

2.CoreDPIfunctionsdefinedinDEWGunderIndia’sG20Presidency,2023.Thesecategoriesaredynamicinnature;theymayevolveasmoretechnologiesmatureandbecomecoresystems.

3.Source:DEWGunderIndia’sG20Presidency,2023.

4.Theabilityforpeopleandbusinessestosecurelyverifytheiridentity,aswellascomplementarytrustservicessuchasElectronicSignaturesandverifiablecredentials.Source:DEWGunderIndia’sG20Presidency,2023.

5.Easyandinstanttransferofmoneybetweenpeople,businesses,andgovernments.Source:DEWGunderIndia’sG20Presidency,2023.

6.Seamlessflowofpersonaldataacrosspublicandtheprivatesectors,withsafeguardsforpersonaldataprotectionasperrelevantapplicabledatagovernanceframeworks.Source:DEWGunderIndia’sG20Presidency,2023.

7.TheremaybeotheremergingcoreDPItechfunctions,suchasDiscovery&FulfilmentandGeospatialDPI.

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Context

Framework

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HowcancountrieslocatetheirpositionontheDPIjourney?

Everydigitalizationjourneyisunique.Countrieswillhavetomakechoicesaroundtechnology,governanceandmarketparticipationbasedoninternalcapacity,nationalprioritiesanddevelopmentneeds.EvaluatingDPIalongthischarthelpscountriestrackprogressmadeinimplementationacrosssectors.

+

Duetocountries’varyingneeds,progressionacrossthesestagesisunlikelytobeaslinearasdepicted.Referto

UNDP’sDigitalDevelopmentCompass

tocompareprogressinothercountries.

>

Stage1Stage2Stage3

Governancemustprotectpublicinterest,humanrights,datasecurity,andprivacyaswellassettledisputesandhold

partiesaccountable

DPIinearlystageofmaturity

•Networksbasedonpublishedopen

specifications,sharedprotocols,oropen

APIs(andDPIarchitecturedesignprinciples),butwithlowecosystemadoptionorlow

qualitymarketecosystemimplementation

•Papercertificateswithbasicverifiability

viadigitallysignedQRcodes,butlackingAPIfetchaccess

DPIinlaterstagesofmaturity

•HighscaleinteroperablenetworkswithmultiplepublicandprivateparticipantsleveragingopenAPIs,open

standards/specifications,orsharedprotocols

•Multi-modalaccesstothenetworkviasmartphone,featurephone,orno-phone(agent)

•DigitalcredentialswithAPI-basedaccessacrossmultipleapps

Technologymustbeminimalist,adaptable,reusable,scalable,andresilient

DigitalassetsnotyetoperatingasDPI

•Asinglegovernmentplatform,app,

certificatesystem,ordatabaseofferinga

service,butwithlowreusabilityatscale(e.g.limitedAPIaccesstooutsideplayers,ora

certificatewithoutelectronicverifiability)

•Multipleprivatelyownedsilonetworkswhicharenotinteroperable

Combinationofinstitutionswithmandatesdriving:

•Participatorycommunitygovernance

•Consultativepolicy-setting,standard-setting

•Clearframeworksfordisputeresolution

Lowdegreeofformalgovernance

•Absenceofnecessa