LIPSE Research Report #5

Determinants and Barriers of Adoption, Diffusion and Upscaling of ICT-driven Social Innovation in the Public Sector: A Comparative Study Across 6 EU Countries Authors: Greta Nasi* (Bocconi University); Maria Cucciniello (Bocconi University); Valentina Mele (Bocconi University); Giovanni Valotti (Bocconi University); Raffaele Bazurli (Bocconi University); Hanna de Vries (Erasmus University Rotterdam); Victor Bekkers (Erasmus University Rotterdam); Lars Tummers (Erasmus University Rotterdam); Mila Gascó (ESADE); Tamyko Ysa (ESADE); Charlotte Fernández (ESADE); Adrià Albareda (ESADE); Ani Matei (NSPSPA); Carmen Savulescu (NSPSPA); Catalina Antonie (NSPSPA); Elis Bianca Balaceanu (NSPSPA); Nemec Juraj (Matej Bel University); Mária Svidroňová (Matej Bel University); Beata Mikusova Merickova (Matej Bel University); Marta Oviska (Matej Bel University); Vanessa de Froidcourt (ENA); Michel Eymeri-Douzans (ENA) & Erwane Morette Monthubert (ENA).

* Corresponding author Department of Policy Analysis and Public Management Università Commerciale “Luigi Bocconi” Via Röntgen, 1, 20136, Milan (Italy) [email protected]

The research leading to these results has received funding from the European Union’s Seventh Framework Programme under grant agreement No. 320090 (Project Learning from Innovation in Public Sector Environments, LIPSE), Socioeconomic Sciences and Humanities. LIPSE is a research programme under the European Commission’s 7th Framework Programme as a Small or Medium-Scale Focused Research Project (2011-2014). The project focuses on studying social innovations in the public sector (www.lipse.org).

Adoption, Diffusion and Upscaling of ICT-driven Innovation

Table of contents

Executive summary .................................................................................................................................... 4 1. Introduction ............................................................................................................................................. 7 2. Theoretical framework ............................................................................................................................ 9 2.1. Determinants and barriers of the outer context............................................................................. 10 2.2. Determinants and barriers of the inner context ............................................................................. 14 2.3. Types of adopters .......................................................................................................................... 18 2.4. Theoretical framework ................................................................................................................... 20 2.5. Conclusion ..................................................................................................................................... 22 3. Introduction to the empirical analysis ................................................................................................... 24 3.1. Research process.......................................................................................................................... 24 3.2. Reference framework .................................................................................................................... 25 3.3. Institutional contexts and governance traditions ........................................................................... 27 4. Empirical analysis on e-procurement ................................................................................................... 33 4.1. Research design............................................................................................................................ 33 4.1.1. Study setting ........................................................................................................................... 33 4.1.2. Data and methods .................................................................................................................. 37 4.2. E-procurement findings ................................................................................................................. 40 4.2.1. Overview ................................................................................................................................. 40 4.2.2. Determinants and barriers of the outer context ...................................................................... 43 4.2.3. Determinants and barriers of the inner context ...................................................................... 57 4.3. Conclusion: Recommendations and implications in implementing e-procurement ...................... 68 5. Empirical analysis on telework ............................................................................................................. 75 5.1. Research design............................................................................................................................ 75 5.1.1. Study setting ........................................................................................................................... 75 5.1.2. Data and methods .................................................................................................................. 78 5.2.Telework findings............................................................................................................................ 82 5.2.1. Overview ................................................................................................................................. 82

LIPSE Research Report #5

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Adoption, Diffusion and Upscaling of ICT-driven Innovation 5.2.2. Determinants and barriers of the outer context ...................................................................... 85 5.2.3. Determinants and barriers of the inner context ...................................................................... 96 5.3. 6.

Conclusion: Recommendations and implications in implementing telework .......................... 105

Overall conclusion on the adoption and upscaling of ICT-driven social innovation ....................... 111

References ............................................................................................................................................. 115 Appendix 1: Glossary ............................................................................................................................. 125 Appendix 2.A: Theoretical framework (outer context)............................................................................ 126 Appendix 2.B: Theoretical framework (inner context) ............................................................................ 127 Appendix 3.A: Overview on the organizations analyzed for the e-procurement analysis ..................... 128 Appendix 3.B: E-procurement qualitative analysis protocol .................................................................. 133 Appendix 3.C: E-procurement survey protocol ...................................................................................... 137 Appendix 3.D: E-procurement determinants and barriers (qualitative analysis) ................................... 140 Appendix 3.E: E-procurement determinants and barriers (quantitative analysis) ................................. 143 Appendix 4.A: Overview on the organizations analyzed for the telework analysis ............................... 144 Appendix 4.B: Telework qualitative analysis protocol ............................................................................ 147 Appendix 4.C: Telework survey protocol ............................................................................................... 151 Appendix 4.D: Telework determinants and barriers (qualitative analysis)............................................. 154 Appendix 4.E: Telework determinants and barriers (quantitative analysis)........................................... 156


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Executive summary Public sector innovation and social innovation nowadays represent well-consolidated issues among both scholars and policymakers. However, scarce attention has been paid to the role of later adopters of social innovation, who have been influenced by different factors compared to innovators and forerunners. The role of followers, late adopters and laggards is indeed critical to ensuring the upscaling of innovation. This is because overcoming a “shallow-patterned” diffusion requires a critical mass. The aim of our research is to assess the determinants and barriers of adoption, diffusion and upscaling of a specific typology of innovations in the public sector: ICT-driven social innovations. In particular, this research focuses on two innovative practices in the public sector. The first is eprocurement, which refers to the use of information and communication technologies (ICTs) to carry out a number of stages of the procurement process, including search, sourcing, negotiation, ordering, receipt, and post-purchase review. This technology is relevant because it contributes to a more dynamic, transparent and competitive environment in which government has to operate. The second type refers to ICT and new media technologies that are focused on the creation of new ways of working (so-called telework), which provide civil servants with instruments to work at home, while making use of the ICT and data infrastructure of their organizations. This offers new possibilities to public employees to co-create a working environment that is compatible with their desired work/life balance. It is also an important attribute for enhancing the attractiveness of the public sector as an employer. This research therefore aims: 

To theoretically and empirically identify the drivers and barriers that play a role in upscaling ICTdriven innovations in two policy fields (e-procurement and telework), in relation to the specific characteristics of followers, late adopters and laggards in six European countries;



To develop policy guidelines and instruments that public decision-makers can use to improve adoption, diffusion and upscaling of ICT-driven innovations;



To disseminate the research results and policy recommendations.

In the first chapter, the relevance and the context of ICT-driven social innovation are introduced. We explain why such practices are particularly relevant in the present European context. Moreover, we clarify the pivotal role played by later adopters in ensuring the success of innovation policies in the public sector. A theoretical framework is then presented in the second chapter. This has been developed through a systematic review of the most prominent literature on ICT-driven social innovation in the public sector. Determinants and barriers are articulated on three levels of analysis and successively replicated in organizing the empirical results. First, a distinction is made between the outer and the inner contexts to which determinants and barriers belong. Within each context, a number of dimensions are designed to obtain a more fine-grained analysis. Eventually, single determinants and barriers are


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Adoption, Diffusion and Upscaling of ICT-driven Innovation examined, so as to verify their positive/negative influence on adoption, diffusion and upscaling, and to cluster them on the basis of the type of adopter considered (i.e. innovators, followers, late adopters or laggards). In light of the theoretical framework, a general overview of the six countries comparatively analysed is provided in the third chapter, which takes into account various country-specific features that are relevant in the realm of ICT-driven social innovation. Such contextual characteristics are economic, social, demographic, institutional and – most notably – technological in nature. Institutional contexts and governance traditions are also taken into account. Next, two distinct empirical analyses are presented. The fourth chapter focuses on eprocurement while the fifth centres on telework. For each innovation analysed, the study setting and research design are first presented. The empirical analysis has encompassed both qualitative and quantitative methodologies. In the first case, 60 semi-structured interviews were conducted within 10 organizations in the six countries. In order to generalize the findings, surveys were conducted both at the regional and local levels. The questionnaires were tailored to take into account the results of the qualitative analysis. The research shows how particular determinants and barriers affect the adoption and upscaling of both e-procurement and telework. However, such factors are not strictly technical in nature. As human-executed processes, these ICT-driven social innovations require organizational changes that not only deal with ICT skills and capabilities, but also represent basic enabling conditions. In the case of e-procurement, legislative obligations and mimetic pressures are the most powerful drivers from the outer context, especially for later adopters and non-adopters. Conversely, regional budget constraints represent possible barriers to the implementation of e-procurement. Innovators are instead more heavily influenced by political factors, such as the support of politicians and the presence of inter-organizational conflicts. With respect to the inner context, robust managerial support provided by committed and visionary leaders is a strong facilitator for adoption and upscaling. Such actors can foster the implementation, enacting training and consulting activities which take into account both technical aspects of e-procurement and, more importantly, the organizational reshaping that this implies. Change management is therefore a tool to be employed for emphasising the benefits achievable through a fully-fledged upscaling of e-procurement and to overcome the obstacle of a riskaverse bureaucratic culture within organizations. The research on telework has highlighted the importance of need-based demands and geomorphological contexts as drivers from the outer context. These elements are intertwined. The typical challenges faced by contemporary Western societies, such as the necessity of pursuing a better work/life balance, are also connected to geographical setting (e.g. densely inhabited urban areas). Public sector organizations are thus required to be responsive to such aspects, taking into account their territorial specificities. We also noticed how positive imitation can emerge as a powerful determinant among later adopters and non-adopters. With respect to the inner context, bottom-up spontaneous


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Adoption, Diffusion and Upscaling of ICT-driven Innovation initiatives by employees can determine the success of telework adoption. These have to be supported by top management, in order to provide the necessary guidance and boundaries. A major obstacle is represented by a bureaucratic culture that focuses on processes rather than on results. In order to highlight the benefits achievable through telework (which are also economic in nature), training activities are fundamental, as they allow managers and employees to handle organizational and psychological spillovers of distance work. Finally, experimentation with telework on a narrow organizational basis is also positively influential, since pilot projects allow an organization to limit the risks of implementation and to convince more sceptical members of the organization. In the sixth chapter, general conclusions on the adoption and upscaling of ICT-driven social innovations in public sector organizations are presented. Meaningful policy recommendations and practitioner implications are provided on the basis of the findings and triangulation of all the collected evidence, beyond the individual cases of e-procurement and telework. These can be briefly summarized as follows: 1. To strengthen the investments in ICT infrastructures (e.g. broadband connections) for eliminating territorial digital divides. 2. To disseminate existent best practices that generate a willingness to imitate and to publish data on the benefits other organizations achieved through implementation. 3. To elaborate policy guidelines at the national and sub-national levels of government that provide public sector organizations with clear and ambitious objectives, possibly in line with related EU strategies. 4. To provide stable and robust political support to innovative initiatives, beyond the changes of leadership triggered by electoral cycles. 5. To enhance the quality and quantity of ICT equipment within public sector organizations. 6. To engage top management in steering and/or controlling the various stages of implementation, including the design, experimentation, adoption and eventual upscaling. 7. To pay attention to change management as a tool for modifying employees’ preferences and their perception of relative advantage. 8. To invest in training and consulting activities that holistically take into account both technical aspects related to the use of ICT-driven innovations and (more importantly) the organizational implications of their implementation.


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1. Introduction Since the rise of the New Public Management (NPM) paradigm, growing attention has been paid to the issue of public sector innovation. In an attempt to explore the peculiar determinants and barriers of this phenomenon, which can sensibly differ from business environments, scholars have progressively developed a fully fledged field of study on the subject. Perhaps paradoxically, the decline of NPM since the 1990s has paved the way for further developments in this field of study (Dunleavy et al. 2006), surpassing the existent model through the exploration of innovative tools for stakeholder involvement in decision-making (e.g. Cristofoli and Valotti 2005; Voorberg, Bekkers and Tummers 2014). Not only academics have emphasised the relevance of social innovation in the public sector. Such pronouncements have been embedded into political agendas at the sub-national, national and supra-national levels of government. Social innovation in the public sector has even become a crucial topic in political discourses and electoral campaigns. The European Union (EU) itself has accepted this challenge1 as a means of coping with the current economic and social crisis, characterized by a deepening of citizens’ needs for public services and the simultaneous shrinking of public resources. Innovating the public sector – to which is ascribable almost half of EU GDP, 20% of goods and services purchases and 17% of employment – is therefore an essential policy objective. In light of this context, this research aims to assess the determinants and barriers of social innovation in the public sector under particular perspectives. First, attention is paid to the role of information and communication technologies (ICTs), which can spread social innovation thanks to their capacity for processing large volumes of data and enabling communication across temporal, functional and geographical boundaries (Bekkers and Homburg 2005). ICT-driven social innovations are technical in nature. However, their political and social spillover effects depend on the context’s specificities in which stakeholders apply them. In this sense, the introduction of ICTs usually implies organizational change (e.g. Nasi et al. 2011). This report focuses – albeit not exclusively – on two specific ICT-driven innovations in the public sector. The first is e-procurement, which refers to the use of ICTs to carry out a number of stages of the procurement process, including search, sourcing, negotiation, ordering, receipt, and post-purchase review. This technology is relevant because it contributes to a more dynamic, transparent and competitive environment in which government has to operate. The second type refers to ICT and new media technologies that are focused on the creation of new ways of working (so-called telework), which provide civil servants with instruments to work at home, while making use of the ICT and data infrastructure of their organizations. This offers new possibilities to public employees to co-create a working environment that is compatible with their desired work/life balance. It is also an important attribute for enhancing the attractiveness of the public sector as an employer.

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Cf. EU Social Innovation, the Digital Agenda for Europe (established by the European Commission as a flagship initiative of the Europe 2020 Strategy) and the European eGovernment Action Plan (2011 – 2015).


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Adoption, Diffusion and Upscaling of ICT-driven Innovation Second, the research focuses on the late stages of the innovation cycle, and therefore on the role played by later adopters. According to the distinction delineated by Damanpour (1991), a difference between innovation generating processes and innovation adopting processes exists. Despite the overall fuzziness and complexity of such dynamics, the innovation cycle is examinable in distinct phases. Once innovation has been prototyped and discovered by an organization, the challenge is to replicate it and scale it up (Mulgan and Albury 2003). Diffusion and adoption can thus be seen as innovation processes per se, because a fully fledged reinvention is often required in order to tailor and adapt them to different contexts. For this reason, specific determinants and barriers characterize these stages of the cycle. For example, the ability to produce short-term, visible and concrete benefits is crucial for diffusing innovations (Rogers 2003). Nonetheless, the issue of late adopters and “laggards” has not been sufficiently investigated (Albury 2005). This research attempts to do this and also to cluster determinants and barriers into specific types of adopters (i.e. innovators, followers, late adopters and laggards)2. Connected to this, attention will be paid to analysing the phase of upscaling, which is essential for ensuring longer-term effects and for fully diffusing those innovations characterized by “spotty” diffusion and shallow patterns (Jun and Weare 2011), up to the achievement of “critical mass”. On the basis of these premises, this research seeks to accomplish the following goals: 

To theoretically and empirically identify the drivers and barriers that play a role in upscaling ICTdriven innovations in two policy fields (e-procurement and telework), in relation to the specific characteristics of followers, late adopters and laggards in six European countries;



To develop policy guidelines and instruments that public decision-makers can use to improve adoption, diffusion and upscaling of ICT-driven innovations;



To disseminate the research results and policy recommendations.

This report is structured as follows. First, the theoretical framework used for the cross-country comparison is presented (Chapter 2). A general overview on the innovation landscape is then provided (Chapter 3), specifying the contextual characteristics of the countries analysed, including in terms of ICT readiness. Chapter 4 is fully dedicated to the e-procurement empirical analysis, while Chapter 5 concerns the practice of telework. In both the cases, policy recommendations and practitioner implications are provided at the end of the analyses, on the basis of the findings and the triangulation of all the collected evidence. Finally, overall considerations on the adoption and upscaling of ICT-driven social innovation are developed in Chapter 6.

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These ideal types are generally based on Rogers’ theory on diffusion of innovations (2003).


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2. Theoretical framework The theoretical framework used to structure the empirical analysis is presented in this section. It is based on a systematic literature review previously developed for the LIPSE WP5 itself, which draws on 194 journal articles methodically identified and another 59 relevant publications. These represent the scientific state-of-the-art on ICT-driven social innovation in the public sector. As stressed in the literature (e.g. Damanpour 1991; Borins 2001), determinants can act as facilitators and/or barriers, depending on the inherent context, the interaction among them, the stage of the innovation cycle, etc. For this reason, we aimed at developing a more fine-grained analysis by understanding these influential factors, i.e. whether they are more likely to promote (e.g. drivers and facilitators) or impede (e.g. barriers and obstacles) adoption, diffusion and upscaling. In other words, whether barriers are determinants that may negatively affect the adoption of innovation. Determinants and barriers are organized into three levels of “unpacking”, thus allowing us to narrow the unit of analysis. First, a distinction is applied to the outer and the inner contexts from which such influencing factors arise. The outer context concerns the wider environmental factors, while the inner context relates to those characteristics that are intrinsically connected with the organization. Similar differentiations are employed by Norris and Moon (2005), who make a distinction between environmental and organizational factors, and by Walker (2014), who has distinguished between internal and external antecedents of innovation in the public sector. Second, a variety of dimensions are identified within each of these two contexts, which follow the prevalent classifications found in the literature. In particular, the determinants and barriers of the outer context have been classified into seven dimensions, which are: (1) inter-institutional dynamics (e.g. Bhatti et al. 2011, Mulgan and Albury 2003); (2) legislative factors (Nasi and Steccolini 2008; Jaeger 2002; Evers et al. 2014); (3) political factors (e.g. Lee et. al. 2011; Ask et al. 2008); (4) economic factors (e.g. Nelson and Svara 2012; Lonti and Verma 2003); (5) social factors (e.g. Reddick and Norris 2013, Walker et al. 2011); (6) demographic factors (e.g. Moon 2002); (7) technological factors (e.g. McNeal et al. 2007). With respect to the inner context, three dimensions are recognized: (1) organizational factors (e.g. Damanpour 1987; Nasi et al. 2011); (2) individual factors (e.g. NedovićBudić and Godschalk 1996; Moon 2002); (3) technological factors (e.g. Gascó et al. 2013; Reddick 2004). Third, within each dimension, single determinants and barriers are grouped to assess their impact on the various stages of the innovation process considered (i.e. adoption, diffusion and upscaling) and on the four adopters’ categories (i.e. innovators, followers, late adopters and laggards). These stages and types of adoption can refer to e-procurement, telework or other ICT-driven social innovations in the public sector.


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2.1. Determinants and barriers of the outer context Inter-institutional dynamics The presence of similar entities within the same environmental context emerges as one of the most crucial determinants in adopting, diffusing and upscaling ICT-driven social innovations. A vast share of the literature emphasizes how emulative organizations are, this is noteworthy for late adopters, followers and laggards. These phenomena are described as inter-jurisdictional competition (Jun and Weare 2011; Bailey 2011), isomorphism (Meyer and Rowan 1977, DiMaggio and Powell 1983, Powell 1991; Thatcher et al. 2006) or mimicking (Bouckaert 2008, Pollitt and Bouckaert 2011, Walker et al. 2011) and prove also to be critical in the specific case of e-procurement (Kassim and Hussin 2013). Adopting innovative practices thus becomes desirable for organizations operating in the same field (Roy and Seguin, 2000); they tend to emulate innovative organizations (Di Maggio and Powell 1983, Powell 1991; Bason 2010). For instance, Bhatti et al. (2011) examine how institutional, political and economic characteristics of Danish municipalities influence the likelihood of adoption and diffusion. Their findings underline that mimicry, learning or competition can cause innovations to cluster geographically. Mulgan and Albury (2003) emphasised this concept in the attempt of explicating the meaning of “upscaling innovation”3. Governments have usually adopted two instruments for replication: (1) law, central direction and administrative command; (2) dissemination of evaluations of pilots, case studies and best practices. Both these tools have sometimes proven to be insufficient or inadequate for upscaling, since an implicit “idea-push” model of innovation is at work. Instead, “pull” factors can drive greater success. These include various typologies of incentives, such as quasi-market (competitive) dynamics and the identification of “beacons”. The promotion strategy applied by the original innovator is thus the primum movens of diffusion (Korteland and Bekkers 2007). Such imitative and competitive pressures are insightful also because they emerge – by their own nature – as prominent determinants for later adopters (i.e. followers, late adopters and laggards) rather than for innovators. Kwon and colleagues (2009) have investigated the adoption of economic development strategies by US local governments, paying specific attention to the timing of such an adoption4. Their findings show the pivotal role of isomorphism in diffusing innovations among later adopters. However, Jun and Weare (2011) underline how mimetic pressures can be insufficient for avoiding diffusions with shallow patterns.

Legislative factors In addition to imitative pressures, legislative ones also emerge as powerful determinants. Nonetheless, the impact of such factors can either be positive or negative. On the one hand, wellarticulated legislation can promote adoption and diffusion, as in the case of local accounting reforms in 3

The definition of upscaling that we offer here is indeed inspired by Mulgan and Albury’s work. Kwon et al. (2009) explicitly stated: “how are the factors that influence policy adoption in the latter period of time different from the factors that influence early adoption?” 4


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Adoption, Diffusion and Upscaling of ICT-driven Innovation Italy (Nasi and Steccolini 2008) and of innovative welfare pilot projects at the US state level (RogersDillon 1999). Yet, Jaeger (2002) suggests that US constitutional settings can turn out to be problematic in implementing e-government practices. In a similar way, one of the main findings that emerged from the WILCO project (cf. Evers et al. 2014) – through the analysis of 77 welfare innovations at the local level in Europe – is the negative influence of large-scale uniform regulations on citizens involvement in co-creating innovations. This “dual role” of law is also confirmed by the literature on e-procurement. Regulations and administrative dispositions may eliminate the existent barriers (Cattaneo 2012; Rivera Leon et al. 2012). However, legal constraints may sometimes frustrate or even jeopardize adoption and upscaling (Hawking and Stein 2004; Cattaneo 2012). For example, the requirements (particularly for bidder authentication and new litigation threats) can be too onerous, for both public buyers and suppliers (ibidem).

Political factors Law is strictly connected to political attitudes, whose role as determinants of technological innovation is well established in the literature (e.g. Bingham 1978). Perhaps not surprisingly, political support for innovation emerges as a positive determinant, while conflicts can act as barriers (Walker et al. 2013; Bouaziz and Chaabouni 2012; Kannabiran et al. 2008; Schwester 2009; Considine et al. 2009; Mahrer 2005; Nyirenda and Cropf 2010). Beside this general evidence, scholars address the study of politics under a variety of perspectives. For example, Ahn (2011) stresses the positive association between the adoption of e-communication applications in US municipalities, citizen involvement and the degree of political competition. The same author, however, remarks how the presence of traditional channels of political communication is a potential barrier to adoption. Liptrott (2006) has instead investigated which factors influence the decision by British local authorities to adopt (or not to adopt) evoting. His findings also include among these elements the political environment instigated by central government. Rodriguez Dominguez and colleagues (2011) argue that government reforms for improving administrative effectiveness and governments with a majority in parliament influence egovernment development in a positive way. It has also been argued that decentralized countries adopt e-government faster than centralized ones (e.g. Gascó et al. 2013). Moreover, the form of government emerges as a determinant in the development of e-government and innovations in general (Reddick 2009b; Reddick and Norris 2013; Walker 2013). This is particularly interesting since such forms of government seem to vary according to the type of adopter considered. Indeed, later adopters are much more likely to be mayor-council, while early adopters are more likely to represent the manager-council form (Kwon et al. 2009).

Economic factors The economy can be an influential factor. In general, a positive association seems to exist between community wealth and the likelihood of innovating: this is true both for the adoption per se


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Adoption, Diffusion and Upscaling of ICT-driven Innovation (Ahn 2011; Manoharan 2013; Sapat 2004) and for the diffusion (Bhatti et al. 2011) of ICT-driven innovations. For instance, economic growth and employment have facilitated the adoption of egovernment practices in US municipalities (Nelson and Svara 2012). Moreover, Rodriguez Dominguez et al. (2011) – analysing the national governments of 192 countries – emphasize the positive influence of economic development (a country's GDP) and significant fiscal capacity on the diffusion of egovernment worldwide. Some studies, however, indicate that the adoption and spread of innovation appears to be positively associated with the presence of budget constraints (Lonti and Verma 2003). At the same time, the economy can also raise barriers to innovation. Nyirenda and Cropf (2010) find how an unfavourable investment climate and market structures can impede the implementation of ICTdriven social innovation, especially in developing countries.

Social factors In addition to the economy, general social contexts can also be impactful. The level of citizens’ education seems to be one of the most important determinants (e.g. McNeal et al. 2007; de Guzman and Jones 2012; Pollitt and Dan 2011), also in terms of individual ICT literacy and readiness (e.g. Karunasena and Deng 2012). For example, the positive role of education is stressed by Reddick and Norris (2013) in their study on the adoption of e-services in US local governments. Public opinion, behaviours and preferences deserve great attention as well, since external pressures and need-based demands for services and ICT infrastructures trigger diffusion dynamics (Binghman 1978; Walker et al. 2011; Bhatti et al. 2011). Among the most noticeable contributions, Walker et al. (2011) analyse the diffusion of policy innovations in 336 local governments in the U.K. over four years (2001-2004). Their findings highlight how both high and low innovative jurisdictions are strongly influenced by user demands and the consequent degree of responsiveness vis-à-vis such requests. Highly innovative organizations primarily respond to their main stakeholder (i.e. central government) and do not search for innovative ideas from other institutions. Scarcely innovative organizations can, instead, be characterized as reacting subjects. In any case, responsiveness to citizens’ pressure is a highly significant determinant of adoption and diffusion of innovation. Such social characteristics can also be observed in terms of relationships between institutions and external stakeholders, which have proven to be powerful drivers or barriers (e.g. Kamal et al. 2011; Oliveira and Welch 2013; Sapat 2004; Pollitt and Dan 2011; Nu’man 2012; Grimsley and Meehan 2008; Papadopoulou et al. 2010; Voolberg et al. 2014). For instance, citizens’ trust vis-à-vis institutions has proven to be crucial in the adoption of e-government by South Korea's Supreme Court Registry Office (Kim et al. 2007). Such relationships may regard not just the citizenry, but also providers and suppliers (Ask et al. 2008; Romzek and Johnston 2005; Walker et al. 2013), in particular for e-procurement (Kassim and Hussin 2013). The interaction with such third parties is essential for its implementation and needs to be sustained by a solid supply chain (Hawking et al. 2004). Conversely, these actors can raise barriers to change if they are reluctant to the introduction of e-procurement (Cattaneo 2012).


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Demographic factors Numerous authors also mention the size of geographical contexts – in terms of number and/or density of inhabitants – as a key influential factor. Generally speaking, the larger the population, the more likely the adoption and diffusion (Moon, 2002; Nelson and Svara, 2012; Pina, Torres and Royo, 2010; de Guzman and Jones 2012). Moon (2002) brings evidence from the 2000 E-government Survey. Whereas 98 per cent of US cities with populations over 50,000 have their own websites, this percentage is roughly 79 per cent for municipalities with populations between 10,000 and 24,999. Kwon et al. (2009) additionally notice how, in diffusion dynamics, the context size is a powerful determinant for early – rather than later – adopters.

Technological factors Finally, national and/or regional infrastructural ICT capacity is critical for e-government implementation (Nyrienda and Cropf 2010; Karunasena and Deng 2012; Backhouse 2007; Nabafu and Maiga; Alatawi et al. 2013). Ghani and Said (2010), for example, studied the practice of digital reporting among Malaysian local authorities. Their findings show how the lack of IT facilities in these contexts is a factor deterring adoption. In the specific case of telework, Unguream (2007) pinpoints that technological factors such as telephone network capacity, connection and transfer speeds, telecom liberalization and ease of use may be conducive to such innovations. However, this is not always translated into public policy. For example, Kyriakidou et al. (2012) argue that while the European Commission has issued a number of policy documents aimed at fostering an information society and e-government, it more recently realized that a set of complementary measures was needed in order to facilitate a wider adoption of broadband services, such as the implementation of broadband networks. Other studies further refine the notion that household access to the internet is associated with higher demand for egovernment services. In their study on the adoption and diffusion of e-disclosure laws, for example, McNeal et al. (2007) argue that the service or policy has to be salient among the general public before a higher rate of internet access can be expected to translate into higher demand. This is connected with the issues of ICT literacy and need-based demands mentioned earlier. Information security is another important factor that can influence the adoption of ICT-driven innovation (Conklin 2007). This can be recognized both in the case of e-procurement, for which security measures have proven to be insufficient because of the remarkable sensitivity of transactions (Gebauer et al. 2008; Eadie et al. 2007, Rankin 2006), and in the case of telework, for which IT security of personal data is essential (Booz-Allen Hamilton 2002).


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2.2. Determinants and barriers of the inner context Organizational factors A review of the literature on organizational factors shall not ignore one important milestone. Damanpour (1987) studied the adoption of innovation in public libraries in six north-eastern US states (serving populations of 50,000 to 500,000). His work shows how different typologies of innovations are differently impacted by different typologies of organizational factors. For example, he highlights how the adoption of technological innovations is more impacted by organizational slack and specialization (that is, the variety of specialists and knowledge), while administrative innovations are more impacted by the organizational size and the administrative intensity (that is, the proportion of administrators within an organization and therefore an indicator of management overhead). This first element is insightful with respect to the complexity of organizational environments in the adoption of innovation. As found by Nasi and colleagues (2011), organizational factors have definitely been more impactful than environmental ones (e.g. geographical location, size and political attitude) in determining a hard or soft approach to implementation of e-government in Italian municipalities. The presence of organizational slack resources is one of the most frequently mentioned factors driving social innovation. Such a circumstance implies the possibility of allocating a share of “accessorial resources” to innovative activities (e.g. Moon 2002, Ahn 2011, Maranto and Wolf 2013; Wood et al. 2009). They can indeed sensibly vary in their nature and include information, time, financial, technological and human resources. For instance, Bhatti et al. (2011) analyse the adoption and diffusion of Citizens Service Centres (CSCs) among Danish municipalities. Their findings stress the importance of organizational wealth and capacity to foster such processes. Schwester (2009) – in analysing the adoption of e-government practices at the local level – similarly argues that higher operating budgets, IT staff availability and technical resources are factors that positively influence adoption. As highlighted by various authors (e.g. Walker 2006; Walker 2013; Manoharan 2013, Fernandez and Wise 2010; Homburg and Dijkshoorn 2011; Ghani and Said 2010), the organizational size itself can be considered a “slack”, thus contributing to the adoption and diffusion of innovation. On the contrary, Gianakis and McCue (1997) find a negative association between innovation and organizational size, with smaller local governments in Ohio tending to be more innovative than larger ones. Connected to this, financial characteristics of public organizations may act as relevant barriers. Short-term budgets and silo budgeting can discourage the successful adoption and diffusion of ICT technologies (Berry 1994). This is evident also in e-procurement, as the costs for implementation and diffusion are crucial barriers for many organizations (e.g. Cattaneo, 2012; Wong and Sloan, 2004; Hawking and Stein, 2004). Inter-institutional collaborations are another critical determinant that emerge from the literature. Networks centred on best performers, horizontal networks and change management (Mulgan and Albury 2003; Albury 2005) can encourage later adopters in the systemic diffusion and upscaling of innovation. Brown et al. (1998) present similar arguments, even if their findings highlight that the


14

Adoption, Diffusion and Upscaling of ICT-driven Innovation number of partners involved in inter-organizational collaborations negatively affects the adoption itself. Moreover, collaborations with non-profit organizations can ease such a process, especially in “strongly” social innovation (Manoharan 2013; Mendes et al. 2012). In addition, not only collaborations among institutions, but also those among professionals are a remarkable antecedent. Yun and Opheim (2010) stress how US states whose leaders are engaged in professional networks are more likely to adopt egovernment practices, while Reddick (2009) highlights the importance of collaborations within city governments for fostering effective e-government in US cities. Not surprisingly, the role of management is critical under a multitude of perspectives (e.g. Damanpour and Schneider 2009; Reddick 2009b). Mulgan and Albury (2003) emphasize the importance of middle management as “knowledge engineers” as well as all people within the organization that act as “knowledge intermediaries” (Behn 2008). In this intermediation, public managers have to bring specific competences that go beyond pure ICT skills because of the organizational impact of innovation (e.g. Hunnius and Schuppan 2013). Such an organizational attitude has also been defined as “organizational learning” (e.g. Asoh 2002; Kim et al. 2007), which is also a key driver for the success of e-procurement initiatives (Kassim and Hussin 2013). As suggested by Walker (2013), organizations that promote internal interactions and collaborations foster organizational learning, with a positive effect on the adoption of innovation. In this sense, relational capabilities, clear responsibilities and sound governance mechanisms are mentioned as important factors in favouring innovation (Janssen 2012). In the case of telework, difficulties in fostering team synergy and monitoring employees’ performance, together with the possible negative effects on a workplace’s social network, have proven to be relevant barriers (Hamilton 2002). Since telework implies a significant reshaping of organizational settings, the lack of formal job definition and the importance of groups are mentioned as barriers to its adoption (Mokhtarian and Sato 1994). In addition to organizational learning, a proper leadership style can be supportive through the clear definition of goals and strategies (e.g. Azab et al. 2009; Boudry and Verdegem 2012; Voorberg et al. 2014; Whitmore and Choi 2010). The elements that foster the motivation and skills of “internal” actors are incentives for efficiency and innovation preparedness (Korteland and Bekkers 2008). The issue of organizational leadership deserves specific attention. Because of the nature of public organizations, not only managerial leadership, but also political leadership is a strong determinant of adoption (e.g. Furuholt and Wahid 2008). Illustrative of this view, Nasi and Steccolini (2008) observe that the adoption of accounting reforms in Italian local governments was strongly driven by the leadership of both chief financial officers and political administrators. Yet, a clear distinction between administrative and political responsibilities is necessary for the successful adoption of innovation (Ask et al. 2008). With respect to barriers, a consolidated culture of risk aversion and reluctance to shut down failing programs do not enable the organizations to innovate radically and systemically (e.g. Albury 2005; Pollitt and Dan 2011; Borins 2008). Thenint (2010) – in investigating how to promote public sector


15

Adoption, Diffusion and Upscaling of ICT-driven Innovation innovation adoption and diffusion within 300 government reformers in the US and Commonwealth countries – identifies bureaucratic attitude as a potential barrier to be overcome. In the specific case of e-procurement, organizational inertia represents a substantial barrier to upscaling it from a marginal to a central role (Cattaneo 2012). Individual factors In treating individual factors, a premise is necessary. In the literature, there is not a clear cut distinction between the individual and technological factors of the inner context. In particular, this division is rather blurred with regard to ICT skills and the capabilities of employees, since they are factors which refer both to individuals and to technology. However, for definitional clarity, we propose that ICT elements referring to individuals are treated as individual factors, while we refer to technological factors as those elements that regard the organization as a whole, beyond single employees. First, employees’ perceptions seem to play a major role (e.g. Palmer and Dunford 2001; Carr and Gannon-Leary 2007; Ahn 2011). Cassell (2008) analyses the adoption of open source software in four European cities and finds that the perception of improving independence, effectiveness and cost saving are the most relevant determinants. Similar findings are presented in the work of Nedović-Budić and Godschalk (1996), who analyse the adoption and the diffusion of Geographic Information Systems (GIS) in four agencies of a North Carolina county government. The ease of use, relative advantage and perceived usefulness are crucial for adoption (e.g. Stamati and Martakos 2011; Hung et al. 2009). It is worth recalling how Rogers (2003) recognized perceived complexity as one of the most powerful barriers to diffusion. Again, managerial support in developing a positive attitude towards change and innovation deserves closer scrutiny. With specific regard to the diffusion and upscaling of e-procurement, the perceived perspective of reducing operational and administrative costs and improving efficiency and productivity represent a significant driver (Hawking and Stein 2004; Cattaneo 2012). Conversely, scarce awareness about contents and benefits of such technologies are barriers to adopting e-procurement (Rivera León et al. 2012). Similar considerations can be offered for telework. The Georgetown University Law Center in "Telework in the Federal Government: The Overview Memo" (2009) recognizes the pivotal role of these perceptions as crucial determinants of adoption. For employers, telework is a tool for recruiting and retaining talented employees and for increasing productivity. The employees see benefit from a better work/life balance, improved morale, and reduced commuting and transportation costs. Yet, perceptions also act as barriers. A management style that associates physical presence with performance can hinder the adoption of telework within public organizations as can a lack of universal understanding or recognition by employers of the potential monetary advantage related to telecommuting employees. Research commissioned by the Australian government’s Department of Broadband, Communications


16

Adoption, Diffusion and Upscaling of ICT-driven Innovation and the Digital Economy (2012) underlines how telework is a concept associated with low levels of awareness and moderate levels of scepticism from employers and employees. Skills, professionalism and autonomy of public employees are crucial both as drivers and as barriers to innovation (e.g. Damanpour 1987; Bhatti et al. 2011; Sabet and Klingner 1993, Sapat 2004; Teodoro 2010; Ghani and Said 2010; Lonti and Verma 2003; Walker 2006; Tummers 2011). This has also been found in the specific cases of e-procurement (e.g. Bof and Previtali 2007) and telework (Hamilton 2002). The degree of professionalism of Chief Information Officers (e.g. civil servants with a purely technical or managerial background) has proven to be crucial in the adoption of e-government across Italian municipalities (Nasi et al. 2011). This introduces the issue of ICT capabilities of individual employees (Nurdin et al. 2012). Kwon and colleagues (2009) notice how early adopters of innovations display not just a greater level of professionalism, but also greater abilities in using computer IT. As stated by Moon (2002) in his often quoted study, the lack of technological readiness is among the main barriers to the adoption of ICT-driven innovations among municipal governments in the US. Other studies portray readiness in terms of familiarity, i.e. previous exposure to technology and networking (Nedović-Budić and Godschalk 1996), technological maturity (Gasmelseid 2007) and specific years of e-government experience (Reddick and Norris 2013). Berry et al. (1998) have subdivided the individual managers’ characteristics into dispositional factors (e.g. age and attitude toward technology) and capability factors (e.g. education, training and possession of a PC). These emerge as determinants in the adoption of a computer-based expert system for managers in the Florida Department of Highway Safety and Motor Vehicles. The existence of training programs to stimulate awareness of the objectives of technological innovation thus represents a crucial determinant (Nasi et al. 2011).

Technological factors Technological elements score high among the determinants of ICT-driven innovation. For example, technological compatibility has been considered a predictor of users’ intention to utilize electronic document management systems (Hung et al. 2009). Ahn included the nature of the IT application among the determinants of innovation, concluding in his study that applications with high communication impact can represent a barrier to the adoption of e-government (2011). Parajuli (2007) – in analysing e-government in Nepal – stresses the importance of specific elements related to government websites, such as their transparency, interactivity, accessibility and usability, while Nu’man (2012) mentions security, usability, privacy, audit, reliability and equity of access as key factors for the adoption of e-voting in Jordan. The role of security and reliability is a recurrent factor in several ICTdriven innovations, especially those concerning sensitive aspects of end-users’ lives. E-voting (Liptrott 2006) is an obvious example of this. The scale of innovations is another important element. Within the context of the LIPSE project, Voolberg et al. (2014) conducted a comparative case study dealing with the influential factors of co-creation in two social innovation contexts. Their findings demonstrate that


17

Adoption, Diffusion and Upscaling of ICT-driven Innovation the scale of such innovations has to be adequate, i.e. large enough to ensure a variety of resources, small enough to ensure coordination. Particularly relevant is the technological readiness of the organization as a whole. This can be signalled by the existence of an IT department (Reddick and Norris 2009) or, more specifically, by its position within the organization’s structure (e.g. Nasi et al. 2011; Damanpour 1987; Heeks 2006; Cassell 2008). Some studies refer to readiness as the capability of government agencies to identify the key pieces of technology (Chen and Gant 2001). Connolly (2007) also treats the issue of ICT readiness while analysing the adoption of the Irish Revenue On-Line Service (ROS) website, which is an online tax filing system. In order to guarantee the proper functioning of this e-service, public institutions have to be able to handle large surges in the number of transactions at certain times of the year. As emphasised by Gascó et al. (2013), the technological readiness of the organization can be observed in objective elements such as the number of computers or internet/intranet availability. Finally, we can mention the contribution of Contini and Cordella (2007), who analysed e-justice practices in Italy. They interestingly highlight the necessity of considering ICT-driven innovations not only by their technological aspects, but in a holistic way: taking into account their social spillovers. In this sense, developing sophisticated ICT infrastructure is ultimately a meaningless exercise if organizational barriers are not overcome. A managerial approach that brings together social and technical priorities is thus necessary. This aspect has also been treated by Gascó and Jiménez (2011) through an empirical study on the e-government initiative “e-Justícia.cat”, implemented in Catalonia. Their findings show that – although ICT-driven change and innovation are likely to generate some resistance – training and communication were crucial in the change management strategy. The existent relationship between technology and organizational factors has to be taken into account when developing ICT-driven innovation (e.g. Felipe Luna-Reyes and Ramon Gil-Garcia 2011). More broadly, the main challenge in adopting, diffusing and upscaling ICT-driven innovations is interoperability, as stated by the most recent studies on these issues (e.g. Gascó et al. 2013; Cattaneo 2012). As argued by Gebauer et al. (1998), the lack of top management support and vision in the adoption of eprocurement “cannot be simply solved by a fast Internet connection […]”. This is connected with the issues of leadership and learning mentioned before.

2.3. Types of adopters The literature is scant in clearly distinguishing specific influential factors for each type of adopter (i.e. innovators, followers, late adopters and laggards), although the theories on diffusion of innovation strongly emphasize this issue. In order to systematize this body of knowledge and to empirically cluster such types of adopters, we mainly draw on the well-known work of Rogers (2003) to provide relevant definitions and to identify the salient characteristics of each of them.


18

Adoption, Diffusion and Upscaling of ICT-driven Innovation Definitions As already mentioned, such definitions are mainly based on Rogers (2003). 

Innovators. They are characterized by a willingness to take risks, an abundance of financial liquidity and their close contacts with similar organizations. A high risk tolerance is the basis for accepting possible failure, whose impacts would be absorbed by the high amount of resources. The innovator has the critical role of introducing new ideas into the social system.



Followers. They have a remarkable degree of opinion leadership among adopters. They are change agents with relevant financial liquidity and contacts and they are perceived as role models. However, they adopt innovation after a varying degree of time in comparison with innovators, because of their greater caution. Sometimes they adopt innovation for economic necessity and/or because of network pressures.



Late adopters. They adopt an innovation after the majority of their peers. They perceive innovation with great caution and even scepticism. They have scarce financial resources, few contacts with similar organizations and poor opinion leadership.



Laggards. They are the last to adopt innovation. They typically have an aversion to risk, to change agents and to change in general. They are focused on traditions and the past and they lack both financial resources and opinion leadership. They have virtually no contact with their peers.

Salient characteristics In order to identify such types of adopters in empirical investigation, we discern which are the salient characteristics associated with each of them. Again, the work of Rogers (2003) represents a critical contribution. More specifically, the author emphasizes how ideal types differ in the way they perceive the attributes of innovation itself (ibidem: 219). The perceived properties of innovations indeed affect their process of adoption and most of the variance in the rate of adoption is explained by five attributes (relative advantage, compatibility, complexity, trialability and observability). This has also been confirmed by other studies on ICT-driven innovation (e.g. Moore and Benbasat 1991). Here a brief overview of these five attributes: 

The relative advantage is the degree to which an innovation is perceived as better than the idea it supersedes.



Compatibility refers to the degree to which an innovation is perceived as being consistent with the existing values, past experiences and needs of potential adopters.



Complexity refers to the degree to which an innovation is perceived as difficult to understand and use. It is negatively related to the innovation rate of adoption.



Trialability refers to the degree to which an innovation may be experimented on. It is positively related to the innovation rate of adoption.


19

Adoption, Diffusion and Upscaling of ICT-driven Innovation 

Observability refers to the degree to which the results of an innovation are visible to others. It is positively related to the innovation rate of adoption.

However – as suggested by Rogers himself – it is recommendable to “personalize” investigations on the basis of cases’ unique features. For this research, additional characteristics have been identified, which more specifically refer to ICT-driven social innovation. First, the triggers for adoption have to be taken into account. The literature stresses how “champions” of innovations are usually motivated by internal consensus in their decision to adopt, while “late comers” are more likely to be influenced by legislative impositions or external pressures (e.g. Mulgan and Albury 2003; Lonti and Verma 2003; Kassim and Hussin 2013). Second, ICT readiness and skills are also critical, as adequate ICT skills (e.g. Damanpour 1987; Manoharan 2013) and infrastructures (e.g. Connolly 2007) represent necessary, though insufficient, conditions for adoption. For example, this can be observed in the share of dedicated ICT employees and capital expenditures specifically committed for innovations (e.g. Nasi et al. 2011; Gascó et al. 2013; Heintze and Bretschneider 2000). Third, earlier adopters are usually characterized by the presence of greater organizational slacks, both financial and managerial capacities. A solid project management for change (e.g. Walker 2014), that coordinates various competences towards a consistent strategic plan, facilitates the adoption of innovation. Last, innovative organizations are usually characterized by the presence of a leader capable of generating a vision, internal consensus and alignment with strategic priorities for the adoption of innovation (e.g. Bekkers and Homburg 2005; Kifle et al. 2009).

2.4. Theoretical framework The theoretical framework presented here is schematically shown in Figure 1, in which determinants and barriers are articulated on three progressive levels of analysis and then clustered by stage of the innovation process (i.e. adoption, diffusion or upscaling), type of adopter (i.e. innovator, follower, late adopters or laggards) and specific ICT-driven social innovation (i.e. e-procurement, telework or others). The most relevant factors identified are presented in Appendix 2.A (outer context) and Appendix 2.B (inner context).


20

Adoption, Diffusion and Upscaling of ICT-driven Innovation Figure 1. Theoretical framework to cluster determinants and barriers in innovation processes


21


2.5. Conclusion The literature systematically reviewed in this chapter represents the scientific state-of-the-art on ICT-driven social innovation in the public sector. In light of the conceptual framework proposed, the main trends and evidences can be discussed. First, a rather clear picture of determinants and barriers emerges from the outer context of innovation. Not surprisingly, positive imitation and competition are described as the most powerful external drivers for later adopters, since these organizations perceive an implicit pressure to cluster with their “neighbours”. Moreover, economic wealth, social progress and technological infrastructure are mostly described as positive factors. Nonetheless, the literature is ambiguous in analysing laws and regulations, as they may intervene as either facilitators or constraints, depending on the specific circumstance considered. The literature is even blurrier with respect to the inner context, mostly because of the numerous conceptual overlaps encountered. Risk aversion and reluctance to change are notable barriers within public sector environments. However, it is hardly clear to what extent such factors must be considered individual or collective in nature. This has implications in terms of managerial practice. In fact, individual resistance can be overcome through “personalized” leverages (e.g. incentives), but different instruments are needed in the case where reluctance is a more generalized administrative attitude. Another ambiguous aspect regards those factors that are simultaneously individual and technological (i.e. employees’ ICT readiness, skills and capabilities, and technological acceptance). Also in this case, managerial implications arise. Skills and professionalism can indeed be improved thanks to a variety of measures (e.g. training), but these have to be segmented on the basis of the age, education and ICT literacy of each employee. For example, it can be argued the individual digital divide is not a barrier per se, but exists so long as employees have a cautious attitude towards change and (self-)improvement. Overall, more determinants than barriers emerge from the literature. Nonetheless, numerous hindering factors have been identified for the specific cases of e-procurement and telework. This is probably due to the current low rate of adoption of such innovations. As stressed by Cattaneo (2012), eprocurement is a “textbook case” of the barriers that arise from the organizational environment and prevent upscaling, even when the benefits are clear and technologies are mature. For telework – similar to other workplace innovations – the main risk is to only experiment with pilot projects, without any consequent upscaling. This is mainly due to the absence of clear diffusion strategies that aim to redesign organizational responsibilities (Reichwald and Möslein 2000). Nonetheless, it should be noticed that the determinants and barriers found for e-procurement and telework are scarcely distinguishable from those characterizing general ICT-driven social innovation. In light of the peculiar nature of these two practices, future studies may try to identifying influential factors closely associated with these specific types of social innovations. With respect to upscaling, the literature still largely lacks both a systematic conceptualization and solid empirical evidence. Nonetheless, the scarcity of contributions does not indicate the


22

Adoption, Diffusion and Upscaling of ICT-driven Innovation irrelevance of this issue for the public sector. Overall, upscaling is conceptualized as a process that leads innovation to fully generate its social benefits through a homogeneous diffusion. Upscaling is thus critical to achieve a “critical mass”. This concept should not just refer to “a large-scale adoption”, but also to the “pervasiveness” of such an adoption. In other words, innovations are upscaled as long as they are recurrently and systematically used by the majority of potential adopters. Connected to this, it is worth noticing how the literature reviewed is also scant in distinguishing specific influential factors for each type of adopter (i.e. innovators, followers, late adopters and laggards), although the theories on diffusion of innovation (e.g. Rogers 2003) strongly emphasize this issue. Finally, the literature is characterized by a large predominance of an Anglo-Saxon perspective (both as a research tradition and as a geographical focus of analysis). Paying attention to certain specificities that belong to the entire European context is thus necessary. For instance, differences in state and governance traditions (e.g. Loughlin and Peters 1997; Pollitt and Bouckaert 2011) can lead to different potentials of innovativeness. As argued by de Vries et al. (2014), different traditions reflect specific assumptions regarding the capacities of government to deal with societal and political challenges.


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3. Introduction to the empirical analysis 3.1. Research process The scope of the LIPSE WP5 empirical analysis is to identify the determinants and barriers that play a role in the implementation and upscaling of ICT-driven social innovation, in relation to the specific characteristics of innovators, followers, late adopters, laggards and also non-adopters. As already mentioned, this research focuses on two policy fields (e-procurement and telework) and is conducted in six European countries (France, Italy, the Netherlands, Romania, Slovakia and Spain). In order to achieve these objectives, the following research steps were conducted: 

Systematic review. The research process started with the development of a systematic review of the literature on the determinants and barriers of ICT-driven social innovation in the public sector. The results of the systematic review form the basis of WP5 Theoretical Framework (cf. Chapter 2).



Country fact sheets. For each one of the six countries, a standardised fact sheet was compiled in order to explore and compare the current institutional frameworks, governance traditions, legislations and status of adoption for e-procurement and telework and to note country-specific features.



ICT readiness scan. The level of ICT readiness and e-government development in each country were assessed through the exploration of a variety of databases and reports (produced by the EU, OECD, United Nations, WEF, etc.). Also, data specifically referring to e-procurement and telework were taken into account.



Qualitative analysis. A qualitative comparison among 12 organizations in the six countries (i.e. 6 for e-procurement and 6 for telework) was developed. This first required the production of a standard qualitative analysis protocol on the basis of the WP5 Theoretical Framework. After this, a content analysis of relevant policy and organizational documents was carried out to contextualize the research results. 60 semi-structured interviews were consequentially conducted and standardised research reports were eventually produced for comparative purposes.



Quantitative analysis. On the basis of the previous research steps, a cross-national survey was carried out among regional and local public organizations. The aim was to generalize the findings with respect to the determinants and barriers in adopting and upscaling e-procurement and telework.



Triangulation of results. Policy documents, qualitative evidences and quantitative results were matched and triangulated – with reference to additional data and literature – to provide meaningful policy and practitioner recommendations.

Since the research focuses on two different typologies of ICT-driven social innovations (i.e. eprocurement and telework), this report seeks to take into account the specificities of each of these


24

Adoption, Diffusion and Upscaling of ICT-driven Innovation domains. Two distinct chapters (Chapter 4 on e-procurement and Chapter 5 on telework) are thus presented so as to develop a more orderly and consistent empirical analysis and to note the peculiarities of the inherent determinants and barriers. The separation of these analyses is particularly relevant in light of the different levels of implementation of such ICT-driven innovations. In this sense, although we are mainly interested in the stage of upscaling, this level of implementation is not experienced by organizations in all of the countries analysed. Consequently, methodological distinctions were necessary in order to deal with such circumstances. On the one hand, e-procurement is more likely to be upscaled within public sector organizations in the six countries analysed. For this reason, the organizations selected for the e-procurement qualitative analysis have fully upscaled the use of electronic means in their purchasing processes (or they are currently experiencing a progressive upscaling). On the other hand, telework is less likely to be characterized by a full accomplishment of the upscaling stage and for some countries it was necessary to consider pilot experiences (i.e. Spain) or even experiences of first exposure (i.e. Romania). Such issues will be addressed in the chapters specifically referring to each ICT-driven social innovation (Chapter 4 and Chapter 5). As a precursor, the following pages (Section 3.2) present a brief overview of the overall national contexts in the six countries and also explain the rationale of their selection as relevant frameworks for ICT-driven social innovation.

3.2. Reference framework The six countries involved in the WP5 empirical comparative analysis (France, Italy, the Netherlands, Romania, Slovakia and Spain) have been selected on the basis of various considerations. Despite their common EU institutional setting, these countries differ in terms of domestic economy, demography, institutions and, most notably, ICT readiness. Table 1 shows some key characteristics of each country analysed. Table 1. Contextual characteristics of the countries analysed

France Population (2014) (number of inhabitants) GDP per capita (2014) (Purchasing Power Standard - PPS) ICT Development Index (2013), Range 0-10 e-Government Index (2014), Range 0-1 e-Government usage by individuals (2010)

Italy

65,835,579 60,782,668

Netherlands Romania Slovakia

Spain

16,829,289

19,947,311

5,415,949

46,512,199

€ 32,400

€ 26,600

€ 38,700

€ 7,600

€ 13,900

€ 22,800

7.87

6.94

8.38

5.83

6.58

7.38

0.8938

0.7593

0.8897

0.5632

0.6148

0.8410

36.00%

17.00%

59.00%

7.00%

35.00%

32.00%

Data on number of inhabitants, GDP per capita and e-Government usage by individuals are from Eurostat. The ICT Development Index and e-Government Index are from the United Nations.


25

Adoption, Diffusion and Upscaling of ICT-driven Innovation From an economic and technological “macro” point of view, the Netherlands can be considered as the most advanced country, followed by France, Italy and Spain. Finally, Slovakia and Romania emerge as less advanced. Graph 1 shows the data presented above on GDP per capita (in PPS) and the ICT Development Index, which is explained by the United Nations as a tool for benchmarking the degree of development of an information society. It is based on 11 ICT indicators, grouped into three clusters: access, use and skills. It ranges between 0 and 105. It is particularly interesting to notice how there is a positive association between the wealth of the countries and their level of ICT readiness.

ICT Development Index

Graph 1. GDP per capita (PPS) and ICT Development Index in the Six Countries

9,00 8,50 8,00 7,50 7,00 6,50 6,00 5,50 5,00

Netherlands France

Spain Italy Romania

€0

Slovakia

€5.000 €10.000 €15.000 €20.000 €25.000 €30.000 €35.000 €40.000 €45.000 GDP per capita (PPS) Data on GDP per capita: Eurostat 2014 ICT Development Index: UN 2013

Graph 2 instead shows data on GDP per capita (in PPS) and the e-Government Index, which is also explained by the United Nations as a tool to measure the capacity and willingness of countries to use egovernment for ICT-led development. It ranges between 0 and 16. In this case there is also a remarkably positive association. Graph 2. GDP per capita (PPS) and e-Government Index in the Six Countries

e-Government Index

1,00 0,90

Spain

France

Netherlands

0,80 Italy 0,70 Romania

0,60

Slovakia 0,50 €0

€5.000 €10.000 €15.000 €20.000 €25.000 €30.000 €35.000 €40.000 €45.000 GDP per capita (PPS) Data on GDP per capita: Eurostat 2014 e-Government Index: UN 2014

5 6

For further information, see http://goo.gl/1Sak3f. For further information, see http://goo.gl/zTXuhS.


26


3.3. Institutional contexts and governance traditions Together with economic, demographic and ICT data, it is important to also present a descriptive overview of the institutional context and governance background of the six countries. First, Table 2 provides a synoptic scheme in this sense. Table 2. Institutional framework of the six countries

Form of democracy France

Italy

SemiPresidential Republic

Parliamentary Republic

Main national bodies

Territorial levels of government

EU membership

Combination of parliamentary democracy and strong executive power (French Fifth Republic):

Centralized state, with portions of power recently devolved at the three sub-national levels: regions (22), departments (101), communes (36,680).

Founding member of the European Economic Community (1957).



Bicameral parliament



Head of State



National government

Parliamentary democracy: 

Netherlands

Constitutional Monarchy





National government



Head of State (minor executive powers)

Constitutional Monarchy 




Cabinet



King (no direct political power)

Centralized state with relevant portions of power (e.g. health) devolved at the three sub-national levels, mainly from 1970 onwards: regions (21), provinces (118), municipalities (8,047).


Decentralized unitary state, with two sub-national levels: provinces (12), municipalities (393).


Major public sector reforms E-Government reforms since 1990s: •

1997: PAGSI (strategic plan for creating website of public administrations);

•

2005: ADAE (national agency for the development of e-administration);

•

2008: Launch of the Digital France 2012 Plan.

Modernization reforms from 1990s onwards, for example: •

Privatizations (Bassanini Reform) and other NPM provisions (e.g. regulative agencies);

•

Decentralizations;

•

Public employment (e.g. more flexibility, mobility, incentives, performance-related pay).

•

NPM reforms from 1980s onwards (e.g. self-management, contract management and related forms of business-like practices).

•

Progressive shift of power towards the local level (e.g. child welfare, employment, income, long-term care at the municipality level).

27


Romania

Slovakia

SemiPresidential Republic (French model).

Parliamentary Republic


Democratic state since 1990: 




Head of State



National government

Democratic state since 1989 and independence since 1993 (amicable split from Czech Republic): 

Unicameral parliament



National government



Head of State

Processes of decentralization from 1990s onwards.

Member State of the EU since 2007

Two sub-national levels of government: counties (41), communes (2,862)

Process of decentralization from 1990s onward. Three sub-national levels of government: selfgoverning regions (8), districts (79), municipalities (2,891).

Member State of the EU since 2004.



On-going harmonization between national legislation and EU acquis communautaire);



Public sector reforms within the broader framework of anticrisis measures since 2009 (e.g. rationalization of budget expenditure);



Specific public sector provisions (e.g. Strategy for a better regulation on the central government level 2008-2013).



Reforms discussed since late 1990s, in sight of EU accession. The liberal government (19982006) treated issues such as decentralization and NPM mechanisms (e.g. performance financing and budgeting, privatizations).



28


Spain

Constitutional Monarchy

Democratic state since 1978: 

Bicameral parliament;



Council of ministers



King (no direct political power)

Decentralized state, with different degrees of autonomy granted (asymmetrical devolution).

Member State of the ECC since 1986.

Three sub-national levels of government: State of Autonomies (17), provinces (50); municipalities (8,117).



Reform process launched in 1980 (Law 8/1980 – LOFCA) for the devolution of power to autonomous communities, followed by further transfers during 1980s/1990s (e.g. health, education).



Establishment of the committee for administration reform (CORA) in 2012, followed by draft law for the rationalization of the public sector in 2014 (Proyecto de Ley de Racionalización del Sector Público Estatal).

We now briefly present the salient characteristics of the six countries in terms of institutional contexts and governance traditions, aiming to recognize major facilitating or opposing features with respect to social innovation.

France Contrary to the traditional cliché of the centralized “Napoleonic” state, France has experienced a severe process of decentralization to the various sub-national layers of government (i.e. regions, departments and municipalities). Such actors are indeed responsible for a variety of policy fields, such as economic development, territorial planning and infrastructure, education, and welfare. Major reforms in the field of public administration occurred from the 1980s onwards. However, in the early 1980s, France did not fully embrace the international trend of NPM reforms, with politicians and civil servants largely agreed to preserve the traditionally pivotal role of the state in economic and social affairs. Mitterrand’s government adopted a cautious modernisation de l’administration. Some managerial tools were introduced, but without transforming the conceptual framework or institutional arrangements of the State missions and Civil Service. However, a deeper reshaping of public administration occurred from the mid-1990s onwards. Overall, the recent path of decentralization and modernization of the public sector may represent facilitating factors for social innovation, even if French public servants are traditionally characterized by an attitude of corporatism and risk aversion.

Italy Italy traditionally represented an example of a strongly unitary state. However, decentralization of power has taken place since the 1970s. Over these years, regions were established as a new layer of government, with relevant degrees of autonomy in governing policy processes (especially in the field


29

Adoption, Diffusion and Upscaling of ICT-driven Innovation of healthcare). A more significant transfer of power towards regions (and also sub-regional authorities) occurred in the 1990s, when numerous competences and responsibilities were eventually devolved to such actors. This also resulted in an increased leadership capacity of regional presidents and mayors in dealing with their legislatures. Together with decentralization, the possibilities for social innovation should also benefit from the public sector reforms implemented since the 1990s, such as the Bassanini reforms (e.g. privatizations) and other NPM provisions (e.g. establishment of regulatory agencies and reform of public employment). However, observers have noticed how currently sometimes such measures struggle to be translated into concrete changes within public sector environments, which are still characterized by a persistent risk-averse culture.

The Netherlands The Netherlands is a decentralized and unitary state. Public policies are elaborated through a close cooperation between the central government and sub-national institutions. Then, according to the principle of subsidiarity, the execution is carried out by the most decentralized level possible, while central government supervises the policy processes. Indeed, a progressive and remarkable shift of power towards municipalities has taken place in a variety of policy fields, such as child welfare, employment and income, and long-term care for the sick and elderly. The governance tradition is therefore based on mutual adjustments between the various levels of government, rather than on hierarchical steering. In general, Dutch politics and public administration are characterized by the pursuit of consensus and consultation among actors involved in policy-making. Moreover, NPM reforms have been implemented from the 1980s onwards, especially in the fields of self-management, contract management, and related forms of business-like practices. In conclusion, the Netherlands appears to be a rather favourable environment to cultivate social innovation processes.

Romania Romania is a unitary state, whose constitution (approved in 2003) asserts the principles of decentralization, local autonomy and devolution of public services. Local and county councils are indeed responsible for a variety of policy fields, in part as a result of a process of decentralization that has taken place since the 1990s. This consists of delegating competences, attributing financial resources and strengthening local democratic governance. A significant effort in decentralization occurred with Law 196/2006, through which the central government transferred relevant competences to the sub-national levels. The objective was to increase the efficiency of public management, to reduce central control over policy processes and reorganize the relationships between the various tiers of government (from a hierarchical paradigm towards a cooperative one). Moreover, Romania became an EU member state in 2007. Ambitious reforms were approved to harmonize national legislation and make it compatible with the acquis communautaire. The current economic crisis (which began in 2008/2009) has pushed Romania to enact a variety of measures in the field of public administration,


30

Adoption, Diffusion and Upscaling of ICT-driven Innovation with the objective of saving resources and restructuring the public budget. In conclusion, it can be stated that Romania is currently experiencing an ongoing process of administrative decentralization and opening of policy-making, which should progressively facilitate innovation in the public sector. Slovakia In general, ICT-driven social innovation may represent a significant challenge within the Slovak institutional context. Between 1947 and 1989, Slovakia was ruled by a Communist regime. More specifically, after World War II, the former Republic of Czechoslovakia was re-established as a unitary and democratic state. The Communist party won the election of 1947 and the following year basically concentrated all political power in its hands. Executive and legislative powers were thus just formally separated, since the party controlled all the bodies of public administration. This resulted in a strong “culture of conformity”, since Slovak civil servants followed rules and procedures which emanated from the Communist party itself. The communist regime fell in 1989 and the Slovak Republic was established as an independent democratic state in 1993. However, the risk-averse administrative culture is still very strong. On the one hand, this may undermine the adoption and diffusion of innovation. On the other hand, the sensible degree of independence of Slovak Self-Governing Regions can act as a facilitator. Moreover, the liberal government (1998-2006) progressively introduced issues such as decentralization and NPM mechanisms (e.g. performance financing and budgeting, and privatizations).

Spain Spain is traditionally characterized by a sensible degree of decentralization vis-à-vis regions (“Autonomous Communities”) and municipalities, which have an elected parliament, government, public administration and budget. Regions were established in 1979, after the fall of Franco’s authoritarian regime. There are 17 autonomous communities, plus 2 independent municipalities (Ceuta and Melilla). The Spanish constitution attributes to them the status of self-governing authorities, with relevant spaces of autonomy, especially in healthcare and education. A fully fledged reform process for the devolution of power to autonomous communities was launched in 1980 (Law 8/1980 – LOFCA), followed by further transfers during the 1980s and 1990s. This results in a heterogeneous map of institutional and governance traditions, which vary depending on the regional context considered. The current social and economic crisis has, however, reshaped this overall framework. On the one hand, the Spanish public sector is suffering a remarkable shrinking of available resources, which limits the possibilities for adopting ICT-driven social innovations. Law 27/2013 of local administration rationalization and sustainability removes the responsibilities of local governments in accordance with austerity regulations. On the other hand, the political and social crisis has sometimes led public sector organizations to embark on social innovation processes to tackle such challenges, especially at the local level.


31

Adoption, Diffusion and Upscaling of ICT-driven Innovation In light of this overall country-level reference framework, the following chapters present the research design, findings and implications for both e-procurement and telework. It can be expected that institutional contexts and governance traditions shape the possibilities for ICT-driven social innovation. Differences among the six countries may indeed result in diverse degrees of innovativeness (e.g. Loughlin and Peters 1997; Pollitt and Bouckaert 2011). For instance, a long established tradition of state decentralization and deep processes of public sector reform may facilitate the adoption and diffusion of innovation, while a relatively recent process of democratization may represent a significant obstacle. Different traditions indeed reflect specific assumptions regarding the capacities of government in dealing with societal and political challenges (de Vries et al. 2014). As a consequence, we will seek to reconnect such elements to possible determinants and barriers when we discuss the main findings for e-procurement and telework. For example, we will analyse decentralization as a possible political determinant of the outer context and the persistence of bureaucratic culture as an organizational barrier of the inner context.


32


4. Empirical analysis on e-procurement 4.1. Research design In this section, we introduce the research design and methods used to accomplish our research objectives for e-procurement. The study setting of e-procurement at the EU and national levels is first described (Section 4.1.1). Then, the data employed to carry out the empirical analysis are presented, based on the triangulation of document analyses, qualitative interviews and survey data (Section 4.1.2).

4.1.1. Study setting As stressed in the Glossary (cf. Appendix 1), e-procurement refers to the use of electronic communication and transaction processing by government institutions and other public sector organizations when buying supplies and services or tendering for public works (EC 2012). For this empirical analysis, we focused on the adoption and upscaling of e-procurement within public sector organizations at the regional level of government in the six countries. However, it has been found that the EU and national setting play a major role in shaping the possibilities for e-procurement at the regional level. For this reason, a description of the main characteristics of such frameworks are presented.

European Union and e-procurement: historical overview and existing EU policies At the very first stage, public procurement was inserted into the EU political agenda as a priority through the European Union Green Book of 1996, which underlines the importance of implementing effective policies in the purchase of public goods and services. However, at that time ICTs were still scarcely diffused. E-procurement was clearly recognized as an EU priority in 2000, at the European Summit in Lisbon7: the emergence of ICTs offers promising opportunities with regard to efficiency, transparency and the opening up of public procurement. Since the early 2000s, the EU has concretely enacted a number of provisions for public procurement: 

In 2004, two important Directives of the European Commission (2004/17/EC and 2004/18/EC8) were approved. The already mentioned need to perform public purchases effectively and efficiently is concretely addressed in these directives. The establishment of Central Purchasing Bodies for the centralization of purchasing processes is proposed as the most suitable solution. In this sense, the possibility of using ICTs is introduced as a valuable means to foster such centralization. These two directives still play a pivotal role, since EU member states have progressively harmonized their national legislations according to the guidelines provided.

7 8

See http://goo.gl/47DiOU. Available online at http://goo.gl/u0yxIV and at http://goo.gl/L65H1t.


33


Moreover, an Action Plan9 to promote the use of e-procurement was also established in 2004. Challenging deadlines for the following three years were inserted both for the EU and for member states in the realm of e-procurement. In particular, national governments were asked to “implement fully electronic systems at the national level”. Unfortunately, from the evaluation of the Action Plan (2010)10 it emerged that the stated objectives have not been achieved, notwithstanding the implementation of an e-procurement normative and the establishment of essential infrastructures across the EU.



Through the Green Paper on e-procurement (2010)11, the EC expressed a willingness for attaining more challenging objectives for modernizing public procurement in the EU, which have now been translated into a strategy to be implemented via non-legislative and legislative provisions. 

Through legislative provisions, the EC has set a number of mandatory deadlines. Most notably, the EC adopted a communication on April 2012 setting an ambitious plan for eprocurement (cf. IP-12-38912). For example, it requires the adoption of electronic means for certain phases of public procurement by the middle of 201413 and, even more ambitiously, for all contracting authorities and all procurement procedures by the middle of 2016 (for European tenders only).



At the same time, non-legislative provisions have been enacted as well (e.g. financial and technical support for developing e-procurement infrastructures, identification of best practices14, and monitoring and dissemination of activities).

France The French government harmonized its national legislative framework with the EU directives through the new Public Procurement Code15, which also includes specific provisions for e-procurement. At present, contracting authorities must have an electronic "buyer profile" for purchases over the EU threshold (€ 90,000) and they cannot refuse electronic communications in purchasing processes. The main electronic platform is PLACE (Plateforme des Achats de l’Etat), which centralizes all the procurement procedures through a website (its use is mandatory for central authorities) and serves all the typologies of public contracts and policy fields. In order to improve e-procurement services, an additional system was devised (Marché Public Simplifié). This pilot website was launched in April 2014 by the General Secretariat for the Modernization of Public Action (SGMAP). The platform enhances the reliability and transparency of transactions, as it allows the tenderers to present their bid only through their “SIRET number” and to submit required documents only if they are selected by the contracting 9

See “Action plan for the implementation of the legal framework for electronic public procurement”, available online at http://goo.gl/vQjGEB. 10 See http://goo.gl/oI3dpc. 11 See http://goo.gl/gaM75A. 12 See http://goo.gl/6OKxVf. 13 E.g. the notification of tender opportunities and the electronic availability of tender documents. 14 On 11 March 2013, a golden book of good practice on e-procurement was released; it is available online at http://goo.gl/aVCD97. 15 Decree 2006-975 and Ordinance 2005-649.


34

Adoption, Diffusion and Upscaling of ICT-driven Innovation authority. Additional instruments are available for specific purchases16. Three pivotal actors coordinate e-procurement processes. First, the SAE (Service des Achats de l'Etat) is the specialized agency established in 2009 to handle public procurement on behalf of the state. It is responsible for the PLACE platform. Second, the Directorate-General for Legal Affairs (DAJ) – within the Ministry for Economy – is in charge of proposing and drafting legislation in the field of public procurement and of subsequently enforcing the law. Third, the General Secretariat for the Modernization of Public Action (SGMAP) promotes administrative simplification and the dematerialization of public procurement. Italy Similar to several other European countries, the Italian government introduced e-procurement mainly as a measure for the centralization of public purchases. The new Public Procurement Code (Codice dei Contratti Pubblici)17 has harmonized the national legislative framework with the EU Directives on Public Procurement. Moreover, the Finance Law of 200718 has enabled Italian Regions to autonomously establish Central Purchasing Bodies. However, the strongest measure to promote eprocurement was enforced in 2012 through the so-called Spending Review19, which also obliges local authorities to conduct most of their procurement procedures through the available central purchasing bodies. There are two main electronic platforms, which serve both central institutions and sub-national authorities. First, the Online Purchases of Public Administration (Acquisti in Rete PA) is an electronic catalogue that facilitates transactions between public and private actors and also operates at the regional level (Territorial Purchasing Centres – CAT). Second, the National Electronic Marketplace (MePA) is utilized for purchases under the EU threshold. CONSIP is the main actor involved in eprocurement processes. It is a company founded in 1997 and fully owned by the Ministry of Economy for the streamlining of public purchases through the adoption of innovative ICT systems. It manages the online platform Acquisti in Rete PA. A major role is also played by the Public Administration Department (Dipartimento Funzione Pubblica), which dedicates great effort into the modernization of public services. The Netherlands The Dutch central government carried out a fully fledged harmonization of its legislative framework on e-procurement with the EU directives in 2013 through the New Public Procurement Act (Aanbestedingswet). However, sector-specific regulations occurred years earlier, as in the case of the Passenger Transport Act (2000). TenderNed is the key instrument for electronic procurement. It is the online marketplace for interactions between public and private actors. Public institutions must publish all contracts above the EU threshold on it (publication is discretionary for contracts under the threshold). This tool is managed by one main institution: the Dutch Public Procurement Expertise Centre 16

e.g. www.ixarm.com, www.achats.defense.gouv.fr. D. Lgs. 163/2006 (to be implemented according to D.P.R. 207/2010). 18 Law 296/2006. 19 D.Lgs. 06/07/2012. 17


35

Adoption, Diffusion and Upscaling of ICT-driven Innovation (PIANOo)20. In general terms, it deals with the diffusion of public procurement knowledge. It was established to professionalize procurement and tendering in all government departments, with specific attention paid to improve efficiency and compliance with regulations. Professional procurement can indeed contribute to a successful policy and enhance taxpayer value. PIANOo brings procurement and tendering experts together, pooling knowledge and experience. It, moreover, provides advice and practical tips. Finally, this actor fosters dialogue between public contracting authorities and private sector companies. PIANOo works for and with a network of around 3,500 public procurement and tendering professionals. Romania The Romanian Government has harmonized national legislation on public procurement through the Government Emergency Ordinance no. 34/2006. Progressive updates have been successively taken21 to meet new objectives set at the EU level. Moreover, e-procurement was inserted into the National Reform Program of 2007. In light of this legal framework, the use of e-procurement has spread among national and sub-national institutions. The main instrument used is the Electronic Public Procurement System (SEAP), which is an ICT system to manage public purchases electronically, through the online platform “e-licitatie.ro”. The greatest focus is on e-auctions and post-award services. The system has been functional since 2006, but a pilot project – called E-Market – had already been launched in 2002. A variety of actors are involved in e-procurement processes. First, the National Authority for Regulating and Monitoring Public Procurement (ANRMAP) deals with the design, promotion and implementation of e-procurement. This is supported by the Unit for Coordination and Verification of Public Procurement (UCVAP) in monitoring procedures and enforcing laws. Moreover, the Agency for Digital Agenda of Romania (AADR) is specialized in the development and management of the ICT system for e-procurement. Finally, the National Council for Solving Complaints (CNSC) is an independent institution that deals with complaints before contracts are signed. Slovakia The Slovak government included the principles of e-procurement in the Public Procurement Law (Law 25/2006), which harmonizes national legislation with the EU directives. Further provisions were successively enacted, such as Government Resolution 852/2007. With respect to the instruments for electronic purchases, basic and complex tools can be identified, these are used for different purposes. First, the Procurio/ZOVO is a tool for the online collection of notices, while the EPP is a system used for various components of procurement processes, such as the electronic management of dispatches and receipts. These represent the basic tools used by the Slovak public administration. The EVO is instead a sophisticated platform, whose use is mandatory for central public authorities in the field of international purchases. The preferred procedure for awarding contracts is the e-auction (similar to the

20 21

Part of the Dutch Ministry of Economic Affairs. E.g. Law no. 193/26, June 2013.


36

Adoption, Diffusion and Upscaling of ICT-driven Innovation Dutch model), while e-submission is a service offered on a voluntary basis. At the central level, eprocurement processes are coordinated by a specialized authority: the Office for Public Procurement (OPP). Its tasks encompass the design and implementation of e-procurement policies, providing guidance and consultations to public institutions and private companies, and the management of the main instruments (e.g. Procurio/ZOVO and EPP). The national plan for e-procurement set a number of objectives to be achieved. So far, the e-submission of notices and the introduction of an electronic service for creating contracts and simplified e-auctions are among the most notable achievements. Spain Similar to the other countries analysed, the Spanish government set a new legislative framework for public procurement to harmonize with the EU directives. This was accomplished through Law 11/2007, which includes e-procurement as a measure among a broader set of e-government practices. Additional provisions enrich the overall normative landscape, such as the Interoperability Framework (ENI), the law on transparency, information access and good government (Law 19/2013) and the national plans for the modernization of public administration (the Plan Avanza and the Plan Mejora). Overall, there are no mandatory policies for the adoption of e-procurement, in part because of the sensible degree of decentralization that characterizes Spanish public institutions. A great variety of instruments are available for conducting public purchases electronically. First, the PLACE platform (Plataforma de Contratación del Estado) was launched in 2011 and it has progressively developed as a marketplace to serve central state departments. It was created by the Ministry of Tax and Public Administration and the General Directorate of State Patrimony, which are responsible for designing its regulation (i.e. top-down process of EU harmonization). The General Administration of the State (AGE) supervises these two bodies. CONESTA Patrimonio is an additional instrument specifically designed for framework agreements, which provides services for the whole procurement value chain (pre- and postawards). Further tools are available, such as the National Register of Providers (Registro Oficial de Licitadores y Empresas Clasificadas del Estado – ROLECE).

4.1.2. Data and methods The comparative analysis on e-procurement has encompassed a variety of sources and methods. The analysis of relevant policy and organizational documents, the development of a qualitative analysis based on semi-structured interviews and the accomplishment of a survey have taken place. Such steps are inherently bounded. The WP5 Theoretical Framework (cf. Chapter 2) and the document analysis represent the basis of the qualitative analysis, which aims to further investigate the role played by those determinants that are relevant in the literature and that can intervene in the specific case of e-procurement. In turn, this in-depth qualitative analysis has served as a basis for structuring the survey protocol of the quantitative analysis, with the prominent determinants and barriers taken into account to tailor the questionnaire. This has allowed us to generalize the findings.


37

Adoption, Diffusion and Upscaling of ICT-driven Innovation It is critical to note that the types of adopter analysed (i.e. innovators, followers, late adopters, laggards and non-adopters) refer to the single public sector organizations analysed, not to the countries as a whole. In order to ascribe the proper category to each organization, a variety of characteristics have been taken into account, based on both interviewees’ perceptions and organizational objectives. These are consistent with our theoretical framework, which draws on both Rogers’ categorization of adopter categories (2003) and additional evidence more specifically related to ICT-driven social innovation (cf. Section 2.3). Country-level specificities (e.g. the degree of diffusion of e-procurement among regional governments) are strongly taken into consideration.

Document analysis A variety of policy documents and databases are employed as sources to develop the ICT readiness scan of the countries and regions involved. For example, we draw on the E-Government Index 2014, produced within the United Nations E-Government Readiness Knowledge Base, a composite measurement of the capacity and willingness of countries to use e-government for ICT-led development. The ICT Development Index (2013) – also produced by the UN – is also taken into account. The latter is a tool for measuring the information society as whole, thus embracing a wider set of elements than the UN E-Government Index. In first ascribing archetypes of adopters to each country, Capgemini’s Benchmark Measurement on EU E-Government for the EC (2009) was employed as a source for assessing and comparing the levels of availability and sophistication of e-public services in the six countries. Differently from the UN indicators on e-government, these measurements more specifically focus on the “service dimension” of e-government. Additional data are used to contextualize the cases analysed, such as the Eurostat data on e-government usage by individuals (2010) and businesses (2008), the OECD’s broadband statistics on the penetration of broadband (2008) within the countries considered (Romania excluded). Data specifically referring to e-procurement are considered, such as the IDC’s data on e-procurement take-up – in terms of value (€) – on total government procurement (2013). Data on ICT readiness have also been found at the regional level. In particular, the EU Regional Competitiveness Index (2013) also includes a measure of regional ICT readiness (NUTSII). These data have been matched with elements specifically referring to the organizations analysed for the qualitative analysis – mainly drawing on internal policy documents. This allowed us to elaborate detailed fact sheets on the peculiar context of e-procurement upscaling. These encompass various micro-dimensions, such as the governance arrangements (i.e. regional government or autonomous public agency), number of employees, typologies of buyers and objectives of eprocurement adoption.


38

Adoption, Diffusion and Upscaling of ICT-driven Innovation Semi-structured interviews In-depth, semi-structured interviews have been conducted within one public sector organization for each country (6 organizations in total). These organizations operate at the regional level of government and they have upscaled (or they are currently upscaling) e-procurement. In developing the protocol for semi-structured interviews, the WP5 Theoretical Framework was used as a basis. Three levels of unpacking were therefore used to examine interviewees’ perception on determinants and barriers of adoption and upscaling (i.e. outer and inner contexts, dimensions within each context, and single determinants and barriers within each dimension). Both open (inductive) and closed (deductive) questions were used. The interview protocol is available in Appendix 3.B. In order to ascribe a type of adopter to each public sector organization analysed (i.e. innovator, follower, late adopter or laggard), the criteria mentioned earlier were employed. Table 3 shows a detailed overview of the eligibility criteria used to select the public sector organizations analysed and the key internal stakeholders interviewed. Table 3. Eligibility criteria for the qualitative analysis on e-procurement

Number of organizations

One organization for each country (6 organizations in total)

Status of adoption

Upscaling (accomplished or in progress)

Characteristics

The procurement process includes various phases, such as searching, negotiating, ordering, receiving and post-purchase reviewing. The organizations selected use ICTs to carry out at least one of these stages.

Level of government

Regional

Type of adopter

Every organization had to be ascribable to one adopter category (i.e. innovator, follower, late adopter or laggard)

Number of interviewees

5 per organization (30 in total for e-procurement)

Role of interviewees

Internal purchasing managers/buyers (e.g. top management and manager responsible for purchasing processes, relations with suppliers and public administrations).

A total of thirty in-depth interviews were conducted within the organizations (5 interviews * 6 countries = 30 interviews). To achieve a multifaceted understanding of the process of upscaling, the five internal stakeholders interviewed cover different roles within each organization even if they are all purchasing managers/buyers. Every interview lasted approximately 30 minutes. They were recorded and successively analysed. The information was reported in English by each partner according to a common report protocol and eventually used to formulate survey questionnaires in a consistent way. Survey In order to generalize the findings assembled through the document analysis and the semistructured interviews, a survey was carried out. The analysis was conducted at the regional level. The targeted respondents were the whole population of procurement officers within each regional government (i.e. one person per region) in the six countries. The questionnaire was tailored to meet the specificities of e-procurement. It first investigates various contextual factors (e.g. the status of adoption


39

Adoption, Diffusion and Upscaling of ICT-driven Innovation or non-adoption and the possible year of adoption). Respondents were consequentially asked to express an opinion on various determinants and barriers from the outer and the inner context through a Likert scale (1  5, where “1” expresses extreme disagreement and “5” expresses extreme agreement). Such determinants and barriers are drawn both from the literature and – mostly – from the semi-structured interviews, so to corroborate and generalize the qualitative results. To attribute a type of adopter to each respondent organization, the criteria presented at the beginning of this chapter were used. The administered questionnaire is available in Appendix 3.C. Overall, 125 invitations were sent out and 117 responses collected (i.e. an almost 94% response rate). A detailed overview for each country is displayed in Table 4. It is worth noting that for the Italian and Dutch analysis of e-procurement, the questionnaire was also administered to procurement officers within public procurement agencies/companies at the regional level (respectively, 3 and 5). This served to obtain a more complete picture on the determinants and barriers of adoption and upscaling, since this typology of public sector organization was identified in Italy and the Netherlands in the qualitative analysis. Table 4. Targeted and actual respondents for the e-procurement survey at the regional level Country

Number of regions in the country (i.e. number of targeted respondents)

Number of actual respondents

Response rate

[A]

[B]

[B/A]

France

22 Regions

21

95.5%

Italy

21 Regions

20

95.2%

Netherlands

12 Provinces

10

83.3%

Romania

42 Counties

42

100%

Slovakia

8 Regions

8

100%

Spain

19 Regions

16

84.2%

TOTAL

125

117

93.6%

Respondents were identified through online research and direct contact with the target organizations. The questionnaires were confidentially administered via a variety of channels (e.g. emails, telephone calls and online surveys). Data were eventually analysed through the statistical software SPSS®, producing outputs of both descriptive statistics and correlations among the variables.

4.2. E-procurement findings 4.2.1. Overview To contextualize the findings of the empirical analysis on e-procurement, a variety of information are presented. Graph 3 shows the take-up of electronic procurement on total government


40

Adoption, Diffusion and Upscaling of ICT-driven Innovation procurement, in terms of value (€), for each country analysed. Notwithstanding the relative low levels of ICT readiness and e-government development in Slovakia and particularly Romania (cf. Table 1 in Section 3.2), these countries show a remarkable e-procurement take-up (respectively 1.60% and 6.20%). Conversely, relatively low values are registered for Italy, Spain and France, despite their greater ICT preparedness. The Netherlands displays the highest level of take-up (7%). Graph 3. E-procurement take-up on total government procurement

8,00%

7,00% 6,20%

6,00% 4,00% 1,60%

2,00%

2,00%

1,60% 0,70%

0,00% France

Italy

Netherlands

Romania

Slovakia

Spain

Source: IDC 2013

It is also interesting to shift the focus to the micro-context of the organizations analysed for the qualitative analysis. As already remarked, the public sector organizations examined operate at the regional level of government. All of them have accomplished or are accomplishing the upscaling of eprocurement. Table 5 provides an overview of the six organizations analysed.

Table 5. Organizations analysed as e-procurement adopters

Country

France

Italy

Netherlands

Romania

Slovakia

Spain

Region

Midi-Pyrénées

Lombardia

Utrecht (province)

Dambovita (county)

Banska Bystrica

Valencia

Organization Analysed

Midi-Pyrénées Regional Council

ARCA S.p.A.

IBMN (Purchasing Office of Central Netherlands)

Dambovita County Council

Autonomous Community of Valencia

Type of adopter

Follower

Innovator

Follower

Late adopter

Banska Bystrica Regional SelfGovernment Follower

Phase of adoption

Upscaling (ongoing)

Upscaling (accomplished)


Upscaling (ongoing)

Upscaling (ongoing)

Upscaling (ongoing)

Governance arrangement for e-procurement

Internal service of public procurement

Autonomous company (publicly owned)

Public foundation of municipalities

Internal procurement division

Internal public procurement department

Internal procurement service

Year of adoption

2010

2014

2008

2006

2000

2012

Number of employees

12 (service); 3,450 (organization).

46

9

177 (organization)

6 (department); 151 (organization).

8 (service); 127,824 (organization).


Innovator

41


Main objectives of e-procurement adoption

- To optimize public expenditure; - To improve security of transactions.

- To enhance efficiency and quality of procurement; - To improve transparency.

Phases of procurement process operated electronically

Whole process (pre- and postaward)

Whole process (pre- and postaward)

- To enhance efficiency and ease of procurement; - To improve transparency; - A reduction in the purchasing costs resulting from joint cooperation. Whole process (pre- and postaward)

- To rationalize public expenditure; - To improve socioeconomic development; - To reduce corruption.

- To fulfil law requirements; - To enhance efficiency of procurement.

- To enhance efficiency and ease of procurement; - To enhance transparency; - To modernize the organization.

E-notification and e-access (first phases of the pre-award)

Whole preaward process

Whole pre-award process and einvoicing

Table 6 again presents the six organizations analysed, grouping them according to their type of adoption. A detailed overview on each organization is provided in Appendix 3.A. Table 6. Organizations analysed as type of e-procurement adopters Innovators

Followers

Late adopters



ARCA S.p.A. (Italian organization);



Autonomous Community of Valencia (Spanish organization).



Midi-Pyrénées Regional Council (French organization);



IBMN – Purchasing Office of Central Netherlands (Dutch organization);



Banska Bystrica Regional Self-Government (Slovak organization).



Dambovita County Council (Romanian organization).

Contextual information can also be reported with respect to the quantitative analysis. Graph 4 shows the overall amount of innovators, followers, late adopters and non-adopters among the respondent organizations22. Almost half of the organizations (49%) are followers in the adoption of eprocurement. However, just a few organizations (8%) have not adopted e-procurement at all.

Graph 4. Types of adopters among e-procurement survey respondents

[VALUE]. [PERCENTAGE] [VALUE]. [PERCENTAGE]

[VALUE]. [PERCENTAGE] Innovators Followers Late adopters Non-Adopters [VALUE]. [PERCENTAGE]

Further insight can be achieved by disaggregating this data on the basis of the country considered. This is reported in Graph 5. Just Spain presents a relevant number of non-adopter organizations (7), which are the relative majority of the respondents (16).

22

Please note that the category of laggard as a type of adopter has not emerged from the survey.


42

Adoption, Diffusion and Upscaling of ICT-driven Innovation Graph 5. Types of adopters among e-procurement survey respondents, per country analysed

25

2020

20

17

Innovators

15

5

Followers

10

10

6

4

6 3

0 0

3

1

7

6 1 0

0

2 2 3 1

Romania

Slovakia

2

Late adopters

3

Non-Adopters

0

0 France

Italy

Netherlands

Spain

A final remark can be made with respect to the year in which the organizations adopted eprocurement (cf. Graph 6). Among the regions in the six countries analysed, peaks of adoption were recorded starting two years after the release of the EU directives on public procurement23, especially between 2006 and 2009 (54 in total). Graph 6. Number of e-procurement adopters per year

30

21 15

20 10

18 10

1

0

1

0

1

3

2

8 3

7

5

6 1

0 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015

In light of this overall snapshot, the determinants and barriers that emerged from the qualitative and quantitative analyses are presented in the following sections, adopting the WP5 Theoretical Framework (cf. Section 2.4) as a conceptual reference.

4.2.2. Determinants and barriers of the outer context Inter-institutional dynamics Not surprisingly, inter-institutional dynamics emerge as particularly influential not just for the adoption, but especially for the diffusion and upscaling of e-procurement. Since upscaling has been conceptualized as the homogeneous diffusion of ICT-driven social innovations over a specific context, imitative pressures play a major role in overcoming “shallow patterns”, until the achievement of a critical mass. Mimicry, learning and competition have been particularly important in the qualitative analysis of ARCA S.p.A., the IBMN, the Dambovita County Council and the Generalitat Valenciana. The Italian organization analysed for the qualitative research (ARCA S.p.A.) can be considered an innovator, as it was among the first adopters of e-procurement in Italy. However, ARCA S.p.A. provides e-procurement services for a very broad spectrum of public sector organizations in the regional territory. Inter23

2004/17/EC and 2004/18/EC.


43

Adoption, Diffusion and Upscaling of ICT-driven Innovation institutional dynamics have been crucial for upscaling this innovation. Sub-regional public organizations (especially later adopters) have tended to cluster geographically in using the e-procurement platform provided. Local administrators and mayors are likely to imitate their neighbours because of virtuous competitiveness. “The long-lasting local rivalry among territories has favoured the diffusion of e-procurement”. (Italian public official)

Similar dynamics occurred in the case of the IBMN (which is a follower in the Dutch context), since its establishment followed a similar initiative in another Province. The current director previously work there and was asked to launch an analogous project in the Province of Utrecht. “I was asked to set up the Purchasing Foundation after I was in charge of a similar successful foundation in the province West-Brabant”. (IBMN Director)

For the Dambovita County Council (Romanian case of late adoption), the importance of interinstitutional pressures emerged, both as “peer-pressures” (e.g. networks of county councils) and “topdown” pressures and the transfer of best practices (e.g. supra-council mechanisms for monitoring the enforcement of national provisions). The Autonomous Community of Valencia presents peculiar characteristics. Since this organization is an innovator in the Spanish context, inter-institutional dynamics have not per se represented a driver of adoption. However, once the decision to implement the central purchasing body and the accompanying e-procurement platform was taken, other Spanish and international experiences were taken into account for learning purposes. In light of this, it can be stated that inter-institutional dynamics – especially mimicry and competition – are mostly relevant for later adopters, while learning is a notable determinant for innovators. In the case of the Midi-Pyrénées Regional Council, it was found that inter-institutional dynamics have not occurred – despite its status as a follower in the French context. This element is indeed perceived as a “lost opportunity”, as upscaling could be fostered thanks to benchmarking with other eprocurement experiences, especially the most successful ones: “It is a pity that there is no communication between regions. Especially with the Bourgogne region, which is a real innovator in e-procurement and which could possibly disseminate its work”. (French public official)

Similarly, with respect to the Banska Bystrica Regional Self-Government (which is a follower in the context of Slovakia), responses have mainly indicated that inter-institutional dynamics play a very


44

Adoption, Diffusion and Upscaling of ICT-driven Innovation limited role in fostering the process of upscaling. Positive imitation and top-down pressures were found to be basically negligible. The importance of inter-institutional dynamics is corroborated by data. Table 7 shows the percentage of responses from each country. In every country, more than half of regional procurement officers expressed agreement or extreme agreement with respect to positive imitation as a driver of adoption. Italy is a notable exception. However, results do not strongly diverge from the rest of the countries. 35% of respondents agree or extremely agree, another 35% have a neutral opinion and just the residual 30% disagree or extremely disagree. Table 7. Percentage of responses with respect to positive imitation as a determinant for each country Extreme disagreement

France Italy Netherlands Romania Slovakia Spain

Extreme agreement

1

2

3

4

5

0.0% 10.0% 0.0% 0.0% 0.0% 6.3%

14.3% 20.0% 20.0% 0.0% 12.5% 6.3%

28.6% 35.0% 20.0% 47.6% 25.0% 25.0%

23.8% 20.0% 60.0% 42.9% 37.5% 25.0%

33.3% 15.0% 0.0% 9.5% 25.0% 37.5%

This result is particularly interesting with respect to the Dutch context, where 60% of respondents express their agreement. In the Netherlands, both provinces and procurement agencies have been mainly recognized as followers. This is probably due to the fact that e-procurement has become a relevant topic in only the last two years and public sector organizations are progressively moving towards the upscaling of this practice (in awareness of the April 2016 deadline, when all European tenders must be conducted electronically). In such a context, the great majority of respondents have found that the imitation of other e-procurement experiences is a driver of adoption. Finally, the output of the statistical analysis with respect to positive imitation was correlated with the types of adopters considered (i.e. innovators, followers, late adopters and non-adopters) in order to understand how it differently impacts each of them. However, the analysis does not show significant correlations. To conclude the analysis of inter-institutional dynamics, it is worth noting how their role is particularly important – by their own nature – in the cases of followers and late adopters (and also nonadopters). This implies the possible enactment of “imitative strategies” by policymakers for the territorial upscaling of e-procurement. However, findings will also show that other outer factors – namely law – emerge as pivotal determinants. Legislative factors Law ostensibly represents the most powerful driver from the outer context. Standards and obligations imposed by legislation have required the adoption of e-procurement. This is particularly relevant for followers and late adopters. In the case of the Banska Bystrica Regional Self-Government (Slovak follower organization), it was stressed in a very straightforward way:


45


“We do what is needed by the law”. (Slovak public official)

The innovative Italian experience of Lombardia was launched in 2007 even in the absence of mandatory provisions. However, upscaling has been strongly fostered by a 2012 national law (the socalled Spending Review), which has made the intermediation of central purchasing bodies mandatory for most of local governments’ purchases. However, the interviewees stressed how obligations are just a kick-starter for a “first approach to e-procurement platforms” and that this has to be followed by accurate training and supporting activities. Also in the case of the IBMN (which is a Dutch follower organization), law has represented a powerful driver of upscaling from the outer context. The Public Procurement Act (2013, national measure) explicitly aims to reduce administrative burdens, not only for tendering parties but also for contracting authorities. Although e-procurement was already adopted, this measure has certainly aided in upscaling it (e.g. a substantial decrease in the amount of paper used). In Romania, the EU framework has resulted in various (progressive) updates at the national level. This has proven to be a strong positive determinant for the Dambovita County Council case of late adoption. Such harmonization represented a stable framework to adopt and eventually upscale e-procurement. Again, legislative factors emerge as more influent for later rather than earlier adopters. In the case of Valencia, which can be considered an innovator in the Spanish national context, a decree was needed to regulate the e-procurement platform (in particular, there were legal problems regarding enotifications). But this was a consequence rather than a cause of the decision to adopt e-procurement. The Midi-Pyrénées Regional Council (follower organization) is peculiar since law has represented a driver, but also a barrier of e-procurement. The French law indeed contains an obligation to advertise public procurement contracts in a paper-based way. Furthermore, the law is currently incomplete with respect to a review of its legality. “It is inconsistent to ask or oblige, on the one hand, economic operators to launch themselves on the dematerialization of their application and their offer, and, on the other hand, to require them to re-sign a paper commitment procedure, while it is not about the whole market [...]”. (French public official)

This can be explained by several changes in French law brought about in the last years or expected in the near future. While upscaling the e-procurement process has to be accomplished by 2016 or 2020, not everything is yet clearly defined (e.g. e-signature raise questions of legality). The quantitative analysis corroborates the qualitative results on various points. First, the majority of Italian, Romanian and Spanish regional procurement officers expressed agreement or extreme agreement on considering legislative obligations as a determinant of adoption (cf. Table 8).


46

Adoption, Diffusion and Upscaling of ICT-driven Innovation Table 8. Percentage of responses with respect to legislative obligation as a determinant for each country Extreme disagreement


Extreme agreement

1

2

3

4

5

4.8% 5.0% 0.0% 0.0% 0.0% 12.5%

28.6% 5.0% 20.0% 7.1% 25.0% 12.5%

9.5% 5.0% 50.0% 35.7% 37.5% 6.3%

19.0% 10.0% 30.0% 45.2% 12.5% 12.5%

38.1% 75.0% 0.0% 11.9% 25.0% 56.3%

In the case of Italy, this emerges as particularly relevant as the rate of agreement reached an impressive peak of 85%. This would confirm how the existent regulation established at the national level (the “Spending Review” in particular) has played a pivotal role in determining the shift from nonadoption to adoption among regional governments. Also in the case of Romania, the positive influence of legislative obligations can be interpreted in light of the top-down regulation established at the central level. As previously observed, the Romanian government harmonized the national legislation on public procurement through the Government Emergency Ordinance no. 34/2006 (and subsequent updates) and have successively met new objectives set at the EU level. This has also allowed a relatively rapid spread of e-procurement at the sub-national level. It is worth noting that all the Romanian counties adopted e-procurement between 2006 and 2009. Conversely, Spanish results appear as rather inconsistent. The relatively high rate of non-adoption (43% of respondents) may be due to the absence of normative obligations (every Autonomous Community can decide whether to adopt e-procurement or not). Additional descriptive statistics are provided in Table 9, which indeed refers to regulatory restrictions as possible barriers. Overall, law does not appear as a relevant obstacle, with the exception of Romania and Spain where, however, the rate of agreement or extreme agreement remains rather limited (59.5% and 56.3% respectively). Table 9. Percentage of responses with respect to regulatory restriction as a barrier for each country Extreme disagreement


Extreme agreement

1

2

3

4

5

23.8% 35.0% 20.0% 2.4% 12.5% 6.3%

9.5% 50.0% 50.0% 11.9% 25.0% 25.0%

28.6% 5.0% 20.0% 26.2% 37.5% 6.3%

28.6% 10.0% 10.0% 57.1% 25.0% 25.0%

9.5% 0.0% 0.0% 2.4% 0.0% 31.3%

Further insights can be found through the analysis of statistical correlations (cf. Table 10), which indeed strongly confirm the main qualitative findings.


47

Adoption, Diffusion and Upscaling of ICT-driven Innovation Table 10. Statistical correlation between legislative factors and types of adopters (survey results)

Determinant/barrier Legislative obligations

Expected impact Positive

Population Innovators Followers Pearson Correlation Sig. (2-tailed)

,192*

,172

-,061

,051

-,202*

,047

,063

,514

,585

,029

107

117

117

117

117

-,248*

-,251**

,036

,079

,164

,010

,007

,701

,400

,079

106

116

116

116

116

N Regulatory constraints

Negative

Pearson Correlation Sig. (2-tailed)

Late NonAdopters Adopters

N *. Correlation is significant at the 0.05 level (2-tailed). **. Correlation is significant at the 0.01 level (2-tailed).

First, a significantly negative correlation (0.05 level) exists between legislative obligations and the status of non-adoption. This corroborates that law impositions are critical in determining the adoption of e-procurement, at least at the very first stage of experimentation. Moreover, law tends to play a more relevant role in more populated regions (0.05 level). Findings on regulatory constraints are also very interesting. Innovators appear sensibly less associated with this barrier (0.01 level), this is consistent with the typical “portrait” of such actors as forerunners. In conclusion, legislative factors proved to be very relevant in the processes of adoption and upscaling. On the one hand, obligations (usually at the higher levels of government) ensure the adoption (and the possible upscaling) of e-procurement, especially among followers and late adopters. On the other hand, such types of adopters are more likely to perceive law as a barrier in light of its possible restrictions and paper-based requirements.

Political factors A complex snapshot emerges with respect to political factors. These emerge as basically not influential in the French and Slovak organizations qualitatively analysed, where it was remarked that eprocurement is not a sensibly salient political issue. Political actors therefore play a minor role in the adoption and upscaling of e-procurement. For example, the Midi-Pyrénées regional council – as a follower – did not show a strong political interest, except for on the more general topics of modernization and dematerialization of administrative processes. In the Banska Bystrica Regional SelfGovernment (which is a follower as well), the topic of public purchases has proven to be politically relevant when political scandals occur, which sometimes have resulted in the launching of new reform processes. Politics has, however, proven to be influential for the other organizations analysed. The stable support of political representatives has certainly facilitated the adoption and diffusion of e-procurement. In the Autonomous Community of Valencia, even if internal managerial support was more important, politicians certainly have facilitated the innovative process of adoption. Similar elements were emphasised in ARCA S.p.A. (also an innovator), where a solid, stable and long-lasting vision by


48

Adoption, Diffusion and Upscaling of ICT-driven Innovation regional politicians beyond the electoral cycle has emerged. Also for the Dambovita County Council and the IBMN (a late adopter and a follower respectively), the stability and robustness of political support have played a positive role to ensure a positive development of the process. In the Italian and Romanian public sector organizations analysed, political factors have, however, also acted as barriers. In the first case, the diffusion of e-procurement among the numerous sub-regional organizations of Lombardia has been hindered by political conflicts. Local politicians affiliated with parties in opposition to the regional government have sometimes displayed a reluctance to adopt the e-procurement platform, since this was judged as a “political support for the enemy” electoral rather than technical choice. Moreover, both for the Dambovita County Council and ARCA S.p.A., political cycles have sometimes hindered the process, as they implied the redefinition of public policies. Country-level information from the survey is provided in Table 11, Table 12 and Table 13, which respectively

refer

to

political

support,

governmental

autonomy

and

political

conflicts

as

determinants/barriers of e-procurement adoption and upscaling. Table 11. Percentage of responses with respect to political support as a determinant for each country Extreme disagreement


Extreme agreement

1

2

3

4

5

4.8% 5.0% 10.0% 2.4% 25.0% 18.8%

9.5% 5.0% 20.0% 33.3% 0.0% 12.5%

42.9% 20.0% 50.0% 45.2% 37.5% 6.3%

38.1% 30.0% 20.0% 11.9% 0.0% 50.0%

4.8% 40.0% 0.0% 7.1% 37.5% 12.5%

Table 12. Percentage of responses with respect to governmental autonomy as a determinant for each country


Extreme disagreement 1 2 4.8% 23.8% 5.0% 15.0% 20.0% 20.0% 2.4% 4.8% 0.0% 0.0% 12.5% 25.0%

3 33.3% 35.0% 30.0% 61.9% 37.5% 25.0%

4 23.8% 35.0% 20.0% 26.2% 25.0% 31.3%

Extreme agreement 5 14.3% 10.0% 10.0% 4.8% 37.5% 6.3%

Table 13. Percentage of responses with respect to governmental conflicts as barriers for each country Extreme disagreement



Extreme agreement

1

2

3

4

5

4.8% 20.0% 20.0% 2.4% 25.0% 6.3%

23.8% 15.0% 20.0% 21.4% 37.5% 37.5%

23.8% 10.0% 50.0% 35.7% 12.5% 18.8%

42.9% 20.0% 10.0% 40.5% 12.5% 18.8%

4.8% 35.0% 0.0% 0.0% 12.5% 18.8%

49


Political support emerges as specifically relevant in the cases of Italy and Spain, where a remarkable rate of agreement or extreme agreement has been expressed (70% and 62.5% respectively) – thus corroborating the findings already shown for the qualitative analysis, which shows how representatives may act as stable reference points vis-à-vis adopting organizations. Perhaps surprisingly, governmental autonomy proves to be of minor importance in facilitating implementation, except for Slovakia (62.5% level of agreement or extreme agreement). In general, the degree of independence in governing political and institutional processes is probably perceived as scarcely relevant since regional authorities generally benefit from minor autonomy vis-à-vis central governments in the field of e-procurement (whose strategy is firstly defined at the EU level). Regarding the Slovak exception, the agreement expressed by these respondents may correspond with the level of decentralization that characterizes Slovak self-governing regions. The regulation of e-procurement is indeed amended to this level of government through Act No. 25/2006. This is also due to public administration reform (1990s) which transferred relevant responsibilities to the sub-national levels, also in the field of public procurement. This highlights the role of institutional contexts and governance traditions in influencing the adoption and upscaling of e-procurement. Finally, political conflicts do not emerge as powerful determinants from the quantitative analysis, with the exception of Italy. This is consistent with qualitative findings from the Lombardy case. The statistical correlation enables us to formulate particularly interesting factors that generalize the findings. In particular, the statistical analysis corroborates the results with respect to political support, which has proven to be specifically relevant for innovators, as shown in the qualitative analyses of the innovative Italian and Spanish organizations. As shown in Table 14, a positive association exists between this determinant and innovators as a type of adopter (0.05 level). It is moreover proven that larger regions are more likely to be influenced by such political leadership. Table 14. Statistical correlation between political factors and types of adopters (survey results)

Determinant/barrier Governmental autonomy


Population Innovators Followers Pearson Correlation Sig. (2-tailed) N

Political vision

Positive

Pearson Correlation Sig. (2-tailed) N

Political conflicts

Negative



-,018

,147

-,134

,134

-,159

,857

,113

,149

,151

,088

107

117

117

117

117

,251**

,234*

-,029

-,076

-,162

,009

,011

,758

,414

,080

107

117

117

117

117

-,104

-,052

,082

-,071

,029

,289

,579

,377

,445

,753

107

117

117

117

117

*. Correlation is significant at the 0.05 level (2-tailed). **. Correlation is significant at the 0.01 level (2-tailed).


50


In conclusion, politics may not represent the most powerful dimension for the adoption and upscaling of e-procurement. However, it can be noted that political support may provide a stable and reliable framework to implement e-procurement practices between changes cause by the electoral cycle, especially in innovative cases of adoption. Moreover, governmental autonomy might represent a “double-edge” sword. On the one hand, this factor may provide the necessary level of independence to steer e-procurement policies (as clearly emerged for Slovak self-governing regions). On the other hand, autonomy may result in excessively loose mechanisms for implementation, as notably emerged for Spain. This is clearly connected with the role of legislative obligations established at higher levels of government.

Social factors Various social factors deserve to be addressed. First, the qualitative analysis highlights how the role of public opinion is mainly perceived as not influent, especially in innovator organizations (i.e. ARCA S.p.A. and Autonomous Community of Valencia). “E-procurement and purchasing processes are scarcely salient issue for the public opinion. For example, there are not associations that seek to mobilize citizens or to pressure public institutions in such fields”. (Italian public official) “This is not a demand. The public administration is always ahead of the private sector, of the providers”. (Spanish public official) “If the administration wants to do something, it has the command power to do so”. (Spanish public official)

However, in two of the follower organizations (the Banska Bystrica Regional Self-Government and the IBMN, it was shown that (the perception of) need-based demands have played a role in driving the process of upscaling – which is thus driven by the necessity of being in line with present societal emergences (especially with respect to the “digital society”) and to be more accountable to citizens. “You have to follow the societal trends”. (Dutch public official) “Our Society is becoming more digital, so in that respect the tender process also have to go digital”. (Dutch public official)

This introduces the issue of providers as key external stakeholders in the implementation and upscaling of e-procurement. Such actors can act as either facilitators or antagonists. For example, in the case of the Midi-Pyrénées Regional Council (which is a follower from the French context), providers


51

Adoption, Diffusion and Upscaling of ICT-driven Innovation have supported the process of upscaling in light of the benefits achievable in economic and security terms. “For purchasers the main advantages are the improved access to information, the better communication with bidding candidates and the improved competition”. (French public official) However, in the Italian case of ARCA S.p.A., the “culture of manual skills” of many providers has sometimes resulted in a reluctance towards innovative instruments for doing business. For this reason, there is the need to raise awareness of the benefits vis-à-vis such stakeholders, to explain how e-procurement can enhance their opportunities in competitive bids. However, the diffused culture of quality and innovation has facilitated the emergence of Lombardy as an innovator. On the one hand, the fluent relationship with them is a critical driver. On the other hand, their resistance can be a critical barrier, especially in the case of procurement autonomous agencies (i.e. ARCA S.p.A. and the IBMN) – probably because they prevalently work with such external stakeholders. In light of the relevance of external stakeholders that emerged during the semi-structured interviews, the survey has specifically focused on such determinants/barriers. Table 15 and Table 16 provide country-level survey results. They respectively refer to the role of stakeholders as facilitators and as opponents of e-procurement implementation.

Table 15. Percentage of responses with respect to fluent relationships with external stakeholders as determinants for each country Extreme disagreement


Extreme agreement

1

2

3

4

5

0.0% 0.0% 10.0% 2.4% 0.0% 6.3%

0.0% 0.0% 10.0% 11.9% 37.5% 6.3%

42.9% 10.0% 20.0% 54.8% 37.5% 37.5%

42.9% 35.0% 40.0% 26.2% 25.0% 31.3%

14.3% 55.0% 20.0% 4.8% 0.0% 18.8%

Table 16. Percentage of responses with respect to resistances of external stakeholders as barriers for each country Extreme disagreement



Extreme agreement

1

2

3

4

5

4.8% 20.0% 30.0% 9.5% 25.0% 12.5%

33.3% 10.0% 30.0% 14.3% 25.0% 25.0%

38.1% 40.0% 30.0% 40.5% 12.5% 12.5%

19.0% 30.0% 10.0% 35.7% 25.0% 25.0%

4.8% 0.0% 0.0% 0.0% 12.5% 25.0%

52

Adoption, Diffusion and Upscaling of ICT-driven Innovation The resistances displayed by such external actors do not emerge as relevant barriers (the level of agreement or extreme agreement is between the minimum of 10% for the Netherlands and the maximum of 50% for Spain). However, the existence of fluent relationships appears as particularly relevant in the case of France (57.2% level of agreement and extreme agreement), the Netherlands (60%) and, most notably, Italy (90%). This country is indeed characterized (especially in the centrenorth) by the existence of solid and long-lasting trust relationships between the societal actors operating in the economic system. Such a characteristic – often described as social capital – has proven to foster the process of change within regional context (e.g. Putnam 1993). The statistical analysis carried out shows how the population size positively correlated with the existence of fluent relationships with external stakeholders (0.01 level of significance), namely providers (cf. Table 17). This may indicate how larger contexts are characterized by more relevant and deep interconnections among social and economic actors. Table 17. Statistical correlation between social factors and types of adopters (survey results)

Determinant/barrier Fluent relationship with external stakeholders


Population Innovators Followers Pearson Correlation Sig. (2-tailed)

,257**

,121

,058

-,079

-,152

,007

,195

,535

,395

,101

107

117

117

117

117

-,098

,065

-,016

-,084

,056

,313

,484

,862

,369

,546

107

117

117

117

117

N Resistance of external stakeholders

Negative

Pearson Correlation Sig. (2-tailed)


N *. Correlation is significant at the 0.05 level (2-tailed). **. Correlation is significant at the 0.01 level (2-tailed).

In conclusion, social factors appear less important than other dimensions of the outer context in determining the adoption and upscaling of e-procurement. This is mainly due to the scarce salience of this issue among the general public. However, the role of external actors more deeply involved in such processes (namely providers or other end users) may be significant, since the large-scale implementation of e-procurement requires the acceptance and support of numerous actors. This has proven to be particularly true in large regional contexts. Economic factors Not surprisingly, in the innovative experience of ARCA S.p.A., fiscal capacity is perceived as a relevant facilitator. Lombardy is among the wealthiest and more industrialized Italian regions. This results in appropriate resources being invested in innovation. In the case of e-procurement, the investment was also very timely, since it launched in 2007, before the current economic crisis. Economic factors emerge as also positively influential in the case of late adopters (i.e. Dambovita County Council). The EU financing mechanisms for socioeconomic development provide relevant


53

Adoption, Diffusion and Upscaling of ICT-driven Innovation resources to implement public policies, including the upscaling of e-procurement. It is interesting to notice how follower organizations are negatively impacted by economic factors in adopting and upscaling e-procurement. In the Midi-Pyrénées Regional Council, regional budget constraints resulted in difficulties financing the e-procurement project, especially for its long-term sustainability. In the Banska Bystrica Regional Self-Government, this was instead described in terms of a need for additional resources. Similarly, in the Autonomous Community of Valencia (which is an innovator organization), reduced economic resources have not limited the process of implementation, as this would have occurred even in a hypothetical context of minor economic constraints. Through the survey, the role of regional budget constraints as a barrier has been investigated. Responses for each country are presented in Table 18. Table 18. Percentage of responses with respect to regional budget constraints as barriers for each country

Extreme disagreement


Extreme agreement

1

2

3

4

5

14.3% 30.0% 30.0% 11.9% 37.5% 0.0%

4.8% 25.0% 50.0% 23.8% 25.0% 0.0%

33.3% 15.0% 10.0% 21.4% 12.5% 18.8%

14.3% 15.0% 10.0% 31.0% 25.0% 43.8%

33.3% 15.0% 0.0% 11.9% 0.0% 37.5%

Overall, economic factors are not perceived as obstacles to the adoption of e-procurement. The level of disagreement and extreme disagreement is very low in the case of the Netherlands (80%) and Slovakia (62.5%). The scarce relevance of this barrier probably indicates that this ICT-driven social innovation does not require particularly high investments for implementation (i.e. ICT infrastructure is already in place). However, Spain is a notable exception. Budget constraints represent the most influent factors of the outer context, especially for non-adopters. The current economic crisis has indeed severely impacted Spanish public administration, which has therefore reduced public expenditure and limited innovative investments, including e-procurement. This somewhat contradicts the qualitative findings for Spain, these were, however, focused on an innovator organization. Finally, the statistical correlation does not show a significant relationship. Therefore, for economic factors it can likewise be stated that these outer determinants and barriers may play either a positive or a negative role in the adoption and upscaling of e-procurement. However, these do not represent pivotal determinants. Other factors seem to play “the lion’s share” in such processes, especially the ones from the inner context, as will be explained later.

Demographic factors The demography of regions – in terms of number and/or density of inhabitants – was unanimously perceived as not influential during the semi-structured interviews. It is, however, really


54

Adoption, Diffusion and Upscaling of ICT-driven Innovation worth noting that the statistical analysis (cf. Table 19) shows a very strong positive correlation between the number of inhabitants of a region and the innovator type of adopter. Conversely, a remarkably negative relationship in reference to late adopters emerges. In both cases the significance is particularly high (0.01 level). Table 19. Statistical correlation between population size and types of adopters (survey results)

Determinant/barrier Population

Expected impact -


1


,333**

,033

-,289**

-,085

,000

,734

,003

,383

107

107

107

107

107


This would confirm the typical claim of the innovation literature, which generally finds that larger geographical contexts are more likely to embark on innovative policies and to be earlier rather than later adopters (e.g. Kwon et al. 2009).

Technological factors Generally speaking, territorial ICT infrastructures emerge as a basic enabling condition for the development of e-procurement in the organizations qualitatively analysed. For example, in the innovative case of ARCA S.p.A., the sophistication of such facilities has surely fostered its diffusion. Territorial digital divide (e.g. in peripheral areas of the region) may have represented a barrier that was successively overcome. Similar findings emerge for the Midi-Pyrénées Regional Council (as a case of follower organization), where territorial heterogeneities have not impeded the ongoing process of upscaling. “Certainly there is no broadband access everywhere, but there are all the access points provided by the Regional Council, and that's really positive”. (French public official)

In the Slovak, Spanish and Dutch organizations qualitatively analysed, such factors were virtually never mentioned by interviewees, thus confirming how these are generally “taken for granted”. Conversely, for the Dambovita County Council – which indeed represents a case of late adoption in the Romanian context – the lack of ICT infrastructure may have hindered the process of upscaling. Digital divide can also be analysed in terms of scarce ICT readiness, especially by providers – that represent the main end users of e-procurement platforms. Also with respect to this, the Romanian organization has demonstrated that a lack of ICT culture among public organizations, private partners and the population in general surely represents a barrier to upscaling. The security and transparency ensured by e-procurement as an instrument for transactions has been recognized as positively influential for the innovative experience of the Autonomous Community of


55

Adoption, Diffusion and Upscaling of ICT-driven Innovation Valencia. In this sense, it was remarked that electronic tools guarantee conformity with the law more than paper-based processes. Greater transparency and security are among the most notable achievements. For example, all the documents related to public contracts are traced and retrievable. Great enthusiasm was expressed with respect to this: “With computers, everything is possible”. (Spanish public official) “With ICTs […] everything is retrievable”. (Spanish public official) The survey among regional procurement officers investigated the role of providers’ ICT readiness and of territorial ICT infrastructures. Table 20 and Table 21 show the main results with respect to these two technological factors. Table 20. Percentage of responses with respect to providers’ ICT readiness as a determinant for each country Extreme disagreement

Extreme agreement

1

2

3

4

5

France

0.0%

19.0%

19.0%

47.6%

14.3%

Italy

0.0%

5.0%

25.0%

30.0%

40.0%

Netherlands

0.0%

10.0%

20.0%

60.0%

10.0%

Romania

0.0%

11.9%

38.1%

38.1%

11.9%

Slovakia

12.5%

25.0%

25.0%

12.5%

25.0%

Spain

12.5%

6.3%

12.5%

31.3%

37.5%

Table 21. Percentage of responses with respect to territorial ICT infrastructures as a determinant for each country Extreme disagreement

France

Extreme agreement

1

2

3

4

5

0.0%

4.8%

19.0%

38.1%

38.1%

Italy

0.0%

5.0%

10.0%

40.0%

45.0%

Netherlands

10.0%

10.0%

20.0%

60.0%

0.0%

Romania

4.8%

4.8%

31.0%

26.2%

33.3%

Slovakia

0.0%

12.5%

37.5%

37.5%

12.5%

Spain

6.3%

6.3%

31.3%

25.0%

25.0%

Providers ICT familiarities emerges as particularly influential, especially in Italy and the Netherlands (70% of responses agree or extremely agree in both the countries). In this sense, quantitative findings corroborate the ones from the qualitative analysis. Moreover, they can be connected to the social factors as well. Fluent relationships with external stakeholders also require them to be receptive to the use of e-procurement platforms. The qualitative findings are also confirmed with respect to territorial ICT infrastructures, which find a strong agreement in all the countries analysed.


56

Adoption, Diffusion and Upscaling of ICT-driven Innovation The statistical analysis provides additional insights (cf. Table 22). First, providers’ ICT readiness is positively correlated with the size of the regional context (0.01 level). In this sense, larger regions are not only characterized by the greater importance of fluent relationships with external stakeholders (cf. social factors), but also with their higher capacity for dealing with ICTs. Moreover, the qualitative analysis is corroborated by the negative correlation that exists between providers’ ICT readiness and non-adopters (0.01 level), which also display a negative association with territorial ICT infrastructures (0.01 level). Therefore, non-adopters may need to be placed in more technologically advanced geographical contexts to adopt e-procurement. Table 22. Statistical correlation between technological factors and types of adopters (survey results)

Determinant/barrier Providers' ICT readiness



Territorial ICT infrastructures

Positive



,208*

,135

,055

-,037

-,227*

,032

,146

,554

,693

,014

107

117

117

117

117

,069

-,026

,091

,062

-,217*

,484

,785

,331

,507

,019

106

116

116

116

116


In conclusion, outer technological factors appear as basic and indispensable elements for the adoption of e-procurement. The lack of ICT literacy and infrastructure (and the consequent digital divide) definitely may hinder implementation processes. However, their importance becomes secondary once the first adoption has been achieved.

4.2.3. Determinants and barriers of the inner context Organizational factors Slack resources emerge as critical factors for all the organizations qualitatively analysed, except for the Dambovita County Council – which can indeed be described as a late adopter. For example, in the innovative case of ARCA S.p.A., organizational slacks (in terms of money, human resources and infrastructures) have facilitated the upscaling of e-procurement. In light of the variety of public sector organizations in the territory of Lombardy, slacks are crucial to ensure flexibility in managing complexity and to constantly update e-procurement instruments. In the case of the IBMN (which is a follower in the Dutch context), the organization was indeed established with the aim of exploiting the greater organizational slacks that characterize autonomous agencies and foundations. It is worth noting how in


57

Adoption, Diffusion and Upscaling of ICT-driven Innovation the Spanish, Slovak and French organizations slacks are considered crucial in the opposite way, meaning their lack represents an obstacle to adoption and upscaling. “We hope to gain about 30% of time on the award of a tender by complete dematerialization, including notification of markets and invoicing. But let’s be realistic, this approach requires IT tools, training, coaching, a strong involvement of the managers and elected officers...as well as the involvement of the entire chain, included the public accountant”. (French public official)

Organizational autonomy emerges as an additional (and connected) positive determinant. It is not by chance that this was emphasised by those organizations which have sensible degrees of autonomy in their governance arrangements, namely ARCA S.p.A. (which is an innovator) and the IBMN (follower). Although the Lombardy regional government is its sole shareholder, ARCA S.p.A. has substantial autonomy and therefore operates according to managerial rather than political principles. In turn, this allows it to set clear and ambitious objectives, also in strategic planning. In the case of the IBMN, the agency was indeed established as an ad hoc foundation specifically because single municipalities do not have the capacity to autonomously sustain the operations of e-procurement. As already mentioned, the agency has the organizational slacks necessary to do it. “We don’t have the capacity to do it ourselves, so we need extra help”. (Dutch public official from municipality)

With respect to frustrating factors, the presence of a risk-averse bureaucratic culture emerges as a critical barrier. This is especially evident in the qualitative cases of the IBMN, the Autonomous Community of Valencia, the Dambovita County Council and ARCA S.p.A. In light of the variety of types of adopters represented by such organizations (innovators, followers and late adopters), it can be stated that such a hindering factor is relevant beyond the specific type of adopter considered. In the case of the Dutch organization, remarkable resistances were registered from the involved municipalities with to respect to the IBMN in its role of steering procurement processes, which is sometimes perceived as “the big brother watching them’’. In the Autonomous Community of Valencia, the reluctance to change was recognized as a diffused culture that characterizes the organization. In the Dambovita County Council, this was similarly described in terms of “administrative culture”. Finally, in ARCA S.p.A., local authorities have stymied the process of upscaling within the regional system, since they sometimes refused to experiment with e-procurement platforms (at least until the legislative obligation occurred). Governance traditions therefore matter in the adoption and upscaling of e-procurement. Conversely, top-down support from managers towards employees emerges as a powerful driver. This was first recognized for innovator organizations. In the Autonomous Community of Valencia, training activities have taken place exactly for this reason, but they have proven to be


58

Adoption, Diffusion and Upscaling of ICT-driven Innovation insufficient to change the organizational culture. The innovative experience of ARCA S.p.A. has also been successful in light of its strong focus on training and consulting activities vis-à-vis end users, which has surely driven the upscaling of e-procurement. The company pays great attention to offering such support in a constant manner and through a variety of communicative channels. The most appreciated characteristic of such assistance is the “holistic approach”. PSOs are not just supported in the use of e-procurement platforms but, more broadly, in the redesign of organizational processes throughout the entire procurement value chain. This is also crucial to convince more sceptical organizations. This is connected with the issue of managerial leadership and capacity, which can foster adoption and diffusion through a strong vision for e-procurement. For example, in the Dambovita County Council (as a case of late adoption), the managerial capacity and the promotion of open management instruments have strongly supported the process of upscaling. In the Autonomous Community of Valencia, managerial leadership and support have been crucial as well. The project is very well led by the under-secretary of Finance and Public Administrations, (who is considered the first executive in the administrative structure) and by the head of the Procurement Service (who deeply knows e-procurement and deeply believes in the project). Quantitative results provide very useful insights. A snapshot for each country with respect to slack resources is provided in Table 23. Table 23. Percentage of responses with respect to slack resources as a determinant for each country Extreme disagreement

Extreme agreement

1

2

3

4

5

France

0.0%

0.0%

Italy

0.0%

5.0%

9.5%

9.5%

81.0%

20.0%

25.0%

Netherlands

50.0%

10.0%

10.0%

20.0%

60.0%

0.0%

Romania

10.0%

10.0%

10.0%

60.0%

10.0%

Slovakia

0.0%

37.5%

0.0%

25.0%

37.5%

Spain

12.5%

0.0%

31.3%

12.5%

43.8%

Organizational slacks emerge as strongly relevant for regional procurement officers from all the countries analysed, thus corroborating the qualitative results. This is especially true for those countries characterized by higher levels of ICT and economic development (i.e. France, Italy and the Netherlands, which respectively register 91.5%, 75% and 60% as levels of agreement and extreme agreement). Moreover, very few respondents expressed disagreement or extreme disagreement (the values range between 0% in France and 37.5% in Slovakia). Overall, this corroborates the idea of slack resources as supporting elements to the implementation of e-procurement among earlier adopters. Survey results on bureaucratic culture as a barrier are presented in Table 24. Risk-averse bureaucratic culture does not emerge as a prominent barrier in France and the Netherlands, while it plays a major role in Slovakia, Spain and – to a lesser extent – in Italy. Such an impressive agreement


59

Adoption, Diffusion and Upscaling of ICT-driven Innovation and extreme agreement (75% of respondents) in the Slovak context can be interpreted as a heritage of the socialist bureaucracy, which was characterized by a sensible reluctance towards change and innovation. In the case of Spain, it can indeed be argued that the risk aversion is a diffused attitude within public sector organizations, this is due to the political consequences implied by possible policy failures. Moreover, such risk aversion and inertia sometimes even results from the conservative position of public officials, who prefer to stay in their “comfort zone”. Table 24. Percentage of responses with respect to bureaucratic culture as a barrier for each country Extreme disagreement


Extreme agreement

1

2

3

4

5

0.0% 5.0% 30.0% 0.0% 0.0% 0.0%

23.8% 30.0% 20.0% 11.9% 12.5% 0.0%

33.3% 15.0% 10.0% 50.0% 12.5% 18.8%

33.3% 35.0% 30.0% 35.7% 50.0% 37.5%

9.5% 15.0% 10.0% 2.4% 25.0% 43.8%

Managerial leadership and training activities (i.e. knowledge transfers) are indeed examinable as pivotal drivers to adopting and upscaling e-procurement (and also to overcoming internal barriers). Data from the survey are segmented for each country in Table 25 and Table 26.

Table 25. Percentage of responses with respect to managerial leadership as a determinant for each country Extreme disagreement


Extreme agreement

1

2

3

4

5

0,0% 0,0% 10,0% 0,0% 0,0% 12,5%

4,8% 25,0% 0,0% 7,1% 12,5% 0,0%

0,0% 35,0% 0,0% 50,0% 12,5% 12,5%

33,3% 15,0% 60,0% 23,8% 25,0% 31,3%

61,9% 25,0% 30,0% 19,0% 50,0% 43,8%

Table 26. Percentage of responses with respect to training activities as a determinant for each country Extreme disagreement


Extreme agreement

1

2

3

4

5

0.0% 5.0% 10.0% 0.0% 0.0% 0.0%

0.0% 0.0% 0.0% 2.4% 12.5% 6.3%

4.8% 5.0% 10.0% 16.7% 12.5% 18.8%

33.3% 55.0% 70.0% 50.0% 37.5% 37.5%

61.9% 35.0% 10.0% 31.0% 37.5% 37.5%

In general terms, both such factors are perceived as strongly determinant, consistent with the qualitative findings previously presented. With the exception of Italy and Romania in the realm of


60

Adoption, Diffusion and Upscaling of ICT-driven Innovation managerial leadership (40% and 42.8% as respective values of agreement and extreme agreement). In such countries, political control over institutional processes is likely to play a major role in steering innovative policies. Additional insights can be found through the statistical analysis carried out (cf. Table 27). Table 27. Statistical correlation between organizational factors and types of adopters (survey results)

Determinant/barrier Slack resources



Knowledge transfer

Positive


Managerial leadership

Positive


Risk-averse culture

Negative


Implementation costs

Negative



,283**

,133

,101

-,133

-,168

,003

,152

,278

,152

,071

107

117

117

117

117

,066

,093

,132

-,163

-,124

,498

,321

,155

,080

,183

107

117

117

117

117

,209*

,179

,126

-,228*

-,140

,031

,053

,175

,013

,133

107

117

117

117

117

,120

,184*

-,223*

-,001

,131

,218

,047

,016

,993

,158

107

117

117

117

117

,121

,089

-,129

-,067

,194*

,215

,341

,169

,476

,037

106

116

116

116

116


The analysis clearly shows how slack resources are a determinant specifically in larger regions (0.01 level), thus indicating that the more complex public sector organizations are, the higher the need for employing additional resources for the implementation of e-procurement. Moreover, managerial leadership results positively correlated with the dimension regional context and negatively correlated with late adopters (0.01 levels) – thus corroborating the qualitative findings. Finally, it is interesting to note that the barriers represented by implementation costs for e-procurement are positively correlated with the status of non-adoption, which means that non-adopters face the challenge of sustaining the investment necessary to implement e-procurement. In conclusion, organizational factors emerge as particularly important in the adoption and upscaling of e-procurement. Most notably, the abundance and the variety of slack resources have proven to be a main determinant, especially for earlier adopters, while their lack represent a barrier. Furthermore, for all types of adopters, the risk-averse bureaucratic culture emerges as a notable barrier


61

Adoption, Diffusion and Upscaling of ICT-driven Innovation in adopting and, especially, upscaling e-procurement. Such resistance can be overcome thanks to the presence of visionary leadership among managers and knowledge transfer activities, notably training and consulting. Individual factors The professionalism of managers seems to be particularly important for innovators. In the case of the Autonomous Community of Valencia, executive managers (both the under-secretary and the head of the unit) have a pivotal role in upscaling e-procurement, in light of their capacity to provide a vision on the e-procurement project. Also in the case of ARCA S.p.A., managers are high-skilled professionals, who benefit from considerable autonomy to express their creativity and proactivity. This facilitates the diffusion of e-procurement. Conversely, the Dambovita County Council case of late adoption is indeed characterized by a difficulty of employees to achieve organizational objectives. In this sense, individuals can indeed act as hindering actors. In the qualitative analysis, the individual resistance displayed by employees – which is obviously connected with the above-mentioned bureaucratic culture – emerges for followers, but also for innovators. With respect to the former category, in the case of the IBMN, bottom line employees have perceived the implementation of innovative instruments with remarkable suspicion. “Our vision on e-procurement has to be disseminated from top management to bottom lines of employees. [This means] reducing the resistance by creating support from the top”. (Dutch public official)

In the Midi-Pyrénées Regional Council (which is also a follower organization), the need for supportive measures to prevent psychological blocks was emphasized. However, such a barrier also affects innovators. In the Autonomous Community of Valencia, it was remarked that individual resistance is mainly due to the fact that the benefits of the project were not clear to the employees involved. They did not perceive its relative advantage or usefulness. Someone was even doubtful with respect to the legality of the e-procurement platform. “This is illegal”! (Spanish public official) Similarly, in the case of ARCA S.p.A., the aversion to change “paper-based” habits has been emphasised as a barrier to upscale e-procurement among the public sector organizations in the Lombardy region. This usually goes hand in hand with scarce ICT readiness. For example, fax machines are often considered as essential for conducting everyday activities. However, it is worth noting that even the most sceptical employee is likely to change his/her opinion once the benefits of eprocurement are carefully highlighted through training activities. As emphasised by a Spanish public official:


62


“The success does not have to do with individual ICT skills, but with the mentality he/she has regarding the project”. (Spanish public official) In the survey, such elements were conceptualized through various propositions. First, the professionalism of managers was investigated as a potential determinant. Data are clustered at the country level in Table 28. Table 28. Percentage of responses with respect to managers’ professionalism as a determinant for each country Extreme disagreement


Extreme agreement

1

2

3

4

5

0.0% 0.0% 10.0% 0.0% 0.0% 0.0%

0.0% 5.0% 0.0% 9.5% 25.0% 6.3%

0.0% 5.0% 0.0% 28.6% 12.5% 25.0%

42.9% 20.0% 40.0% 28.6% 12.5% 25.0%

57.1% 70.0% 50.0% 33.3% 50.0% 43.8%

The consensus registered on this factor during the semi-structured interviews is here very largely confirmed. It is worth noting that the levels of agreement and extreme agreement range between 61.9% in Romania and 100% in France. In addition, the levels of disagreement and extreme disagreement are not higher than 10% in all the countries considered, with the exception of Slovakia, where 25% of respondents disagree. Table 29 instead shows data on the perceived influence of employees’ ICT skills. Table 29. Percentage of responses with respect to ICT skills as a determinant for each country Extreme disagreement


Extreme agreement

1

2

3

4

5

0.0% 0.0% 10.0% 0.0% 0.0% 6.3%

0.0% 0.0% 0.0% 0.0% 12.5% 0.0%

38.1% 5.0% 30.0% 33.3% 12.5% 31.3%

38.1% 40.0% 30.0% 33.3% 37.5% 31.3%

23.8% 55.0% 30.0% 33.3% 37.5% 31.3%

Consistent with the qualitative analysis and similar to the case of ICT facilities for the outer context, this determinant is a basic element and has considerable influence on the implementation of e-procurement (i.e. necessary but insufficient). Here as well, the level of agreement and extreme agreement is impressively high (i.e. 60% at minimum), while disagreement and extreme disagreement are not higher than 12.5% (in Slovakia). In light of the qualitative findings, the survey also investigated the role of individual perceptions in the adoption of e-procurement. On the one hand, individual scepticism has been taken into account. A country-level overview is provided in Table 30 and Table 31.


63

Adoption, Diffusion and Upscaling of ICT-driven Innovation Table 30. Percentage of responses with respect to perceived relative advantage as a determinant for each country Extreme disagreement


Extreme agreement

1

2

3

4

5

4.8% 0.0% 10.0% 0.0% 0.0% 12.5%

19.0% 5.0% 0.0% 21.4% 0.0% 18.8%

9.5% 20.0% 0.0% 40.5% 25.0% 18.8%

33.3% 45.0% 50.0% 35.7% 25.0% 25.0%

33.3% 30.0% 40.0% 2.4% 50.0% 25.0%

Table 31. Percentage of responses with respect to individual scepticism as a barrier for each country Extreme disagreement


Extreme agreement

1

2

3

4

5

4.8% 10.0% 10.0% 0.0% 0.0% 0.0%

0.0% 5.0% 20.0% 0.0% 12.5% 12.5%

42.9% 35.0% 40.0% 64.3% 12.5% 12.5%

23.8% 25.0% 20.0% 28.6% 37.5% 31.3%

28.6% 25.0% 10.0% 7.1% 37.5% 43.8%

On the other hand, the perception of relative advantage is examined. A couple of influential factors indeed act in opposite ways and the latter may intervene in moderating the former thanks to managerial leadership and training activities. For both the factors analysed, a remarkable agreement exists in explaining the adoption of e-procurement, thus suggesting the necessity of raising awareness on this ICT-driven social innovation to limit individual scepticism. However, the picture is less univocal here than for the individual factors previously examined. The perception of relative advantage does not receive much agreement and extreme agreement in Romania (38.1%). Moreover, in this country, the majority of respondents do not judge individual scepticism as a barrier (35.7%). Similar results are observed for the Netherlands (30%).


64

Adoption, Diffusion and Upscaling of ICT-driven Innovation Finally, the results of the statistical analysis (cf. Table 32) can be analysed. Table 32. Statistical correlation between individual factors and types of adopters (survey results)

Determinant/barrier Managers' professionalism



ICT skills

Positive


Perception of relative Positive advantage


Individual skepticism Negative


Personal characteristics

Positive



,249**

,028

,255**

-,236*

-,143

,010

,766

,006

,010

,123

107

117

117

117

117

,079

,091

,066

,041

-,296**

,419

,330

,476

,658

,001

107

117

117

117

117

,243*

,266**

-,035

-,091

-,175

,012

,004

,711

,329

,060

107

117

117

117

117

-,018

,035

-,012

-,095

,107

,857

,704

,896

,306

,252

107

117

117

117

117

,305**

,098

,010

-,070

-,052

,001

,292

,914

,451

,576

107

117

117

117

117


First, these show how managers’ professionalism is positively associated with the size of the region (0.01 level). This is consistent with the discussion carried out so far. Larger regional contexts (and more complex organizations) rely more heavily on highly specialized competences. Moreover, it is very much worth noting that the perception of relative advantage is positively correlated with the status of innovators (0.01 level). Therefore, in such organizations the strategic objectives of e-procurement are more clearly emphasized. Finally, the analysis indeed highlights how non-adopters are the only category negatively associated with such ICT skills (0.01 level of significance). This would confirm that such competences are basic conditions for ensuring the possible adoption of e-procurement – but not necessarily for upscaling. In conclusion, individual factors are not excessively differentiated across the various countries and types of adopters. A rather univocal picture can thus be developed. The first requirement for adopting e-procurement is ICT capability. However, not only technical expertise is necessary to overcoming individual resistance. Professional managers can indeed raise awareness of the benefits of e-procurement, so as to ensure its eventual upscaling across and within organizations.


65

Adoption, Diffusion and Upscaling of ICT-driven Innovation Technological factors With respect to internal ICT facilities, these proved to not be influential in the organizations qualitatively analysed and categorized as innovators (ARCA S.p.A. and the Autonomous Community of Valencia) as well as in one case of a follower organization (the IBMN), probably because they are all equipped with the necessary technologies and did not perceive such elements as influential. However, for the other followers (Midi-Pyrénées Regional Council and Banska Bystrica Self-Governing Region) and the late adopter (Dambovita County Council), it is worth remarking that the lack of appropriate internal infrastructure represents an obstacle to scaling up e-procurement. In the French organization analysed, it must be noted that costly technical requirements, especially for bidders’ authentication, represent a relevant barrier. With respect to the Dambovita County Council, interviewees emphasised the necessity of improving existing facilities and, in the Banska Bystrica Self-Governing Region, the need for further investments in software and hardware was emphasized. Another barrier to upscaling is the lack of interoperability, especially in the French organization. Here, the lack of standardised electronic procedures and interoperable solutions emerged. This implies that documents must be printed in any case. Similar concerns have also been expressed in the case of IBMN (the Dutch follower organization). “There are lot of people (inside municipalities) who want to have a say in the procurement process. This makes it difficult”. (IBMN Director) Three determinants/barriers have thus been investigated through the survey, taking into account the findings that emerged from the semi-structured interviews. These factors are: the organizational ICT facilities, e.g. quantity and quality of technological equipment (which ostensibly plays a positive role), the complexity of e-procurement platforms and the lack of interoperability (which may instead have a negative impact on adoption and upscaling). Results from each country are displayed in Table 33, Table 34 and Table 35.

Table 33. Percentage of responses with respect to ICT facilities as a determinant for each country Extreme disagreement



Extreme agreement

1

2

3

4

5

0.0% 5.0% 20.0% 2.4% 0.0% 0.0%

14.3% 5.0% 10.0% 2.4% 12.5% 6.3%

42.9% 15.0% 10.0% 26.2% 37.5% 37.5%

19.0% 45.0% 50.0% 57.1% 50.0% 25.0%

23.8% 30.0% 10.0% 11.9% 0.0% 31.3%

66

Adoption, Diffusion and Upscaling of ICT-driven Innovation Table 34. Percentage of responses with respect to complexity of e-procurement as a barrier for each country Extreme disagreement


Extreme agreement

1

2

3

4

5

0.0% 20.0% 30.0% 0.0% 0.0% 6.3%

14.3% 30.0% 20.0% 7.1% 25.0% 0.0%

23.8% 20.0% 30.0% 28.6% 37.5% 37.5%

38.1% 10.0% 20.0% 61.9% 37.5% 25.0%

23.8% 20.0% 0.0% 2.4% 0.0% 31.3%

Table 35. Percentage of responses with respect to lack of interoperability as a barrier for each country Extreme disagreement


Extreme agreement

1

2

3

4

5

0.0% 5.0% 10.0% 0.0% 0.0% 0.0%

9.5% 10.0% 10.0% 7.1% 37.5% 12.5%

19.0% 15.0% 0.0% 21.4% 0.0% 6.3%

38.1% 45.0% 60.0% 59.5% 50.0% 31.3%

33.3% 25.0% 20.0% 11.9% 12.5% 50.0%

First, ICT facilities are judged as a positive determinant, although the levels of agreement and extreme agreement are not particularly high (with the exception of Italy, where this value is 75%, in the other countries numerous responses have been neutral, i.e. “3”). The complexity of e-procurement platforms as a barrier to adoption were judged with agreement and extreme agreement by the majority of French (61.9%), Romanian (64.3%) and Spanish (56.3%) respondents. In the other countries, results are prevalently neutral or even express disagreement (i.e. 50% of respondents in Italy and the Netherlands). Finally, lack of interoperability is recognized as a significant barrier for the majority of respondents in each country, reaching the impressive peak of 81.3% in Spain (i.e. agreement or extreme agreement).


67

Adoption, Diffusion and Upscaling of ICT-driven Innovation Additional results are presented through the statistical analysis (cf. Table 36). Table 36. Statistical correlation between technological factors and types of adopters (survey results)

Determinant/barrier ICT facilities



Technological complexity of e.procurement platforms

Negative

Lack of interoperability

Negative

Pearson Correlation Sig. (2-tailed) N Pearson Correlation Sig. (2-tailed) N


,112

,081

-,065

,050

-,070

,251

,383

,489

,591

,450

107

117

117

117

117

-,181

-,128

-,005

,112

,026

,062

,168

,957

,230

,782

107

117

117

117

117

-,137

-,218*

,007

,117

,119

,160

,018

,939

,208

,200

107

117

117

117

117


Very interestingly, results show how the lack of interoperability is negatively correlated with the status of innovators (0.05 level), thus demonstrating that such a type of adopter is more able to integrate diverse organizational processes. In conclusion, technological factors emerge – again – as basic enabling conditions, rather than as powerful determinants. However, lack of interoperability is a barrier specifically connected to the adoption and upscaling of e-procurement, which has proven to be particularly important for follower, late adopter and non-adopter organizations.

4.3. Conclusion: Recommendations and implications in implementing eprocurement In a nutshell, this research shows how particular determinants and barriers affect the adoption and upscaling of e-procurement; these are not, however, strictly technical in nature. As a humanexecuted process, e-procurement requires organizational changes that not only deal with ICT skills and capabilities. Rather, these represent basic enabling conditions. The presence of legislative obligations and the emergence of mimetic pressures are the most powerful drivers from the outer context, especially for later adopters and non-adopters. Conversely, regional budget constraints represent possible barriers to the implementation of e-procurement. Innovators are instead more heavily influenced by political factors, such as support from politicians and the presence of inter-organizational conflicts – especially for upscaling. With respect to the inner context, determinants and barriers are less differentiated across the various types of adopters. Robust managerial support provided by committed and visionary leaders is a strong facilitator for adoption and upscaling. Such actors can foster the implementation enacting training and consulting activities that takes into account both the technical


68

Adoption, Diffusion and Upscaling of ICT-driven Innovation aspects of e-procurement and, more importantly, the organizational re-shaping that this implies. Change management is therefore a necessary tool for emphasising the benefits achievable through a fully-fledged upscaling of e-procurement, so as to overcome the obstacle of a risk-averse bureaucratic culture within organizations. The objective of this empirical research on e-procurement was to identify the determinants and barriers behind adoption and upscaling in public sector organizations, also with respect to the specific characteristics of different types of adopters (i.e. innovators, followers, late adopters and non-adopters) in six European countries. In light of this objective, the project aimed to develop policy guidelines and instruments that public decision-makers and practitioners can use for improving adoption, diffusion and upscaling of e-procurement and to disseminate the research results and policy recommendations. On the basis of the Theoretical Framework that we developed (cf. Chapter 2), the determinants and barriers of adoption and upscaling were empirically analysed “placing” them within the outer or the inner contexts of organizations. As will be noticeable, this articulation also proves to be particularly useful in formulating meaningful policy and practitioner recommendations. Therefore, we will herein discuss the main findings that emerged from Section 4.2.2 and Section 4.2.3, directly connecting them to consistent recommendations. A country-level overview on the main determinants and barriers is available in Appendix 3.D (qualitative analysis) and Appendix 3.E (quantitative analysis). Determinants and barriers of the outer context First, with respect to innovator organizations, outer determinants and barriers have basically proven to have minor importance, with the exception of political factors. On the side of positive determinants, it was observed that political leadership sustained adoption and upscaling processes of forerunners through constant support provided outside of electoral cycles. However, when considering frustrating factors, political conflicts may have a relevant effect as well. For example, in the case of ARCA S.p.A. (which is an Italian innovator organization), some local administrators have hindered the diffusion of e-procurement within the regional territory of Lombardia because of their political affiliation, which differs from the regional government’s party. In general terms, e-procurement is, however, largely considered a scarcely salient issue for political consensus, especially in light of shrinking public resources resulting from the current economic crisis. With respect to followers and late adopters (which can be considered together as “later adopters”) and non-adopters, the obligation imposed by the legislative framework surely represents the most powerful driver of implementation by public sector organizations. Mandatory provisions push organizations to – at least – experiment with the digitalization of purchases. For example, Romania and Slovakia, despite their relatively low levels of ICT and e-government readiness at the country level, present a remarkable rate of adoption among their regions, since national legislations (harmonized with EU directives on public procurement) have de facto obliged regional governments to adopt eprocurement. Conversely, it is worth noting that Spanish regional governments present higher rates of


69

Adoption, Diffusion and Upscaling of ICT-driven Innovation non-adoption, basically because Spain is the only country analysed which does not provide obligations with respect to e-procurement. Spanish Autonomous Communities benefit from remarkable degrees of independence in governing administrative processes and – perhaps paradoxically – such a decentralization resulted in a heterogeneous “map of adoption” in the country. It is finally meaningful to observe how – in the six countries – most of the adoptions registered through the survey occurred just after the approval of the EU directives of 200424 (cf. Graph 6). The lack of a common legislative framework may therefore result in the regional governments’ non-adoption of e-procurement. In addition, later adopters and non-adopters are more prominently (and negatively) impacted by regional budget constraints. This very clearly emerges in the Spanish context, where the shrinking of financial resources faced by public sector organizations represents the most critical barrier to undertaking innovative policies. Moreover, such later adopters and non-adopters are instead positively impacted by inter-institutional pressures and positive imitation – consistent with the traditional literature on innovation (e.g. Bhatti et al. 2011, Mulgan and Albury 2003). Public sector organizations indeed tend to cluster geographically in order to replicate the best practices of their neighbours. For example, after the innovative Italian experience of ARCA S.p.A., numerous public sector organizations of the Lombardy region have started to use the e-procurement platform provided because of the benefits achieved by the territorial “champions”. Finally, specific attention has to be paid to the category of non-adopters. A fundamental finding of this research is that determinants and barriers referring to the adoption and upscaling of eprocurement (and, more broadly, of ICT-driven social innovations) are not sensibly different from those characterizing innovations which do not imply the use of ICTs. More specifically, despite its technological nature, e-procurement is a practice which mainly implies organizational (rather than technical) changes and technology per se cannot be considered the key element for a successful implementation. This emerges more as an enabling condition rather than as a fully-fledged determinant. The well-advanced development of territorial ICT infrastructures (e.g. broadband connections), the absence of territorial digital divides and the level of ICT literacy among providers are indispensable factors to shift from the status of non-adoption to adoption, but surely insufficient for a fully-fledged implementation of e-procurement. It is therefore suggested that technological infrastructures be strengthened within those regional contexts which suffer from a lack of sufficient ICTs and which have not adopted e-procurement at all25.

24 25

2004/17/EC and 2004/18/EC, available online at http://goo.gl/u0yxIV and at http://goo.gl/L65H1t. However, data from the survey have shown how just 8% of respondent organizations have not adopted this innovation.


70

Adoption, Diffusion and Upscaling of ICT-driven Innovation Table 37 presents the main determinants and barriers of adoption and upscaling from the outer context, clustered for types of adopter. Table 37. Overall snapshot of outer determinants and barriers in e-procurement adoption and upscaling

Type of adopter

Main determinants

Main barriers

Innovators 

Political leadership



Political conflicts



Legislative obligations



Regional budget constraints



Positive imitation 

Lack of legislative framework



Lack of ICT infrastructures



Scarce ICT readiness of providers



Regional budget constraints

Followers Late adopters Non-adopters

Determinants and barriers of the inner context While the outer context seems relevant in providing the necessary basic conditions for eprocurement implementation, determinants and barriers from the inner context appear as critical for eventually adopting and upscaling this ICT-driven social innovation. This would confirm that organizational factors are definitely more impactful than environmental ones in determining the implementation of e-government, especially at the sub-national level (Nasi et al. 2011). Moreover, it can be noted that influential factors from the internal context are less differentiated when considering the various types of adopters. In this sense, for all the types of adopters (and non-adopters), the greatest barrier emerging from the inner context is represented by the risk-averse bureaucratic culture that sometimes characterizes public sector organizations. Connected to this, the individual scepticism displayed by employees represents a remarkable obstacle which almost indifferently characterizes both earlier and later adopters. For example, in the Slovak context, this was attributed to a long-lasting bureaucratic attitude inherited from the Communist regime, which was characterized by a strong aversion to change and innovation. In Spain, this can be instead interpreted as a result of the conservative administrative culture of public servants, who often benefit from remaining in their comfort zone. This makes the possibility of innovating excessively risky, especially in light of possible negative repercussions in political terms. In general, governance traditions can thus be sensibly influential in determining the adoption and diffusion of e-procurement. All the types of adopters have in common two critical facilitating factors. First, the support ensured by management in steering the progressive extension of e-procurement is highly determinant. At the individual level, this also requires the presence of visionary and committed leaders who generate


71

Adoption, Diffusion and Upscaling of ICT-driven Innovation consensus with respect to e-procurement. Second, “knowledge transfer” represents the other pivotal driver. This consists of continuously paying attention to training and consulting activities vis-à-vis end users (both public servants and providers). The eventual achievement is the increase of both their ICT skills and – more importantly – the reshaping of organizational processes and cultures. This is very consistent with what has been stated with respect to technological factors of the outer context. ICTs surely represent basic enabling conditions for ICT-driven social innovations. This is critical in the case of non-adopters that still have to implement e-procurement. Such actors must be equipped with the proper ICT skills and facilities to support the adoption. This research indeed proves how non-adopters sensibly suffer from the lack of ICT competences and equipment. Nonetheless, a “massive implementation” requires tools and capabilities that go beyond purely technical elements, such as the reshaping of organizational processes and cultures. Furthermore, it is particularly interesting to notice how later adopters and non-adopters (differently from innovators) are pre-eminently blocked by a lack of interoperability, that is, the coherent integration of organizational processes among departments or organizations. Despite the technical issue, managerial competences are needed to achieve this objective. Moreover, it is worth remarking how the perceptions of relative advantage represent facilitating factors that more sharply characterize such later adopters and non-adopters. In this sense, the training and consulting activities mentioned before should highlight the benefits achievable through e-procurement, especially for these types of adopters. Finally, it is notable that slack resources are critical to adopting and upscaling e-procurement in the case of innovator organizations and within larger regions (in terms of number of inhabitants). This is likely due to the higher institutional complexity characterizing such regional governments. Connected to this, organizational slacks seem to be more effectively employed by those organizations that benefit from a sensible degree of autonomy (in terms of organizational processes, rather than in terms of political decentralization). It is meaningful to note that the only two organizations qualitatively analysed that have fully upscaled e-procurement are the ones analysed in Italy and the Netherlands. Differently from the other cases (in which public procurement is internally managed by regional governments through their units/departments), ARCA S.p.A. and IBMN are, respectively, a publicly owned company and a foundation of municipalities. This means that these organizations are fully dedicated to the management, centralization and digitalization of public purchases. This eventually resulted in greater expertise and, more generally, slack resources.


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Adoption, Diffusion and Upscaling of ICT-driven Innovation Table 38 presents the main determinants and barriers of adoption and upscaling from the inner context, clustered for types of adopter. Table 38. Overall snapshot of inner determinants and barriers in e-procurement adoption and upscaling

Type of adopter

Main determinants

Main barriers

Innovators 

Slack resources



Risk-averse bureaucratic culture



Managers’ leadership and professionalism



Individual scepticism



Knowledge transfer












Employees’ perception of relative advantage




Followers

Late adopters



Knowledge transfer



ICT skills



Lack of ICT facilities






Lack of ICT capabilities






Employees’ perception of relative advantage




Knowledge transfer




Non-adopters



Policy recommendations and practitioners implications In light of this overall picture, policy recommendations and practitioner implications can be formulated. In very general terms, it emerges that adoption (especially by later adopters and nonadopters) is more strongly determined by factors of the outer context, notably law obligations and ICT infrastructure. Therefore, the first adoption generally requires leverage in the realm of politics, rather than of management and practitioners. Non-adopters are, however, also influenced by certain determinants of the inner context, such as ICT skills and equipment. All in all, the policy recommendations for fostering adoption are the following: 

To elaborate policy guidelines for harmonizing national and regional regulations with the legislative proposals adopted by the European Commission in December 2011 (IP/11/1580) in the field of public procurement’s modernization. In particular, this implies establishing the following mandatory provisions: (a) use of electronic means for certain phases of the procurement process, notably the electronic notification of tender opportunities and the electronic availability of tender documents (originally expected by mid-2014); (b) use of electronic means of communication for central purchasing bodies (originally expected by mid-2014); (c) use of electronic means of communication for all the contracting authorities and all the procurement procedures (by mid-2016).


73

Adoption, Diffusion and Upscaling of ICT-driven Innovation Moreover, more detailed provisions need to be adopted for encouraging interoperability and standardization of e-procurement processes. 

To strengthen the investments in ICT infrastructures (e.g. broadband connections) for eliminating territorial digital divides.

The practitioner implications in favouring adoption, especially among non-adopters, can be instead listed as follows: 

To enhance the quality and the quantity of ICT equipment within public sector organizations.



To invest in training activities to improve ICT skills.

Once e-procurement is adopted, the challenge is to scale it up. This has proven to heavily rely on determinants of the inner context, practitioners rather than policymakers. Indeed, upscaling requires moving beyond organizational and individual resistances by using instruments that deal with the practice of e-procurement as more than a mere technical issue. A holistic approach is necessary, which takes into account the organizational impacts of ICT-driven social innovations as human-executed processes. However, policymakers can also facilitate the process of upscaling by favouring the dynamics of positive imitation which occur within regional contexts. In light of this, the policy recommendations for the upscaling of e-procurement are: 

To disseminate the existent best practices that generate a willingness to imitate;



To publish data on the level of take-up of e-procurement on total regional procurement (to foster positive competitiveness).

More importantly, practitioner implications in the upscaling of e-procurement are: 

To identify a pivotal figure able to act as a committed and visionary leader for the implementation of e-procurement and to generate organizational consensus on this issue, highlighting the benefits achievable in daily activities.



To pay attention to change management as a tool for reshaping governance traditions and employees’ preferences in the use of e-procurement.



To invest in training and consulting activities which holistically take into account both technical aspects in the use of e-procurement platforms and the organizational implications of upscaling.


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5. Empirical analysis on telework 5.1. Research design The research design and methods used for the empirical analysis of telework are presented in this section. The study setting of this ICT-driven social innovation is described in Section 5.1.1. Moreover, the data employed to carry out the empirical analysis are consequentially presented, based on the triangulation of the document analysis, qualitative interviews and survey data (Section 5.1.2).

5.1.1. Study setting Telework is defined by the European Union (2002) as a form of organizing and/or performing work, using information technology, in the context of an employment contract/relationship, where work, which could also be performed at the employer’s premises, is carried out away from those premises on a regular basis (cf. Appendix 1). This research prominently focuses on the adoption and upscaling of telework within public sector organizations at the local level of government in the six countries. Nonetheless, as will be noticed from the following overview on the EU and national contexts, telework in public sector organizations still represents a scarcely implemented practice. This required the development of a research design consistent with such a circumstance. Details are provided in Section 5.1.2.

European Union and telework: historical overview and existing policies From a legal viewpoint, no legislative acts have been approved at the EU level with respect to telework. However, the European Framework Agreement on Telework (EFAT)26, concluded by the European social partners on July 16th, 2002, represents the reference framework for all the Member States. The EFAT indeed provides the regulatory framework for the implementation of telework policies. It has not been embedded into any directive since agreements between social parties at the EU level are expected to be achieved in accordance with the procedures and practices specific to management and labour in the Member States. Therefore, these Member States have autonomously channelled EFAT’s provisions within their national labour systems. The various implementation styles are the product of decisional processes that had involved national business associations and trade unions. Such a country-specific approach clearly emerges for the implementation report published in 2008. Three implementation styles can be recognized in the EU: 

Implementation through national legislation (the Czech Republic, the Netherlands, Poland, Portugal, Slovakia, Hungary and Slovenia);



Implementation through collective agreements (Austria, Belgium, Denmark, Germany, Greece, France, Italy, Luxembourg and Spain);

26

See http://goo.gl/Cx0diS.


75


Implementation through soft law mechanisms, such as voluntary agreements, codes of conduct or guidance (Finland, Ireland, Latvia, Sweden and the UK).



Bulgaria, Cyprus, Estonia, Lithuania, Malta and Romania have not enacted implementation mechanisms for the EFAT.

These results were reported by the observatory EurWORK in 201027.

France In the French context, the EFAT has been firstly implemented through a collective agreement (i.e. National Inter-professional Agreement of 2005). Moreover, the national Law of March 22nd, 2012, provided a legislative framework for both the private (art. 46) and public (art. 133) sectors. The enforcement decree still has to be accomplished, but the General Secretariat for the Modernization of Public Action (SGMAP) and Directorate-General for Public Administration and Civil Service (DGAFP) are involved in the drafting. In the case of civil servants, the new law establishes that telework is possible if the employee demands it and the inherent head of department agrees. Moreover, teleworkers have the same rights as other employees to carry out their duties at the employers’ premises. At present, telework experiences in the public sector are mainly bottom-up initiatives. Italy Italian social parties implemented the EFAT in 2004, through the National Inter-Confederal Agreement (Accordo Inter-Confederale). This establishes general rules (e.g. rights and duties) also in the field of telework, while more detailed provisions can be reached through sectorial, company-level or even individual-level agreements. The Workers’ Charter (Statuto dei Lavoratori) also applies. With specific regard to public employees, the Law 191/1998 represents the basis for successive negotiations. For example, in 2007 an agreement between the government and trade unions was achieved. Moreover, a strong promotion of telework among public sector organizations has come from the Law Decree 179/2012, which obliges them to develop a detailed plan for enabling the adoption of telework (from home or from ad hoc tele-centres) and to clearly define which typologies of employees are eligible to become teleworkers. Local authorities are provided with an additional legislative framework28 and supported in the adoption of telework by national agencies for public administration (e.g. Formez). Nonetheless, pilot projects are currently the main form of telework experience within Italian public sector organizations, a fully-fledged implementation must still be achieved. The Netherlands In the Dutch context, the EFAT was first implemented through soft law mechanisms. This implies that each public sector organization could freely decide if and how to adopt it, as long as the “Working Condition Acts” (Arbeidsomstandighedenwet) are applied. These were approved in 1998. 27 28

See http://goo.gl/y0WS4t. D.lgs. 80/1998.


76

Adoption, Diffusion and Upscaling of ICT-driven Innovation General duties for employers vis-à-vis employees are included, these are also applicable for teleworkers. Since 2012, more flexible rules for telework have been adopted. Working at home now implies less strict rules than at employers’ premises. However, a fully-fledged legislative framework on telework now exists. The House of Representatives has recently approved new legislation on telework, which establishes it as a complete legal right. The law aims to ensure a better work/life balance for employees. However, the right to work in a flexible way or to telecommute is not absolute. Employees have the right to submit a request to their employer, who has the obligation to take it into consideration. The Netherlands represents the most advanced example of telework implementation among the countries analysed. The discussion on this innovation started in 1986 (within debates on the informal economy and regulation of homework). This can also be related to the rise of the “New Work” movement (since 2008-2009), which is focused on the introduction of smart ways of working, regardless of time and place (i.e. focus on results). At present, teleworkers are mainly civil servants (in 2010, approximately 14% of public sector employees worked at home at least six hours per week), workers with an employment contract and self-employed workers.

Romania In Romania, employment policies aim to progressively harmonize the national framework with the EU one. However, the national legislation has not yet introduced the practice of telework. A fullyfledged harmonization with the EFAT has never occurred. At present, specific proposals to provide the necessary legislative framework have been finalized and are being presented to the national Parliament29. More generally, various actors are currently involved in the promotion of telework. For example, public sector organizations (e.g. county councils, county agencies for employment, city halls, town councils and commune councils) seek to improve the opportunities provided by EU funds for the development of human resources. There is also a national association that contributes to the promotion of telework (Romanian Association for Telework). Finally, a structure for human resources training (also in the field of telework) will soon be established (Centre for Social Development).

Slovakia The Slovak government has implemented the EFAT by harmonizing the EU provisions and its national legislation. Since 2007, article 52 of the Labour Code establishes that the conditions, rights and duties for public servants to be teleworkers are the same as for any other teleworking employees. The Ministry of Labour, Social Affairs and Family is the main actor in coordinating the implementation of telework. The most typical adopters are ICT, financial, accounting and creative companies located in the larger cities (such as Bratislava and Košice). Data30 show that, in 2013, 9% of employees were teleworkers. However, there are no exact figures for public sector organizations, which are experiencing 29

E.g. "Legislative initiative of the citizens in view to promote the draft law on amending and completing Law no. 53/2003 - Labor Code from 11 March 2014". 30 Source: http://www.platy.sk/analyzy/z-domu-pracuje-takmer-desatina-zamestnancov/50087.


77

Adoption, Diffusion and Upscaling of ICT-driven Innovation telework mainly through pilot projects (e.g. cooperation of the Regional Chamber of Commerce and Industry in the city of Trencin, civic association “Forum for seniors” and the Association for the Development of Upper Nitra region). Spain In the Spanish context, the EFAT has been implemented through collective agreements between social parties. Therefore, there are no specific laws at the national level that regulate telework, although various sectorial laws have a direct impact on its adoption31. The Strategic Plan Concilia, launched in 2006 by the State General Administration (AGE) and the Ministry of Economy and Tax, encompassed a variety of guidelines to achieve a better work/life balance. More specifically, this plan established that the Ministry of Economy and Tax, Ministry of Tourism and Commerce and Ministry of Labour and Social Affairs would have until March 2008 to define telework conditions. However, this never happened. In public sector organizations, telework has been experimented with mainly through bottom-up processes at the sub-national levels. Numerous pilot projects have been experienced, but general implementation still has to occur.

5.1.2. Data and methods Multiple sources and methods have been used to develop the empirical analysis on telework. As for the e-procurement case, policy and organizational documents were analysed, in-depth semistructured interviews were conducted and a survey was carried out. The qualitative analysis is based on the WP5 Theoretical Framework (cf. Chapter 2) and on the document analysis. The aim is to expand the knowledge on the determinants and barriers of adoption and upscaling that are relevant in the literature and that may be specifically applicable to the case of telework. Qualitative findings were consequentially taken into account to structure the survey protocol of the quantitative analysis, which pays specific attention to the influential factors more strongly emphasised during the semi-structured interviews. To “come full circle” and generalize the findings, all data were triangulated to enable us to provide policy recommendations and practitioner implications. Also for telework, it is important to note that the types of adopter considered (i.e. innovators, followers, late adopters, laggards and non-adopters) refer to the single public sector organizations analysed, not to the countries as a whole. To attribute the proper category to each organization, a variety of features were considered, on the basis of both interviewees’ perceptions and organizational objectives. These are coherent with our theoretical framework, which draws on Rogers’ classification of adopter categories (2003) and further literature on ICT-driven social innovation (cf. Section 2.3). Specificities connected to the country context, such as the degree of diffusion of telework among local governments, are obviously taken into account.

31

e.g. Law 3/2012; Law 11/2007.


78

Adoption, Diffusion and Upscaling of ICT-driven Innovation Document analysis As for the e-procurement case, multiple policy documents and dataset have been explored. ICT readiness at the country and regional levels was assessed through the same sources presented for eprocurement (cf. Section 4.1.2). However, as already mentioned, the telework analysis focuses on the local level of government. For this reason, data from the EU Regional Competitiveness Index (RCI 2013) on technological readiness at the NUTS-II level were taken into account as a proxy to examine ICT readiness at the sub-regional level. Also, elements specifically referring to the organizations analysed for the qualitative analysis are considered – mainly identified through internal policy documents. Fact sheets on the particular context of telework adoption/upscaling were compiled. Several organizational specificities are observed, such as the number of employees, number of teleworkers, internal regulations with respect to the practice and inherent objectives.

Semi-structured interviews In-depth, semi-structured interviews have been conducted within one public sector organization for each country (6 organizations in total). More specifically, the selected units of analysis are public sector organizations operating at the local level which have upscaled (or are currently upscaling) telework. As remarked in the conclusion of the Theoretical Framework (cf. Section 2.5), in the case of telework upscaling can be observed in light of the share of potential teleworkers (i.e. employees executing “teleworkable” activities) who actually distance work through ICTs. However, because of the scarce extent of implementation in the countries analysed (cf. Section 5.1.1), it has not always been possible to identify telework adopters at the local level. For this reason, an organization operating at the national level (i.e. the Slovak National Library) is analysed for Slovakia. In Spain, a local organization (i.e. Municipality of Gijón) was identified, this organization, however, is currently experiencing the pilot phase of adoption. Finally, a county agency (i.e. AJOFM Harghita) is examined in the Romanian context, which has not internally adopted telework but which has been exposed to such a practice through the provision of telework training activities to unemployed people. As premised, Romania indeed lacks a legislative framework regulating distance work. Again, the WP5 Theoretical Framework represented the conceptual basis on which to structure the interview protocol. The protocol encompassed both open (inductive) and closed (deductive) questions. It is available in Appendix 4.B. To attribute a type of adopter to each public sector organization analysed, the criteria mentioned earlier were employed. Table 39 provides a detailed overview of the eligibility criteria used to select the public sector organizations analysed and the key internal stakeholders interviewed.


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Table 39. Eligibility criteria for the qualitative analysis on telework

Number of organizations

One organization for each country (6 organizations in total) that has been exposed to telework

Status of adoption

Upscaling (accomplished or in progress), where identifiable*

Characteristics

The teleworkers have to be provided with instruments for working from home, while making use of the ICT and data infrastructure of their organization. Their activities can also be performed at the employer’s premises, but are instead carried out away from those premises.

Level of government

Local, where identifiable**

Type of adopter

Every organization had to be ascribable to one adopter category (i.e. innovator, follower, late adopter, laggard or non-adopter).

Number of interviewees

5 per each organization (30 in total)

Role of interviewees

1. 2. 3. 4. 5.

Employee who teleworks Project manager of telework (or someone who was closely involved in introducing it to the organization) Manager ICT department Manager HRM department Manager at the highest management level (e.g. general director, high-ranking municipal official).

* The analysis has shown that not all the countries present cases of telework upscaling. ** The analysis has shown that not all the countries present analysable cases at the local level.

Also for telework, a total of thirty in-depth interviews were conducted in these organizations (5 interviews * 6 countries = 30 interviews). The interviewees are internal stakeholders covering a variety of roles, which are particularly relevant to the adoption and upscaling of telework (i.e. employee who teleworks; project manager of telework; manager ICT department; manager HRM department; manager at the highest management level). Each interview lasted roughly 30 minutes. Salient information was reported in English following a common report protocol. Eventually, results were used to formulate the survey questionnaires to support possible generalization.

Survey For the telework case, the survey was carried out at the local level of government. The targeted respondents were a sample of 419 human resources managers from municipalities (i.e. one person per municipality). Within each country, the inherent sub-sample could be of any dimension, as long as: (a) this was stratified according to the population size of the municipality and to the geographical area (generally North, South, West and East); (b) at least 50 responses per country were obtained. The criterion (b) is indeed based on the fact that, as a rule of thumb, subgroups of respondents must have at least 50 cases (Hoinville et al., 1977: 61). However, the analysis focused on medium-large municipalities (i.e. at least 40,000 inhabitants), since prominent empirical research proves that these are the ones most likely able to implement ICT-driven social innovations (e.g. Moon


80

Adoption, Diffusion and Upscaling of ICT-driven Innovation 2002; Nelson and Svara 2012; Pina et al. 2010; Kwon et al. 2009). A lower number of responses were collected in Romania and Slovakia, as they present less than 50 municipalities with a population equal or higher than 40,000. In these two countries, the whole population of human resources managers from municipalities with at least 40,000 inhabitants has thus responded to the survey. These are 46 in Romania and 13 in Slovakia. Also for the telework case, the questionnaires have been formulated taking into account the specificities of this ICT-driven social innovation. Various contextual factors are first examined and opinions on a number of determinants and barriers from the outer and inner contexts were thus collected through a Likert scale (1  5, where “1” expresses extreme disagreement and “5” expresses extreme agreement). To ascribe a type of adopter to each respondent organization, the parameters presented at the beginning of this chapter were used. The questionnaire is available in Appendix 4.C. As anticipated, 419 invitations were sent out and 269 responses were collected (i.e. 64.2% response rate). A detailed overview for each country is displayed in Table 40. Table 40. Targeted and actual respondents for the telework survey at the municipal level

Country

Number of targeted respondents

Number of actual respondents

Response rate

[A]

[B]

[B/A]

France

80

50

62.5%

Italy

118

57

48.3%

Netherlands

110

53

48.2%

Romania

46*

46*

100%

Slovakia

13*

13*

100%

Spain

52

50

96.2%

TOTAL

419

269

64.2%

* 46 and 13 represents the whole population of municipalities with at least 40,000 inhabitants in Romania and Slovakia respectively

An additional remark with respect to the telework survey in Slovakia and Romania must be made. In order to obtain a more complete snapshot, in Slovakia the questionnaire was also administered to human resources managers within 13 national ministries and 81 smaller municipalities. The choice to additionally take the national level into account is due to the fact that, for Slovakia, the qualitative analysis was conducted within a public sector organization at the national level (i.e. the Slovak National Library). The choice to send 81 additional questionnaires to the local level is instead due to the fact that 67.4% of Slovak municipalities have less than 1,000 inhabitants. Since the size of the municipality determines the financial capacity and consequently the number of employees, in several small municipalities activities are often performed solely by the mayor and one or two employees. In this case, the municipalities do not have staff responsible for HR. With respect to Romania, the survey was additionally administered to HR managers of 4 national ministries and the 6 sectors of the Bucharest municipality.


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Adoption, Diffusion and Upscaling of ICT-driven Innovation Online documents were researched and direct contacts were carried out to identify the respondents. Multiple channels (e.g. emails, telephone calls and online surveys) were used to administer the survey. The software SPSS® was used to produce outputs of both descriptive statistics and correlations among the variables.

5.2.Telework findings 5.2.1. Overview Before exploring the determinants and barriers which emerged from the empirical analysis, contextual information is provided to support the discussion. Severe differences are recognizable between the countries with respect to their level of economic and ICT development (cf. Table 1, Graph 1 and Graph 2). However, a slight divergence between the overall “macro ICT context” and the specific features of this ICT-driven social innovation emerge. Graph 7 shows the percentage of the employed population that does distance work (Eurostat 2006). Even if such data are 9 years old and do not specifically refer to public sector organizations, useful insights can be found. For example, it is interesting to note that France is particularly advanced in the diffusion of telework (18.30% of males and 18.10% of females), although is not the most developed country from an ICT perspective. This is also evident for Slovakia, which display a relatively high share of teleworkers (7.60% of males and 9.30% of females). Graph 7. Population in employment working from home, as a percentage of total employment, for the age group 25–49, by gender

20% 18% 16% 14% 12% 10% 8% 6% 4% 2% 0%

18,30% 18,10%

Male Female

9,30% 5,50% 4,80%

7,60%

5,80% 5,70%

5,30% 4,90%

1,10% 0,70%

France

Italy

Netherlands

Romania

Slovakia

Spain

Source: Eurostat 2006

Focusing also on the micro-context of the organizations qualitatively analysed through semistructured interviews is particularly fruitful. As explained in Section 5.1.2, not all these public sector organizations have upscaled telework. Table 41 provides a synthetic overview on these units of analysis. A detailed narrative for each organization is provided in Appendix 4.A.


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Adoption, Diffusion and Upscaling of ICT-driven Innovation Table 41. Organizations analysed as telework adopters

Country

France

Italy

Netherlands

Romania

Slovakia

Spain

Geographical context

City of Paris

Autonomous Province of Trento

Municipality of Krimpen aan den Ijssel

Harghita

Slovakia

Municipality of Gijón

Geographical level

Local

Local

Local

Regional (county)

National

Local

Organization Analysed

Call centre of the city of Paris



AJOFM Harghita

Slovak National Library


Type of adopter

Innovator

Innovator

Follower

Non-adopter

Innovator

Innovator

Phase of adoption


Upscaling (ongoing)


First exposure

Upscaling (ongoing)

Pilot phase

Year of adoption

2010

2012

2012

-

2010

2014

Number of employees

61

4.918

248

37

364

1.231

Number of teleworkers Main objectives of telework adoption

16

240

162

0

7

15

- To reduce absenteeism; - To reduce long-distance transfers; - To favour shift rotations.

- To improve work/life balance; - To enhance efficiency; - To improve social and environmental conditions; - To develop ICT facilities and infrastructures.

- To improve the quality of public services; - To improve work/life balance; - To cope with offices’ relocation.

- To foster socioeconomic development; - To create employment opportunities in rural areas through ICTs.

- To exploit experts’ competences who live at long distances.

- To improve work/life balance; - To increase motivation; - To improve work conditions; - To develop ICT facilities and infrastructures.

As shown in Table 41, type of adopter is attributed to each organization on the basis of the methodological parameters already presented (cf. Section 5.1.2). Table 42 again presents the six organizations analysed, grouping them according to this criterion. A detailed overview on each organization is provided in Appendix 4.A. It is worth noticing how the majority of organizations have been classified as innovators (4 out of 6). This is mainly due to the fact that in the public sectors of these countries (i.e. France, Italy, Slovakia and Spain) telework is scarcely diffused among public sector organizations and the few existent experiences thus represent notable “champions” in their national context. The organization analysed in the Netherlands is a follower in comparison to its national peers, even if the telework experience per se is very well-developed (telework has been upscaled and 65.3% of employees are teleworkers).


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Table 42. Organizations analysed as type of telework adopters 

Call Centre of the City of Paris (French organization);



Autonomous Province of Trento (Italian organization);



Slovak National Library (Slovak organization);



Municipality of Gijón (Spanish organization).

Followers



Municipality of Krimpen aan den Ijssel (Dutch organization).

Non-adopters



AJOFM Harghita (Romanian organization):

Innovators

Information is also provided with regard to the survey. Graph 8 shows the amount of innovators, followers, late adopters, laggards and non-adopters among the respondent organizations. The criteria to ascribe such types to organizations were presented in Section 5.1.2. Graph 8. Types of adopters among telework survey respondents

19; 8% 24; 10% 12; 5%

Innovators Followers

6; 3%

Late adopters Laggards

170; 74%

Non-Adopters

Almost two-thirds of respondent organizations (74%) have not adopted telework (not even through experimental projects), thus confirming the descriptive overview previously provided on the negligible level of implementation across the local governments of the countries considered. However, the picture is more complex if data are disaggregated for each country (cf. Graph 9). For most of the countries, non-adopters represent the majority of respondents, with the exception of the Netherlands (where all the organizations have adopted telework). Most notably, in Romania, all the respondents are nonadopters. Graph 9. Types of adopters among telework survey respondents, per country analysed

50

46

43

40

40

32

Followers

30 20 10

Innovators

5

11 9 101

20

2

98

9 10

0000

0112

Romania

Slovakia

Late adopters 1412

0 France

Italy

Netherlands

Spain

Laggards Non-Adopters

Finally, Graph 10 presents the temporal distribution of adoption among survey respondents. Most of the adoptions occurred from 2010 onwards (35, i.e. 58.3%).


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Adoption, Diffusion and Upscaling of ICT-driven Innovation Graph 10. Number of e-procurement adopters per year

10

9

8 6

5 1

0

1

2

2

2

6 3

1

3 1

1

7

4 2

1

0 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015

The following sections finally present and discuss the determinants and barriers of adoption and upscaling which emerged from the empirical analysis. As for e-procurement, the WP5 Theoretical Framework (cf. Section 2.4) represents the conceptual basis (e.g. three progressive levels of analysis).

5.2.2. Determinants and barriers of the outer context Inter-institutional dynamics Qualitative results on inter-institutional dynamics confirm those presented for e-procurement. For three of the innovator organizations analysed (i.e. Autonomous Province of Trento, Municipality of Gijón and the Slovak National Library) mimetic pressures have not played a relevant role. The process of telework adoption has instead been favoured by learning from other experiences (i.e. experiences from both the private and public sectors). In the case of the Autonomous Province of Trento, pilot projects of other Italian public sector organizations (e.g. INAIL, INPS and Azienda Sanitaria di Trento) have represented a stimulus to adopt telework in a better way. Moreover, cases of telework adoption from the private sector have been analysed as best practices to be taken into account. It is also worth noting that the TelePat project has been “imitated” by other PSOs in that local context (e.g. Trentino School of Management, local old age home and Museo delle Scienze di Trento). Similarly, in the case of the municipality of Gijón, once it had been decided to implement the project, other experiences at the European, national and regional level were analysed. For the Slovak National Library a similar process occurred. The organization had been inspired by private companies that use telework. For the other innovator organization analysed (i.e. Call Centre of the City of Paris), inter-institutional dynamics have not occurred at all, since the project was implemented with no reference to other experiences. However, interviewees expressed regrets with respect to this. “I wish there were more exchanging of experiments”. (French public official)

The case of the municipality of Krimpen aan den Ijssel is different. This organization is a follower in comparison to the other peer organizations in the country. Imitation has indeed emerged as a strong stimulus for adoption, also in light of the high popularity of telework in the country. In this sense, a remarkable mimetic pressure occurred.


85

Adoption, Diffusion and Upscaling of ICT-driven Innovation “Otherwise you are an outsider”. (Dutch public official) “Everyone is doing it”. (Dutch public official)

This is related to the rise of New Ways of Working or New Ways to Work (Het Nieuwe Werken or HNW), as a highly popular managerial vision for both the public and private sectors. HNW encompasses three major dimensions of work activities, these are (1) physical (housing, facilities), (2) mental (staff and organization) and (3) digital (ICTs). HNW is indeed a vision that emphasizes the need to work more effectively and efficiently, but also to make work more enjoyable for both the organization and the employee. This is realized by focusing on the employee and providing him or her – within limits – with the space and freedom to decide how and where to work. The focus is on strict deadlines, employee output and time/space flexibility (Peters, den Dulk and van der Lippe 2009). The municipality of Krimpen aan den Ijssel also embraces this concept, instead of just focusing on teleworking per se. Hence, teleworking is just one part of a much broader organizational strategy. Through the survey, perceptions on the role of positive imitation as a determinant of adoption were collected. Interesting results can be observed on the basis of the share of responses for each country analysed (cf. Table 43). Table 43. Percentage of responses with respect to positive imitation as a determinant for each country Extreme disagreement


Extreme agreement

1

2

3

4

5

0.00% 20.4% 0.00% 0.00% 23.1% 8.3%

8.0% 14.8% 0.00% 10.9% 0.00% 12.5%

26.0% 40.7% 40.0% 30.4% 38.5% 25.0%

52.0% 14.8% 55.0% 50.0% 38.5% 41.7%

14.0% 9.3% 5.0% 8.7% 0.00% 12.5%

In France, the Netherlands, Romania and Spain, the majority of respondents agree or extremely agree with the statement proposed, thus corroborating the qualitative findings. Such results clearly highlight the necessity of disseminating best practices enacted by the few existent “champions” vis-à-vis nonadopters, both at the national and at the European level, so as to upscale telework within public sector organizations. This is crucial in light of the prevalent “shallow patterns” that characterize the diffusion of this practice. In order to overcome this diffused inertia, stressing the benefits achieved by earlier adopters may represent a successful strategy. Finally, the statistical correlation between positive imitation (as a determinant) and the types of adopters (i.e. innovators, followers, late adopters, laggards and non-adopters) does not provide significant results. In conclusion, the empirical analysis largely confirms the findings presented in the case of eprocurement. By their own nature, inter-institutional dynamics represent important determinants for followers, late adopters and laggards (and even non-adopters). Innovators are instead not driven by


86

Adoption, Diffusion and Upscaling of ICT-driven Innovation these elements: their learning from other experiences usually occurs once the decision to adopt telework has already been taken.

Legislative factors Law proved to be mainly not influential, especially in the French, Slovakian and Spanish organizations qualitatively analysed. In these cases, interviewees did not mention legislative factors. In this sense, the legislative frameworks of the public sector organizations usually neither oblige nor forbid the adoption of telework. Instead, the choice to adopt telework is the result of an internal decision. Nonetheless, law sometimes emerges as a barrier, especially with respect to limits established by privacy laws. This was remarked in the case of the municipality of Krimpen aan den Ijssel, which is a follower organization in the Dutch context. “When people telework they may have access to sensitive information in for instance their homes where family members can have a look at it. Hence these kind of issues need to be considered when we introduce teleworking”. (Dutch public official)

Similarly, in the innovative case of the Autonomous Province of Trento, laws and regulations are mostly not influential for adoption, as TelePat is a “bottom-up” project, designed and promoted by internal actors of the organization and successively provided with a legislative framework. However, also in this case, law represented a (minor) barrier because of certain constraints related to privacy issues. The Romanian context, however, deserves the most attention. As already mentioned, the public agency analysed for the qualitative analysis (AJOFM Harghita) has not internally adopted telework – but it has, however, been exposed to this practice through the provision of telework trainings for unemployed young people in the area. At the national level, the pivotal legislation in the field of labour policy is represented by the Labour Code, which was deeply revised in 2011 (Law no. 40/2011) through the insertion of relevant rights for employees. However, telework is not explicitly regulated within the code32. In this sense, the Romanian legislature has never implemented the EFAT. The lack of legislation has emerged as the critical barrier for AJOFM Harghita to adopt (and possibly upscale) telework. Very interesting insights can be indeed formulated through the analysis of the survey data. First, they confirm that the law is mainly not perceived as a barrier to the implementation of telework. Table 44 shows how respondents prevalently consider the law as not influential.

32

At present, a Draft Law has been presented (109/2014) in order to further amend the Labor Code. Interestingly, it also encompasses four articles concerning the definition of telework, the quality and the working schedule of teleworkers, individual contracts for teleworkers and teleworkers’ rights and obligations.


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Table 44. Percentage of responses with respect to legislative constraints as barriers for each country Extreme disagreement


Extreme agreement

1

2

3

4

5

6.1% 31.5% 0.0% 0.0% 0.0% 10.4%

16.3% 22.2% 26.3% 17.4% 15.4% 25.0%

49.0% 25.9% 52.6% 34.8% 23.1% 27.1%

28.6% 11.1% 21.1% 43.5% 38.5% 18.8%

0.0% 9.3% 0.0% 4.3% 23.1% 18.8%

Neutral responses prevail in France (49%) and the Netherlands (52.6%). Disagreement and extreme disagreement are instead the relative majority of responses in the cases of Italy (53.7%) and Spain (35.4%). Nonetheless, it is really worth noting that the relative majority of respondents agree or extremely agree in Slovakia (61.6%) and Romania (47.8%) that the law can be a barrier. This snapshot is rather congruent with the qualitative findings.

Moreover, statistical results are presented below (cf. Table 45). Table 45. Statistical correlation between regulatory constraints and types of adopters (survey results) Determinant/barrier Expected Population Innovators Followers Late Laggards Nonimpact Adopters Adopters Regulatory Negative Pearson -,129 -,101 ,001 -,123 -,130 * ,204** constraints Correlation Sig. (2-tailed) ,051 ,126 ,050 ,989 ,064 ,002 N

229

229

229

229

229

229


Very interestingly, law barriers are very positively correlated with the status of non-adopters (0.01 level), thus confirming that legislation is (or it is perceived as) an important hindering factor as long as telework has not yet been experienced. In conclusion, legislative factors do not represent either relevant determinants or barriers for the upscaling of telework. However, a normative framework at the national level is needed in order to provide general guidelines on the relationship between social parts. It is not by chance that no cases of adoption were identifiable in the Romanian context. This country is indeed the only one that has not implemented the EFAT, neither through hard nor soft legislative mechanisms.

Political factors Telework is generally not considered as a political priority within public sector organizations. However, political support has proven to be a positive determinant in the French, Italian and Spanish organizations qualitatively analysed. For example, the mayor of Paris expressed a specific demand with respect to telework, which can be connected to the reduction of car use and the optimization of public


88

Adoption, Diffusion and Upscaling of ICT-driven Innovation transportation. For this reason, the innovative experiment of the Call Centre has encountered remarkable political support. “The mayor was so enthusiastic that it was not possible any way not to be completely involved during the pilot phase”. (French public official)

Also in the case of the municipality of Gijón (which is an innovator as well), political support has played a relevant role. The telework project is part of the organization’s digitalization strategy, that means, a larger plan that has been promoted by political representatives. Similarly, in the Autonomous Province of Trento, the local government and all the political parties of the provincial council have supported the TelePat project. It can therefore be stated that political vision and leadership for telework is a determinant for the adoption and upscaling specifically for innovator organizations. Dissimilarly, in the other organizations qualitatively analysed (i.e. in the Netherlands, Romania and Slovakia), the role of this element has been recognized as not influential. Another relevant element in the political dimension is the degree of institutional autonomy enjoyed by local governments vis-à-vis the central administration. With regard to the qualitative analysis, this has emerged clearly in the innovative case of the Autonomous Province of Trento. The unique political-institutional framework of this organization – which benefits from a sensible degree of autonomy vis-à-vis the Italian central government – has ensured great possibilities in autonomously implementing and upscaling telework. In this sense, the national legislative framework obviously provides the “boundaries” for adoption, but the experimentation with telework has taken place following a decentralized negotiation with trade unions. The semi-structured interviews conducted in AJOFM Harghita (which is a case of non-adoption) have shown how the absence of decentralization in managing work relationships represent a remarkable barrier, thus confirming the need of autonomously governing organizational processes. Institutional contexts and governance traditions may therefore be impactful in adopting and upscaling telework. The relevance of governmental autonomy was, however, not mentioned in the French, Dutch, Slovak and Spanish organizations analysed. In light of these results, the role of political vision and governmental autonomy were investigated through the cross-national survey. Table 46 shows the responses for the former. Table 46. Percentage of responses with respect to political vision as a determinant for each country Extreme disagreement



Extreme agreement

1

2

3

4

5

0.0% 13.0% 0.0% 8.7% 23.1% 20.8%

10.0% 11.1% 10.0% 54.3% 30.8% 33.3%

28.0% 24.1% 40.0% 17.4% 38.5% 20.8%

36.0% 27.8% 40.0% 17.4% 7.7% 22.9%

26.0% 24.1% 10.0% 2.2% 0.0% 2.1%

89

Adoption, Diffusion and Upscaling of ICT-driven Innovation The majority of respondents agree or extremely agree with the statement in Italy (51.9%), the Netherlands (50%) and, most notably, France (62%), which is indeed traditionally characterized by relevant political control over public administration. Quantitative results are however ambiguous with respect to the issue of governmental autonomy (cf. Table 47). Table 47. Percentage of responses with respect to governmental autonomy as a determinant for each country Extreme disagreement


Extreme agreement

1

2

3

4

5

0.0% 9.3% 5.0% 2.2% 15.4% 12.5%

4.0% 16.7% 25.0% 19.6% 7.7% 22.9%

22.0% 37.0% 30.0% 58.7% 38.5% 16.7%

54.0% 22.2% 35.0% 19.6% 30.8% 29.2%

20.0% 14.8% 5.0% 0.0% 7.7% 18.8%

The values registered highlight the scarce relevance of this determinant, which is mostly perceived as neutral, with the exception of France, where the 74% of respondents agree or extremely agree. This would confirm how, generally speaking, politics is a relevant factor for the French public administration. The correlation on survey data is presented in Table 48. Table 48. Statistical correlation between political factors and types of adopters (survey results) Determinant/barrier Expected Population Innovators Followers Late Laggards Nonimpact Adopters Adopters Governmental Positive Pearson ,053 ,025 -,072 ,030 ,009 ,026 autonomy Correlation Sig. (2-tailed) ,426 ,701 ,275 ,647 ,897 ,689 N 231 231 231 231 231 231 Political vision Positive Pearson ,096 -,018 ,036 ,014 -,115 ,154 * Correlation Sig. (2-tailed) ,144 ,019 ,786 ,586 ,835 ,082 N 231 231 231 231 231 231 *. Correlation is significant at the 0.05 level (2-tailed). **. Correlation is significant at the 0.01 level (2-tailed).

Very consistently with the qualitative findings, a positive association exists between political vision as a determinant of telework adoption and the status of innovator (0.05 level). This confirms how political leadership may facilitate upscaling processes within strongly innovative organizations. Overall, politics does not emerge as a strongly critical factor for the adoption and upscaling of telework. As will be noted later, for this ICT-driven innovation managerial elements are far more influent. However, it has been proven that political leadership may eventually sustain the process of upscaling through the provision of stable support. Social factors The first influential social factor that emerged from the qualitative analysis is the need-based demand of collectivity (and, as a consequence, of employees). This has proven to be particularly


90

Adoption, Diffusion and Upscaling of ICT-driven Innovation relevant in all the organizations qualitatively analysed but Romania, where telework has not been adopted. As meaningfully stated by a Dutch public official: “Citizens and entrepreneurs are increasingly demanding a responsive local government. This requires different ways of working, including flexible working arrangements such as teleworking. So, external social factors are influencing our internal organizational agenda”. (Dutch public official)

Public sector organizations are thus driven by a desire to be responsive to emergent social needs through the implementation of telework. For the Autonomous Province of Trento, the pursuit of a better work/life balance indeed represents one of the strategic assets by which the telework project was implemented. Similarly, in the Slovak National Library, the adoption was initially driven by the necessity of responding to the personal needs of certain employees. In a broader perspective, need-based demands have also been conceptualized in terms of improving environmental conditions for the whole collectivity (e.g. lower CO2 emissions, especially in densely inhabited areas), thanks to the possibility of avoiding daily travel by means of transportation, particularly in cars. In the municipality of Gijón, the improvement of working conditions was emphasised as a strategic objective. This element was stressed in the Call Centre of the City of Paris as well. “The staff is not tired and less stressed. There are less expenses for fuel and lower CO2 emissions. Teleworkers are more productive at home due to the less stress”. (French public official)

Overall, such findings can be connected to the increasing awareness (prevalently spread in the Western world during the last ten years) with respect to the necessity of responding to wicked societal challenges, especially in urban areas, which concerns the citizens’ quality of life. Concretely, employees of public sector organizations can recur to telework as a means to improve their work-life balance. In turn, employers can discuss the most appropriate solution in light of an employee’s particular necessities. The other relevant social factor concerns the role of key external stakeholders, namely trade unions, in light of their crucial role in the implementation of telework. For example, in the innovative case of the Autonomous Province of Trento, the existence of consensual relationships with such actors has proven to remarkably facilitate the process of adoption and upscaling, which is based on internal agreements among social parts. Trade unions have displayed a sensible attitude towards collaboration and consensus. Telework is indeed judged as an innovation that can bring benefits for all the actors involved. Such a consolidated system of positive social dialogue does not just refer to trade unions, but also (and more generally) to the strong sense of community that characterizes the province. Similar highlights emerged in another innovator organization, which is the Municipality of Gijón, while no reference to such aspects was made in the other organizations.


91

Adoption, Diffusion and Upscaling of ICT-driven Innovation Quantitative results are consistent with qualitative ones. Country-level results on need-based demands and the improvement of environmental conditions are provided in Table 49 and Table 50. Table 49. Percentage of responses with respect to need-based demands as a determinant for each country Extreme disagreement


Extreme agreement

1

2

3

4

5

0.0% 5.6% 0.0% 0.0% 7.7% 4.2%

16.0% 13.0% 5.0% 19.6% 23.1% 8.3%

14.0% 29.6% 15.0% 34.8% 30.8% 29.2%

42.0% 31.5% 45.0% 34.8% 30.8% 39.6%

28.0% 20.4% 35.0% 10.9% 7.7% 18.8%

Table 50. Percentage of responses with respect to environmental conditions as a determinant for each country Extreme disagreement


Extreme agreement

1

2

3

4

5

0.0% 14.8% 0.0% 2.2% 15.4% 21.3%

12.0% 27.8% 10.0% 34.8% 15.4% 31.9%

12.0% 33.3% 15.0% 41.3% 23.1% 31.9%

28.0% 14.8% 70.0% 13.0% 38.5% 10.6%

48.0% 9.3% 5.0% 8.7% 7.7% 4.3%

With respect to need-based demands, agreement and extreme agreement have been prevalently expressed by respondents, except for in Romania (45.7%) and Slovakia (38.5%). The relatively recent membership of these countries to the EU may result in the still emerging awareness on such societal needs. It is also observed that the improvement of environmental conditions represents a relevant driver of adoption in France and the Netherlands, where 60% and 75% of respondents agree and extremely agree with the statement proposed. Table 51 shows survey results with respect to consensual relationship with external stakeholders as a determinant of adoption. Italy is indeed the only country in which this factor encounters a sensible level of agreement and extreme agreement (57.4%). This appears consistent with both qualitative results and, in general, the socio-political organization of Italian society, traditionally based on corporatism. Table 51. Percentage of responses with respect to consensual relationships as a determinant for each country Extreme disagreement



Extreme agreement

1

2

3

4

5

0.0% 7.4% 0.0% 0.0% 7.7% 14.6%

22.0% 14.8% 20.0% 30.4% 38.5% 35.4%

34.0% 20.4% 45.0% 50.0% 46.2% 27.1%

24.0% 31.5% 25.0% 15.2% 7.7% 10.4%

20.0% 25.9% 10.0% 4.3% 0.0% 12.5%

92

Adoption, Diffusion and Upscaling of ICT-driven Innovation Finally, the results from the statistical analysis are shown in Table 52. Table 52. Statistical correlation between social factors and types of adopters (survey results) Determinant/barrier Expected Population Innovators Followers Late Laggards Nonimpact Adopters Adopters Consensual Positive Pearson ** ,090 ,063 ,006 -,069 -,084 ,176 relationship with Correlation external stakeholders Sig. (2-tailed) ,007 ,172 ,344 ,929 ,294 ,202 N Need-based demands

Positive


Improvement of environmental conditions

Positive


231

231

231

231

231

231

,029

-,033

,118

,055

,038

-,105

,660

,617

,075

,405

,561

,113

231

231

231

231

231

231

,062

-,004

-,069

,041

,051

-,005

,348

,951

,294

,536

,440

,944

230

230

230

230

230

230


Similarly to the results observed for e-procurement, population size proves to be positively correlated with the existence of consensual relationships with external stakeholders (0.01 level of significance), namely trade unions. Also in this case, this may indicate how larger local contexts are characterized by greater relational intensity among societal actors. In conclusion, social factors emerge as relevant determinants in the adoption and upscaling of telework mainly in terms of underlying beliefs that drive the organizational will to being responsive. This is obviously connected with the influential factors of the inner context that will be analysed later.

Economic factors Economic factors – in terms of fiscal capacity, local budgets, etc. – were unanimously perceived as not influential during the semi-structured interviews. In light of such a univocal result, this dimension has not been investigated through the survey. However, economic factors referring to the inner context (namely the pursuit of economic efficiency and cost savings) have proved to be critical for the adoption and upscaling of telework (cf. Section 5.2.3) Demographic factors Demography emerges as a strongly positive determinant from the qualitative analysis. However, this was conceptualized rather differently from the general literature on ICT-driven social innovation, which focuses on the number and/or density of inhabitants. Geo-morphological contexts instead proved to be very important, especially in the Italian, French and Slovak organizations qualitatively analysed, which are all categorized as innovators (conversely, this factor did not explicitly emerge in the other organizations). For example, the Autonomous Province of Trento is situated in mountainous territories and reaching the workplace is surely a greater effort in comparison to more circumscribed


93

Adoption, Diffusion and Upscaling of ICT-driven Innovation environments. This territorial conformation has represented an additional driver to adopt telework. In this sense, the presence of twelve tele-centres dispersed over the province is seen as a means to “safeguard” territories (especially wide valleys), which are particularly distant from the city of Trento, where most of the administrative sites are. “I take roughly two hours to reach the workplace in the morning, and additional two hours in the evening. Telework has changed my life for the better! I can spend more time with my family and I work according to my personal schedule”. (Italian teleworker)

Also for the Slovak National Library such a factor has proven to be influential. Since there are some areas that are more attractive for living than others, telework eliminates the problem of unwillingness to migrate. A qualified workforce is thus available from all regions of Slovakia without the need to move. In the Call Centre of the City of Paris, the difficulty in moving across the city of Paris and the relevant distances which employees need to travel to reach the call centre have represented an underlying motivation to experiment with telework. The importance of geo-morphological contexts is obviously connected to the necessity of responding to the emergent societal needs mentioned previously. As showed by Table 53, the survey corroborates these findings only for the French context, where 72% of respondents agree or extremely agreement with the inherent proposition. Neutral opinions prevail in the other countries. Table 53. Percentage of responses with respect to geo-morphological contexts as determinants for each country Extreme disagreement


Extreme agreement

1

2

3

4

5

0.0% 11.1% 0.0% 0.0% 15.4% 12.5%

2.0% 16.7% 10.0% 32.6% 23.1% 33.3%

26.0% 42.6% 40.0% 39.1% 30.8% 22.9%

42.0% 20.4% 45.0% 21.7% 30.8% 20.8%

30.0% 9.3% 5.0% 6.5% 0.0% 10.4%

Unfortunately, the statistical correlation does not provide particularly interesting insights in clustering the determinants for type of adopters. Overall, it is worth noting that geo-morphological contexts represent a possible determinant of telework adoption and upscaling and that this factor lacks conceptualization in the literature. Both geographically dispersed communities and densely inhabited urban areas may represent the ideal contexts for the upscaling of telework.

Technological factors Technological factors have proven to be very influential for the adoption and upscaling of telework in most of the organizations qualitatively analysed, though in rather different terms. ICT


94

Adoption, Diffusion and Upscaling of ICT-driven Innovation infrastructure – especially a fast and stable internet connection – is a critical determinant to enable the possibility of teleworking, as remarked in three of the innovator organizations qualitatively analysed (i.e. Call Centre of the City of Paris, Autonomous Province of Trento and Slovak National Library) and in the follower organization (municipality of Krimpen aan den Ijssel). “Without a reliable Internet connection, telework is impossible”. (French public official) “Kind of technological developments made the introduction of telework possible”. (Dutch public official)

The degree of technological development was also remarked as a factor for the Slovak National Library. Moreover, in the Autonomous Province of Trento, the local government invested remarkable resources in providing the whole provincial territory with a broadband connection. This has facilitated the adoption of telework as even those employees that live far away from the city of Trento can benefit from an efficient internet connection. The case of the municipality of Gijón is important in the opposite sense. Due to the orography of Asturias, communications in rural areas are very difficult. This makes telework a difficult option for public employees who live in such areas, which are distant from the municipality of Gijon. Similarly, the Romanian agency qualitatively analysed is facing remarkable barriers due to the territorial digital divide between urban and rural areas. In order to generalize such findings, two specific technological factors have been investigated through the survey, these are territorial ICT infrastructures and the level of ICT readiness displayed by citizens. The rate of responses for each country is presented in Table 54 and Table 55. Table 54. Percentage of responses with respect to territorial ICT infrastructures as determinants for each country Extreme disagreement


Extreme agreement

1

2

3

4

5

0.0% 1.9% 0.0% 0.0% 7.7% 2.2%

0.0% 9.3% 5.0% 23.9% 15.4% 4.3%

20.0% 20.4% 10.0% 19.6% 38.5% 21.7%

42.0% 27.8% 25.0% 50.0% 30.8% 28.3%

38.0% 40.7% 60.0% 6.5% 7.7% 43.5%

Table 55. Percentage of responses with respect to citizens’ ICT readiness as a determinant for each country Extreme disagreement


Extreme agreement

1

2

3

4

5

0.0% 1.9% 0.0% 0.0% 7.7% 4.2%

4.0% 14.8% 5.0% 17.4% 7.7% 12.5%

14.0% 18.5% 15.0% 52.2% 30.8% 12.5%

74.0% 27.8% 55.0% 21.7% 38.5% 43.8%

8.0% 37.0% 25.0% 8.7% 15.4% 27.1%

Remarkable levels of agreement are expressed across all the countries. However, Romania is a notable exception: just 30.4% of respondents agree or extremely agree in judging citizens’ ICT


95

Adoption, Diffusion and Upscaling of ICT-driven Innovation readiness as an influential factor. This is a very interesting finding. Similarly to the argument presented for e-procurement, technological factors can be interpreted as an insufficient but necessary determinant for implementation. The statistical analysis confirms this (cf. Table 56). Table 56. Statistical correlation between technological factors and types of adopters (survey results) Determinant/barrier Expected Population Innovators Followers Late Laggards Nonimpact Adopters Adopters Territorial ICT Positive Pearson ,102 ,027 ,074 ,080 ,042 -,133 * infrastructures Correlation Sig. (2-tailed) ,122 ,681 ,266 ,230 ,527 ,045 N 229 229 229 229 229 229 Citizens' ICT Positive Pearson ,028 ,053 ,051 ,167 * ,177** -,196** readiness Correlation Sig. (2-tailed) ,011 ,668 ,007 ,426 ,444 ,003 N 231 231 231 231 231 231 *. Correlation is significant at the 0.05 level (2-tailed). **. Correlation is significant at the 0.01 level (2-tailed).

Both the determinants analysed (i.e. territorial ICT infrastructures and citizens’ ICT readiness) are negatively correlated with the status of non-adoption (0.05 and 0.01 levels). This would also confirm the e-procurement findings. Since technology can be considered as a basic enabling condition (rather than a fully-fledged determinant), organizations struggle in implementing telework when such facilities are lacking because of a territorial digital divide. In conclusion, despite the overall moderate influence of the outer context, technology-driven determinants (together with legislative frameworks) emerge as crucial in order to “convert” non-adoption into a first stage of adoption.

5.2.3. Determinants and barriers of the inner context Organizational factors With respect to organizational factors, one of the most interesting results regards the bottom-up initiatives that are likely to characterize the first adoption of telework. This clearly emerged in the Italian, Dutch, Spanish and Slovak organizations qualitatively analysed. In the innovative case of the Autonomous Province of Trento, the adoption and upscaling of telework within the organization has followed a path of progressive extension. A small group of visionary employees within the HR department have designed the project and made its adoption possible. The TelePat project is indeed a “grassroots” initiative, which is successful mainly because of the strong commitment of its initiators. In the municipality of Gijón and the Slovak National Library (which are also innovator organizations), telework was indeed adopted on the basis of a personal request. Similarly, five employees have introduced the idea of telework in the municipality of Krimpen aan den Ijssel (which is categorized as a follower in the Dutch context) as a bottom-up project. These employees really acted as forerunners and played a major role in launching telework in the organization. It is also important to note that none of these persons had a managerial position. However, spontaneous initiatives alone cannot ensure the upscaling of telework within organizations. The support of the top is therefore critical in promoting the


96

Adoption, Diffusion and Upscaling of ICT-driven Innovation internal diffusion of such a practice, at least in order to allow for experimentation. In the Call Centre of the city of Paris, top management seem to have played a major role, while bottom-up initiatives have been negligible. Connected to this, organizational culture emerges as another key determinant, which can act both as a driver and barrier. On the one hand, it is worth remarking again that an innovative attitude is necessary in order to adopt telework, as emphasised in the case of the municipality of Krimpen aan den Ijssel. “The municipality of Krimpen aan den Ijssel assumes a flat organization (short lines, large responsibility for the employees). This perfectly suits the idea of people who can choose to work when they would like and where they would like”. (Dutch public official)

On the other hand, a risk-averse bureaucratic culture is likely to represent the main barrier to the upscaling of telework. This often consists of the difficulty some managers and employees have with understanding how physical presence is not strictly necessary to ensure productivity. For example, in the municipality of Gijón, it was reported that teleworkers currently leave a sign on their desks when they are teleworking that indeed says so. In this way, colleagues remember and know they are working, although they are not there. It is worth noticing how, in this organization, telework was indeed implemented also with the objective to promote a model of management by objectives. In this sense, telework certainly requires significant organizational reshaping, which can encounter resistance. This meaningfully also emerges from the case of the Call Centre of the City of Paris: “Depending on circumstances, social life the office is eased, constraints or conflicts are easier to handle at distance, but sometimes it is more difficult to solve problems without the contact of colleagues”. (French public official)

Similarly, in the case of the Autonomous Province of Trento, it was emphasised that the bureaucratic culture that traditionally characterizes public sector organizations has hinder the process of upscaling, since it focuses on the physical presence of employees rather than on actual results. Overall, bureaucratic culture emerges as a hindering factor for both innovators and followers. This is a factor closely related to the governance traditions of public administrations. Nonetheless, training and supervising activities that support the development of individual autonomy in pursuing objectives and a results-oriented culture represent powerful facilitators of telework implementation. For example, the municipality of Gijón is currently training the supervisors of the employees who are teleworking. In the Autonomous Province of Trento, in order to extend the practice to a broader proportion of employees (i.e. upscaling), initiators used two main leverages. First, they have promoted telework and its benefits to the managers of each department. This is fundamental, especially in the case of risk-averse directors, since the decision to adopt telework within a department


97

Adoption, Diffusion and Upscaling of ICT-driven Innovation is up to these managers. Second, visionary promoters invest great resources (financial, but also cognitive) in “knowledge transfer”. This means that they constantly pay attention to training activities in order to foster the diffusion of telework. In the case of the Autonomous Province of Trento, such trainings prevalently consist of generating a “sense of community” for teleworkers (but also for other employees, who may perceive their colleagues as “idler” or “privileged”). Coaching and mentoring activities are indeed enacted to approach telework as a “social issue” that aims to increase everybody’s well-being within the organization. Similarly, workshops are organized in the Dutch municipality of Krimpen aan den Ijssel. These aim to discuss the changing relationships between co-workers as a result of telework and to possibly handle emergent questions. Finally, also the trialability of telework is critical. Pilot projects allow the experimentation of this practice in order to make visible the benefits that are achievable. For example, in the Municipality of Gijón (which is currently in the pilot phase of telework adoption), telework was first experimented with in 2014 through a pre-pilot phase with five employees. Also in the municipality of Krimpen aan den Ijssel, a 6-month pilot project took place in order to test the possible benefits and to overcome the fears of managers and other employees. A final remark from the qualitative analysis has to be made with respect to internal economic aspects, as anticipated in the previous section on the outer context (cf. Section 5.2.2). Interestingly, in the Autonomous Province of Trento and the Municipality of Krimpen aan den Ijssel, telework is perceived as a valuable instrument to increase efficiency and obtain savings on public expenditures. Results from the survey on bottom-up initiatives and top management support as determinants of telework adoption are provided in Table 57 and Table 58. Table 57. Percentage of responses with respect to bottom-up initiatives as determinants for each country Extreme disagreement


Extreme agreement

1

2

3

4

5

0.0% 13.0% 0.0% 0.0% 7.7% 6.3%

14.0% 22.2% 0.0% 15.2% 30.8% 20.8%

22.0% 33.3% 20.0% 50.0% 46.2% 39.6%

46.0% 18.5% 65.0% 17.4% 15.4% 20.8%

18.0% 13.0% 15.0% 17.4% 0.0% 12.5%

Table 58. Percentage of responses with respect to managerial support as a determinant for each country Extreme disagreement



Extreme agreement

1

2

3

4

5

0.0% 7.4% 0.0% 2.2% 7.7% 10.4%

0.0% 20.4% 0.0% 21.7% 23.1% 22.9%

2.0% 22.2% 0.0% 50.0% 23.1% 8.3%

42.0% 33.3% 40.0% 19.6% 30.8% 37.5%

56.0% 16.7% 60.0% 6.5% 15.4% 20.8%

98

Adoption, Diffusion and Upscaling of ICT-driven Innovation The values registered strongly corroborate the qualitative results on bottom-up initiatives in the contexts of France and the Netherlands. In these countries, the percentage of respondents expressing agreement or extreme agreement is 64% and 80% respectively. In the other countries, neutral opinions instead prevail. Moreover, such spontaneous organizational dynamics appears – as also shown by the qualitative analysis – to be sharply symmetric with the existence of support from top management. Indeed, in France and the Netherlands this inherent proposition reaches the impressive rates of agreement or extreme agreement of 98% and 100% respectively. Moreover, Spanish respondents also express such opinions in the majority of cases (58.3%). According to the qualitative analysis, the most relevant barrier to upscaling telework is the bureaucratic culture of public sector organizations. Results of the survey with respect to this are shown in Table 59. Table 59. Percentage of responses with respect to bureaucratic culture as a barrier for each country Extreme disagreement


Extreme agreement

1

2

3

4

5

0.0% 1.9% 0.0% 0.0% 7.7% 0.0%

0.0% 13.0% 10.0% 2.2% 15.4% 6.3%

20.0% 16.7% 20.0% 19.6% 23.1% 18.8%

36.0% 24.1% 50.0% 63.0% 30.8% 29.2%

44.0% 44.4% 20.0% 15.2% 23.1% 45.8%

Impressive levels of agreement and extreme agreements are indeed registered for all the countries analysed, thus strongly confirming the qualitative findings. Such values range between 53.9% (Slovakia) and 80% (France). Conversely, disagreement and extreme disagreement are sporadically expressed (the higher value is 23.1% in the case of Slovakia). On the side of facilitating factors, knowledge transfer (e.g. training activities) and trialability (e.g. pilot projects) were instead analysed. Results of these descriptive statistics are shown in Table 60 and Table 61. Table 60. Percentage of responses with respect to knowledge transfer as a determinant for each country Extreme disagreement



Extreme agreement

1

2

3

4

5

0.0% 1.9% 0.0% 0.0% 7.7% 6.3%

6.0% 13.0% 20.0% 8.7% 23.1% 12.5%

10.0% 33.3% 35.0% 45.7% 15.4% 16.7%

22.0% 25.9% 25.0% 39.1% 46.2% 43.8%

62.0% 25.9% 20.0% 6.5% 7.7% 20.8%

99

Adoption, Diffusion and Upscaling of ICT-driven Innovation Table 61. Percentage of responses with respect to trialability as a determinant for each country Extreme disagreement


Extreme agreement

1

2

3

4

5

0.0% 0.0% 0.0% 2.2% 15.4% 2.1%

4.0% 7.4% 5.0% 2.2% 7.7% 6.3%

18.0% 16.7% 15.0% 43.5% 23.1% 6.3%

32.0% 33.3% 60.0% 41.3% 30.8% 33.3%

46.0% 42.6% 20.0% 10.9% 23.1% 52.1%

Also for these influential factors, the majority of respondents express their agreement in all the countries considered. Knowledge transfer is sharply relevant in the case of France (84% of agreement and extreme agreement), while trialability is perceived as a critical determinant especially in Spain (85.4%). However, the Netherlands and Romania represent notable exceptions in the case of knowledge transfer. The levels of agreement and extreme agreement in these countries are respectively 45% and 45.6%. This may appear paradoxical, since the Dutch context is the most advanced in telework diffusion, while no adopters have been identified in Romania. In the Netherlands, knowledge transfer is probably negligible in light of the diffused use of this practice, while in Romania the necessity of training activities may not even be clearly perceived. Moreover, the cross-country comparison of responses on economic efficiency and cost savings show that these determinants are scarcely perceived as influential (cf. Table 62 and Table 63). However, the Netherlands is a notable exception, since agreement and extreme agreement are expressed for both the determinants (95% and 80% respectively). Indeed, telework was firstly introduced in Dutch public sector organizations with the particular aim of reducing public expenditure (e.g. less buildings/rooms are necessary, as employees work remotely). This would explain the awareness of HR managers with respect to the economic improvements achievable thanks to this practice. Table 62. Percentage of responses with respect to economic efficiency as a determinant for each country Extreme disagreement



Extreme agreement

1

2

3

4

5

2.0% 11.1% 0.0% 0.0% 7.7% 4.2%

22.0% 24.1%

46.0% 37.0% 5.0% 37.0% 23.1% 39.6%

24.0% 14.8% 70.0% 50.0% 23.1% 33.3%

6.0% 13.0% 25.0% 8.7% 15.4% 10.4%

4.3% 30.8% 12.5%

100

Adoption, Diffusion and Upscaling of ICT-driven Innovation Table 63. Percentage of responses with respect to cost savings as determinants for each country Extreme disagreement


Extreme agreement

1

2

3

4

5

0.0% 7.4% 0.0% 0.0% 7.7% 10.4%

16.0% 35.2% 5.0% 2.2% 15.4% 14.6%

52.0% 33.3% 15.0% 41.3% 23.1% 39.6%

30.0% 14.8% 55.0% 43.5% 38.5% 25.0%

2.0% 9.3% 25.0% 13.0% 15.4% 10.4%

Finally, correlations among determinants/barriers and types of adopter are shown in Table 64. Table 64. Statistical correlation between organizational factors and types of adopters (survey results) Determinant/barrier Expected Population Innovators Followers Late Laggards Nonimpact Adopters Adopters Economic efficiency Positive Pearson -,012 -,046 ,121 -,024 ,068 -,171** Correlation Sig. (2-tailed) ,853 ,009 ,491 ,065 ,722 ,300 N 231 231 231 231 231 231 Cost savings Positive Pearson ** ,027 -,074 ,114 ,011 ,110 -,190 Correlation Sig. (2-tailed) ,678 ,004 ,265 ,083 ,864 ,097 N 231 231 231 231 231 231 Bottom-up initiatives Positive Pearson -,023 ,018 ,082 ,117 ,107 -,162 * Correlation Sig. (2-tailed) ,729 ,781 ,214 ,076 ,104 ,014 N 231 231 231 231 231 231 Managerial support Positive Pearson ** ,104 -,030 ,101 ,026 ,188 -,148 * Correlation Sig. (2-tailed) ,115 ,646 ,127 ,004 ,691 ,024 N 231 231 231 231 231 231 Knowledgde transfer Positive Pearson ,112 -,067 -,100 -,047 ,071 ,096 Correlation Sig. (2-tailed) ,090 ,311 ,128 ,481 ,285 ,146 N 231 231 231 231 231 231 Trialability Positive Pearson ,120 ,016 -,030 ,061 ,028 -,020 Correlation Sig. (2-tailed) ,068 ,805 ,650 ,358 ,669 ,758 N 231 231 231 231 231 231 Bureaucratic culture

Negative


,036

-,154 *

,043

-,002

-,059

,089

,590

,019

,515

,974

,369

,177

231

231

231

231

231

231


So far, the determinants and barriers identified appear particularly influential beyond the type of adopter considered (i.e. it is common for earlier and later adopters). However, the statistical analysis shows how a negative correlation exists between the status of non-adopters and (a) bottom-up initiatives; (b) managerial support (0.05 levels). This would confirm that the organizational context is much more relevant than the external environment in the implementation of telework. Since adoption is prevalently not mandatory in the countries analysed, organizations are almost fully responsible for their decision to implement telework (or not to implement it), thus entrepreneurial attitudes can play a critical


101

Adoption, Diffusion and Upscaling of ICT-driven Innovation role in this sense. The analysis moreover shows how a negative correlation exists between the bureaucratic culture barrier and the status of innovators (0.05 level). Finally (and perhaps surprisingly), both economic efficiency and costs savings are determinants negatively correlated with the status of innovators (0.01 level). It may be stated that such a type of adopter is more likely to be influenced by other kinds of motivations and that the pursuit of economic benefits represent just a possible and secondary driver. Overall, all the organizational factors examined appear consistently intertwined. The adoption and possible upscaling of telework are likely to be firstly driven by “grassroots” and spontaneous initiatives, which must find the support of top management to be successful. In progressively extending the practice among employees, resistances may arise in light of an organizational reluctance towards change. However, such obstacles can be overcome as long as a transfer of knowledge occurs, in order to make internal stakeholders able to accept (and possibly use) telework as an organizational habit. To achieve this objective, the initial of experimentation on a small scale can be useful to show the benefits of telework and to convince sceptical employees.

Individual factors Individual factors are obviously strictly connected to organizational ones. In the same organizations qualitatively analysed for which bottom-up initiatives emerged as preeminent determinants (i.e. the Italian, Dutch, Spanish and Slovak organizations), the entrepreneurial attitude of initiators represents a key driver of adoption. Enthusiasm can convince sceptical managers and employees to progressively accept telework as an organizational arrangement and to eventually perceive the relative advantage achievable through its use. This may eventually lead to upscaling the practice internally. ICT skills have proven to be additional relevant determinants of adoption and upscaling. In the innovative case of the Autonomous Province of Trento, the familiarity of employees with these technologies has proven to be critical for the internal diffusion of telework. Similar factors emerge in the municipality of Krimpen aan den Ijssel. “Everyone can participate remotely in the system and work from there”. (Dutch public official)

In the cases of the Slovak National Library and the municipality of Gijón, it was remarked that all of the employees have basic ICT literacy and that some of them are trained to work with special software. Moreover, teleworkers have to demonstrate that they are able to autonomously arrange their work activities and use the equipment necessary for teleworking. “Teleworkers have to be the best workers in the organization, because the organization can trust them. […] They also have to autonomous”. (Spanish public official)


102


In all the organizations qualitatively analysed (except Romania), it was indeed remarked that teleworkers have displayed personal creativity and flexibility with respect to this. Such determinants were examined through the cross-national survey (cf. Table 65 and Table 66). Table 65. Percentage of responses with respect to employees’ autonomy as a determinant for each country Extreme disagreement


Extreme agreement

1

2

3

4

5

0.0% 3.7% 0.0% 0.0% 15.4% 6.5%

0.0% 18.5% 0.0% 10.9% 23.1% 13.0%

0.0% 29.6% 5.0% 32.6% 38.5% 19.6%

52.0% 25.9% 30.0% 50.0% 15.4% 37.0%

48.0% 22.2% 65.0% 6.5% 7.7% 23.9%

Table 66. Percentage of responses with respect to ICT skills as determinants for each country Extreme disagreement


Extreme agreement

1

2

3

4

5

0.0% 3.7% 0.0% 0.0% 15.4% 0.0%

0.0% 5.6% 0.0% 4.3% 7.7% 2.1%

28.0% 20.4% 26.3% 39.1% 38.5% 18.8%

52.0% 35.2% 47.4% 50.0% 23.1% 45.8%

20.0% 35.2% 26.3% 6.5% 15.4% 33.3%

Generally speaking, the quantitative results are strongly consistent with qualitative ones. Remarkable levels of agreement are expressed on the items proposed in most of the countries. More specifically, Italy and Slovakia are the only countries in which less than 50% of respondents express agreement or extreme agreement (48.1% and 23.1% respectively) on employees’ autonomy as a determinant of adoption, while this percentage reaches the impressive value of 100% in the case of France. ICT skills are even more largely perceived as positively influential. The maximum peak is reached in Spain (79.1% of agreement and extreme agreement) – thus confirming the relevance of technology in the context of Spain, as already stressed for the outer context. Just in Slovakia the minority of respondents expresses agreement or extreme agreement (38.5%). Finally, results of the statistical correlation do not provide significant levels of associations between determinants and type of adopters. As already stressed, individual factors appear surely connected to the overall organizational environment. While ICT skills are generally diffused among public servants, their autonomy in organizing work activities needs to be progressively cultivated through dedicated training activities.


103


Technological factors Similarly to the e-procurement case, technological factors are important, but mainly perceived as basic enabling conditions for telework rather than fully-fledged determinants of its adoption and upscaling. First, a well-functioning internet connection is surely critical to ensuring the possibility of teleworking. However, more specific issues emerged during the semi-structured interviews with respect to the software for telework. In this sense, the possibility of developing and managing in-house these systems may facilitate the adoption of telework. “Through technology we have the ability to work independently of time and place with full access to the organizational ICT network”. (Dutch public official) In the case of the Autonomous Province of Trento, the local government has developed an ad hoc software for teleworkers (“e-Work”) that is easy to use and very flexible in supporting distance work. It encompasses the use of e-mail, chat, telephone, e-conference, etc. In the Spanish case qualitatively analysed, it was emphasised that various technological tools are needed, such as videoconference, which make coordination between teleworkers and other colleagues easier. Very interestingly, the majority of survey respondents agree in judging this factor as a positive determinant, regardless of the country considered (cf. Table 67). Table 67. Percentage of responses with respect to the possibility of managing in-house telework software as a determinant for each country Extreme disagreement

Extreme agreement

1

2

3

4

5

France

0.0%

12.0%

28.0%

42.0%

18.0%

Italy

9.3%

9.3%

18.5%

33.3%

29.6%

Netherlands

0.0%

0.0%

5.0%

55.0%

40.0%

Romania

0.0%

2.2%

13.0%

58.7%

26.1%

Slovakia

7.7%

7.7%

30.8%

38.5%

15.4%

Spain

6.3%

0.0%

18.8%

54.2%

20.8%

Also in this case, statistical correlations do not display significant relationships between this determinant and the various types of adopters. In conclusion, technology (in terms of equipment, facilities, etc.) does not represent a critical determinant of adoption, showing how ICT-driven innovations (and thus telework) are more connected with human rather than technical factors. In any case, the possibility of internally managed telework facilities may foster the process of upscaling in public sector organizations, these should therefore invest their internal (financial and cognitive) resources to develop dedicated software.


104


5.3. Conclusion: Recommendations and implications in implementing telework This research on telework has highlighted the importance of specific determinants and barriers for its adoption and upscaling. Also in this case, telework cannot be considered as a merely technical issue. Again, technological factors represent basic enabling conditions. Even more than e-procurement, telework requires public sector organizations to rearrange their organizational setting and thus their underlying culture. With respect to the outer context, need-based demands and geo-morphological contexts represent notable drivers for adoption and upscaling. Such elements are obviously intertwined. The typical challenges faced by contemporary Western societies, such as the necessity of pursuing a better work/life balance, are also connected to geographical setting (e.g. densely inhabited urban areas). Public sector organizations are thus required to be responsive to such aspects, taking into account their territorial specificities. It is also noticeable that positive imitation can emerge as a powerful determinant among later adopters and non-adopters. Moreover, a minimal legislative framework is necessary to allow for experimentation with this practice. With respect to the inner context, bottom-up spontaneous initiatives by employees can determine the success of telework adoption. These have to be supported by top management in order to provide the necessary guidance and boundaries. A major obstacle is represented by a bureaucratic culture that focuses on processes rather than on results. In order to highlight the benefits achievable through telework (which are also economic in nature), training activities are fundamental, as they allow managers and employees to handle organizational and psychological spillovers of distance work. Finally, experimenting with telework on a narrow organizational basis is also positively influential, since it allows organizations to limit the risks of implementation and convince more sceptical staff members. Also in the case of telework, the objective of the empirical research was to identify the determinants and barriers behind its adoption and upscaling in public sector organizations, also in relation with specific types of adopters (i.e. innovators, followers, late adopters, laggards and nonadopters) in six European countries. Eventually, this project seeks to formulate policy guidelines and instruments that public decision-makers and practitioners can use for improving adoption, diffusion and upscaling of telework and to disseminate the research results and policy recommendations. Consistent with our Theoretical Framework (cf. Section 2.4), the main findings of Section 5.2.2 and Section 5.2.3 are discussed here and consequentially connected to policy and practitioners recommendations. A country-level overview on the main determinants and barriers is available in Appendix 4.D (qualitative analysis) and Appendix 4.E (quantitative analysis).

Determinants and barriers of the outer context First, innovator organizations are usually more likely to be positively influenced by a stable and consistent political vision for telework. For example, both in the Autonomous Province of Trento and in the Municipality of Gijon (which are innovator organizations), managerial – rather than political –


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Adoption, Diffusion and Upscaling of ICT-driven Innovation leadership represented a key driver of adoption and upscaling, but executives and members of the councils have ensured a reliable framework to allow for experimentation within the organizations. In the case of followers, late adopters, laggards (which can be together defined as “later adopters”) and non-adopters, inter-institutional dynamics can play a relevant role in adopting and upscaling innovations (e.g. Mulgan and Albury 2003). However, this is more difficult to observe in the case of telework, since this innovation is still scarcely implemented across the countries considered. Sporadic and experimental cases of innovative (or failed) implementation prevail, and positive imitation still represents the exception rather than the rule. The Netherlands is, however, a notable exception, since telework is largely diffused within public sector organizations. It is therefore not by chance that this country is the only one in which inter-institutional dynamics have emerged as sensibly important. Similarly to the e-procurement case, determinants and barriers from the outer context are sharply differentiated in the case of non-adopters. First, technological factors are particularly important. In general terms, influential factors of telework are not remarkably different when compared with the innovations that do not encompass the use of ICTs. Telework requires a deep organizational reshaping even if, at first sight, it may appear as a merely technological issue to be “mechanically” adopted. Technological factors thus represent basic enabling elements to allow the first implementation of telework. The overcoming of territorial digital divide and the ICT literacy of citizens are necessary but insufficient conditions to shift from the status of non-adoption to adoption. Second, for non-adopters legislative factors are also critical. Differently from e-procurement, law imposition is not a powerful determinant of adopting and upscaling telework. The latter is indeed implemented through sensibly decentralize processes, which usually imply negotiations between employers and unions at the organizational level. Nonetheless, the legislation has to – at least – allow for the experimentation of this practice. Romania is the only country analysed that lacks any legislative framework for telework in the public sector (the EFAT has not been implemented), and this resulted in virtually non-existent adoption within this national context. With respect to all the types of adopters, the law may, however, act as a barrier in light of the regulatory restrictions in the field of privacy. Telework requires access to sensible data (of both employees and organizations as a whole) and the related legislation can sometimes limit implementation. Finally, the outer context plays a relevant role in pushing public sector organizations to adopt telework in light of need-based demands. Also these determinants are relevant for all the types of adopters. Responsive organizations are indeed pushed by the will to meet the emerging (personal, environmental, etc.) needs of their citizens. The survey shows how this issue is also connected to the peculiar geo-morphological contexts in which organizations operate. For example, where relevant distances exists between homes and workplaces (because of mountainous territories, densely inhabited metropolis, etc.) the option of telework is perceived more urgent.


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Adoption, Diffusion and Upscaling of ICT-driven Innovation Table 68 presents the main determinants and barriers of upscaling from the outer context, clustered by types of adopter. Table 68. Overall snapshot of outer determinants and barriers in e-procurement upscaling

Type of adopter

Main determinants

Main barriers

Innovators 

Political vision



Need-based demands



Geo-morphological contexts

Late adopters



Positive imitation

Laggards



Need-based demands



Geo-morphological contexts



Privacy laws



Lack of legislative framework



Lack of ICT infrastructures



Scarce ICT readiness of citizens



Privacy laws

Followers

Non-adopters

Determinants and barriers of the inner context The inner context is much more important than the outer one for the adoption and upscaling of telework. Again, this would confirm that organizational environments are more crucial determinants than external ones (e.g. Nasi et al. 2011) and imply that local governments should focus more on organizational issues than on contextual ones to successfully implement telework. Similarly to the eprocurement case, determinants and barriers from the inner context are less differentiated when considering the various adopter categories. A very interesting finding to be discussed is the widely recognized importance of bottom-up initiatives in introducing telework within organizations, which is indeed a common determinant for all the types of adopters – except non-adopters. According to a “grassroots dynamic”, committed employees generally design the telework project autonomously, successively promoting it vis-à-vis top management. After this first step, however, the implementation requires additional facilitating factors. First, managers have to – at least – accept the implementation of telework, since it is top management’s decision whether to consent to employees teleworking or not. Second, knowledge management is also critical. Attention has to be paid to training activities that go beyond the mere improvement of ICT skills (i.e. teleworkers have to also be capable of autonomously managing their working activities). A fully-fledged internal diffusion of telework thus requires change management as a tool for modifying the ways of thinking, especially among top managers. Third, the trialability of the project is also very important (in this case, for non-adopters as well). Experimenting with telework on a


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Adoption, Diffusion and Upscaling of ICT-driven Innovation narrow organizational basis through pilot projects allows organizations to limit the risks connected with implementation and generate consensus – as benefits become more evident. In addition, the bureaucratic culture has proven to be a critical barrier, especially (but not exclusively) among later adopters and non-adopters. While for e-procurement this is connected to risk aversion and to paper-based habits, for telework this attitude specifically regards the emphasis on processes and physical presence (and that these are synonymous with productivity). This is related to the lack of a results-oriented managerial style and, more generally, to the governance tradition of public administrations. However, it is interesting to note that such a feature is more likely to regard the organization as a whole rather than individual employees, which instead usually perceive the benefits achievable through telework. In addition, later adopters and non-adopters are more sharply influenced by the pursuit of economic efficiency and cost savings through the implementation of telework. Such economic benefits should thus be emphasised vis-à-vis these types of adopters. Table 69 presents the main determinants and barriers of upscaling from the inner context, clustered by types of adopter. Table 69. Overall snapshot of inner determinants and barriers in telework upscaling

Type of adopter

Main determinants

Main barriers

Innovators 

Bottom-up initiatives



Process-oriented bureaucratic culture



Top management support



Trialability



Knowledge transfer



Economic efficiency



Bottom-up initiatives



Top management support



Trialability



Knowledge transfer



Economic efficiency



Lack of bottom-up initiatives



Trialability



Lack of top management support



Knowledge transfer



Process-oriented bureaucratic culture

Followers

Late adopters

Laggards

Non-adopters

Policy recommendations and practitioner implications Policy recommendations and practitioner implications can now be formulated on the basis of the findings discussed so far. In general terms, the outer context appears less influential than the inner context. However, a coherent (even minimal) legislative framework has to exist to allow for


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Adoption, Diffusion and Upscaling of ICT-driven Innovation experimentation with telework. Moreover, the specific needs expressed by local communities have to be carefully assessed, as the necessity of implementing telework may vary by territory. With respect to the inner context, bottom-up initiatives and adequate ICT skills/equipment are surely the first necessary conditions for adopting telework. Therefore, the policy recommendations for fostering the adoption of telework are the following: 

To implement the European Framework Agreement on Telework (EFAT) at the national level according to the most appropriate regulatory tools (i.e. national legislation, collective agreement or soft-policy mechanisms). This implies the establishment of clear rules, rights and duties for employers, employees and teleworkers. Within such a general framework, telework relationships can then be autonomously arranged within public sector organizations at the local level.



To strengthen the investments in ICT infrastructures (e.g. broadband connections) for eliminating territorial digital divides.



To being responsive to specific emerging needs with respect to work/life balance and other dailylife aspects. These may vary depending on the territory considered. Organizations can discuss the most appropriate solution in light of employees’ particular needs, also making clear arrangements with respect to the time that has to be spent at the employers’ premises.

The practitioner implications for favouring adoption can instead be listed as follows: 

To favour the spontaneous emergence of “grassroots” initiatives among employees for the implementation of telework experiments.



To enhance the quality and the quantity of ICT equipment in public sector organizations.



To invest in training activities to improve ICT skills.

Once telework has been adopted, upscaling requires additional effort. With respect to the outer context, external inter-institutional dynamics are surely critical for diffusion over a regional or national territory. However, the inner context is even more important. Upscaling requires overcoming organizational resistances resulting from a bureaucratic culture that focuses on processes rather than results. Successful persuasion can occur through experimenting with telework on a limited basis (i.e. pilot projects). Moreover, together with employees’ ICT skills, their organizational abilities have to be cultivated, such as their capacity to autonomously arrange their work schedules. In light of this, the policy recommendations for the upscaling of telework are: 

To disseminate existent best practices that generate a willingness to imitate;



To publish data on the organizational well-being achievable through implementation.

The Practitioner implications in upscaling telework instead are: 

To highlight the diffused benefits achievable for both managers and employees through experimenting with pilot projects which may limit the perception of risk.


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To invest in training activities (e.g. coaching and mentoring) which holistically take into account both technical aspects in the use of telework tools and the need to autonomously manage work activities and relationships with colleagues.


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6. Overall conclusion on the adoption and upscaling of ICT-driven social innovation The issue of public sector innovation is particularly relevant in light of the present economic and social crisis, which requires public sector organizations to cope with wicked societal challenges and an increasing demand for high-quality public services, while facing a reduction of available resources. In this sense, social innovation represents a sort of “magic concept” (Pollitt & Hupe 2011) since it allows for finding suitable, cost-saving and inclusive solutions in response to the emerging and multi-faceted needs of citizens. ICTs can facilitate and spread such processes by enabling the processing of significant volumes of information and overcoming physical and organizational barriers (Bekkers and Homburg 2005). In this last chapter we formulate conclusions, recommendations and implications with respect to ICT-driven social innovation in general. This means drawing from the two cases examined in this report (i.e. e-procurement and telework) and, simultaneously, “moving beyond” them to broaden our perspective. Indeed, the objective of this research is to identify the determinants and barriers behind the adoption and upscaling of ICT-driven social innovation in public sector organizations. Consequentially, we aim to develop policy guidelines and instruments that policymakers and practitioners can use to improve such processes. One of the most interesting finding of this research is that determinants and barriers affecting adoption and upscaling are not strictly technical in nature. This may represent a surprising result, since both e-procurement and telework require the use of ICTs. However, technological factors mainly represent basic enabling conditions, especially in shifting from the status of non-adoption to adoption. The development of territorial ICT infrastructures, absence of territorial digital divides, ICT readiness of key external stakeholders (e.g. providers and citizens), organizational ICT facilities and employees’ ICT skills represent necessary but insufficient conditions for adoption and upscaling. Implementation entails deep organizational reshaping, as ICT-driven innovations indeed are human-executed processes. Technology per se cannot be considered a key element for successful implementation. These determinants and barriers are not sensibly different from those characterizing innovations that do not imply the use of ICTs. In implementing ICT-driven innovation in the public sector, the role of technology has to be taken into account, but one must avoid considering them as merely technical processes to be mechanically introduced. Consistent with the traditional literature on public sector innovation, mimetic pressures play a remarkable role in the adoption and upscaling by followers, late adopters, laggards (that can be together considered as “later adopters”) and also non-adopters. The public sector organizations analysed have been involved in processes of positive imitation and competitiveness. This led them to cluster geographically in replicating the best practices of their neighbours. Not surprisingly, a sort of “snowball” effect characterizes such inter-institutional dynamics. The more innovations are diffused, the more mimetic pressures are powerful. In the case of e-procurement – which was adopted by the great majority of regional governments analysed – positive imitation is a well-recognized concept.


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Adoption, Diffusion and Upscaling of ICT-driven Innovation Conversely, telework is still a practice that needs to be largely implemented across municipalities. For this reason, mimicry was more clearly recognizable in those contexts where telework was much more diffused, namely the Netherlands. Positive imitation and competitiveness can therefore be considered as key outer determinants for implementing ICT-driven social innovation. Also legislative factors emerged as important determinants, especially vis-à-vis later adopters and non-adopters. Yet, it is worth noting that the positive influence of such antecedents on implementation presents different features in the two cases analysed. With respect to e-procurement, legislative obligations are a key driver for adoption and upscaling. Mandatory provisions push organizations to – at least – experiment with the digitalization of purchases. The EU legislative framework has played a relevant role in this sense, as national and regional governments have progressively harmonized their regulations. With respect to telework, the law may appear as a less important factor. This practice is generally implemented through highly decentralized agreements (i.e. negotiations between employers and trade unions at the organizational level). Top-down impositions are therefore negligible in such processes. However, the absence of a general legislative regulation at the national level is likely to result in the impossibility of implementing telework at the local level. This is the case in Romania, whose national government has not implemented the European Framework Agreement on Telework. Municipalities are unable to adopt telework as national legislation does not establish rules, rights and duties for employers and employees. The implementation of ICT-driven social innovations need policy guidelines to be approved at the EU level. Consequentially, minimal legislative frameworks must be established at the national and sub-national levels. Political leadership is a determinant specifically referring to innovators. In both the case of eprocurement and telework, most innovative public sector organizations usually find the support of politicians (within executive and/or legislative bodies) along the whole process of implementation. A stable and consistent political vision – which does not suffer changes due to electoral cycles – is a relevant facilitator, as it enables managers and practitioners to develop their innovative strategies in a favourable environment (e.g. Cristofoli et al. 2011). Political representatives have to undertake ICTdriven social innovation as a policy priority, even if the current economic and social crisis may favour an opposite attitude. Shifting the perspective to determinants and barriers of the inner context, the first factor to be analysed is the role of management. Perhaps unsurprisingly, managers’ professionalism and support is a key driver of adoption and upscaling. In the case of e-procurement, committed and visionary leaders usually steer the process of implementation through the generation of consensus and the elaboration of strategic plans. Differently, telework projects are generally devised and promoted by employees through spontaneous “bottom-up” initiatives. The role of top managers is to provide, ex post, adequate support in boosting such grassroots dynamics or – at least – to approve the experiment. Despite the differences illustrated, top management cover the pivotal role of providing guidance throughout the processes of adoption and upscaling of both e-procurement and telework. The implementation of ICT-


112

Adoption, Diffusion and Upscaling of ICT-driven Innovation driven social innovation requires top management to steer and/or control its various stages, including the design, experimentation, adoption and eventual upscaling. This is particularly important in light of the bureaucratic culture that often characterizes public sector organizations. It is worth remarking that, notwithstanding the different innovations considered and the variety of governance traditions in the six countries, the negative influence of this factor prominently emerges for the great majority of organizations analysed. In the case of e-procurement, such a bureaucratic culture mainly deals with risk aversion and scepticism in changing consolidated paper-based habits. With respect to telework, paying excessive attention to processes (rather than to results) and physical presence is likely to stymie the adoption and upscaling of telework. The implementation of ICT-driven social innovation needs to be supported by change management as a means to modify governance traditions and employees’ preferences. Lastly, a critical determinant that emerged from this analysis is “knowledge management”. Training and consulting may be crucial facilitators. In the first case, such activities consists of paying constant attention to end users (i.e. employees and providers), increasing their ICT skills and reshaping organizational cultures. Similarly, telework requires training activities (such as coaching and mentoring) focused on both ICT capabilities and cultural elements. Distance work indeed needs the modification of mind-sets and the development of specific abilities, such as the autonomous organization of daily tasks. ICT-driven social innovations cannot be simply influenced by technological factors, as they are humanexecuted processes. It is necessary to invest in training and consulting activities that holistically take into account both technical aspects related to their use and (more importantly) the organizational implications of their implementation. Eight general recommendations can thus be formulated for the adoption and upscaling of a wide variety of ICT-driven social innovations, beyond the single cases of e-procurement and telework: 1. To strengthen the investments in ICT infrastructures (e.g. broadband connections) for eliminating territorial digital divides. 2. To disseminate existent best practices that generate a willingness to imitate and to publish data on the benefits other organizations achieved through implementation. 3. To elaborate policy guidelines at the national and sub-national levels of government that provide public sector organizations with clear and ambitious objectives, possibly in line with related EU strategies. 4. To provide stable and robust political support to innovative initiatives, beyond the changes of leadership triggered by electoral cycles. 5. To enhance the quality and quantity of ICT equipment within public sector organizations. 6. To engage top management in steering and/or controlling the various stages of implementation, including the design, experimentation, adoption and eventual upscaling. 7. To pay attention to change management as a tool for modifying employees’ preferences and their perception of relative advantage.


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Adoption, Diffusion and Upscaling of ICT-driven Innovation 8. To invest in training and consulting activities that holistically take into account both technical aspects related to the use of ICT-driven innovations and (more importantly) the organizational implications of their implementation.


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Appendix 1: Glossary CONCEPT

DEFINITION

REFERENCE

Public sector

“Those parts of economy that are either in state ownership or under contract of the state, plus those parts that are regulated or subsidized in the public context”.

Flynn (2007)

Public sector innovation

“The introduction of new elements into a public service – in the form of new knowledge, a new organization, and/or new management or processual skills, which represent discontinuity with the past”.

Osborne and Brown (2005)

Social innovation

“New ideas (products, services and models) that simultaneously meet social needs (more effectively than alternatives) and create new social relationships or collaborations”.

Murray et al. (2010)

ICT-driven innovation

“The use of ICT for the creation and implementation of new processes, products, services and methods of delivery which result in significant improvements in the efficiency, effectiveness and quality of public services as well as the wider operations of the public sector”.

European Commission (2013)

Egovernment

“Use of digital tools and systems to provide better public services to citizens and businesses”.

European Commission (2010)

Determinants

“Influences to organizational innovation in different categories, including the individual, organizational, and environmental”.

Damanpour (1991)

Barriers

“The wide variety of obstacles to innovation, including those that arise within the bureaucracy, at the political level, and outside the public sector”.

Borins (2001)

Adoption

“The [voluntary and/or coercive] process through which [an organization] passes from first knowledge of an innovation, to forming an attitude towards the innovation, to a decision to adopt or reject, to implementation of the new idea, and to confirmation of this decision”.

Rogers (2003)

Diffusion

“A process in which an innovation is communicated through certain channels over time among the members of a social system”.

Rogers (2003)

Upscaling

“The replication of a (small and successful) proportion of innovative ideas and pilots on a larger scale”.

Mulgan and Albury (2003)

Eprocurement

“The use of electronic communication and transaction processing by government institutions and other public sector organizations when buying supplies and services or tendering for public works”.

European Union (2012)

Telework

“A form of organizing and/or performing work, using information technology, in the context of an employment contract/relationship, where work, which could also be performed at the employer’s premises, is carried out away from those premises on a regular basis”.

European Union (2002)


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Appendix 2.A: Theoretical framework (outer context) DIMENSION

DETERMINANTS AND BARRIERS

Inter-



institutional



dynamics    

Mimicking, learning and competition as determinants of adoption and diffusion (Bhatti et al. 2011); Mimetic pressures can determine the adoption of e-procurement (Kassim and Hussin 2013) but may be insufficient to avoid diffusion with shallow patterns (Jun and Weare 2011); Upscaling is driven by “beacons” that promote innovations vis-à-vis later adopters (Mulgan and Albury 2003); Isomorphism of later adopters as a driver of diffusion (Kwon et al. 2009); Beyond replication, innovations’ adaptability as a necessary condition for adoption (Nasi and Steccolini 2008), diffusion (Rogers 2003) and upscaling (Davis and Simon 2013). No literature on inter-institutional dynamics as barriers to innovation.

Legal factors



Legal aspects can represent either drivers or barriers to innovation: o The need to meet law requirements drive the adoption of innovations (Nasi and Steccolini 2008), but constitutional settings can be problematic in implementing egovernment practices (Jaeger 2002); o For e-procurement, upscaling can be either favoured by the observance of regulations or blocked by their constraints (Cattaneo 2012).

Political factors



Political attitudes as determinants of adoption (Bingham 1978) and upscaling (Davies and Simon 2013); Traditional channels of political communication as barriers to innovations (Ahn 2011); The form of government as a determinant of e-government adoption (Nelson and Svara 2012); In diffusion processes, the manager-council form of government is more likely to characterize earlier adopters, while later adopters are more likely to represent a mayorcouncil form (Kwon et al. 2009).

  

Economic



factors

 

Social factors

   

Demographic factors

  


Economic growth and employment as positive determinants of e-government adoption (Nelson and Svara 2012) and diffusion (Rodriguez Dominguez et al. 2011); Budget constraints can drive the adoption and the spread of innovative work arrangements (Lonti and Verma 2003); Unfavourable investment climate and market structures as barriers to implementation. Population’s education can favour the adoption (Reddick and Norris 2013) and diffusion (McNeal et al. 2007) of e-services; Stakeholders’ trust towards institutions is a driver for the adoption of e-government (Kim et al. 2007); Providers and suppliers as pivotal actors in e-procurement: they can drive the adoption sustaining a solid supply chain (Hawking et al. 2004) or raise barriers to upscaling if they are reluctant to change (Cattaneo 2012); Public pressures – in terms of users’ demand – can drive the adoption (Jun and Weare 2011) and diffusion (Walker et al. 2011). The larger the context, the more likely the adoption of innovations (Moon 2002); In diffusion dynamics, the size of the context is a more powerful facilitator for earlier adopters than for later ones (Kwon et al. 2009). No literature on demographic factors as barriers to innovation.

126


Technological



factors

 

Lack of ICT infrastructures as barriers to innovation adoption (Ghani and Said 2010), also in the telework case (Unguream 2007); Citizens’ ICT readiness as a determinant of adoption and diffusion (McNeal et al. 2007); Information security as a determinant of adoption for e-procurement (Gebauer et al. 2008) and telework (Booz-Allen Hamilton 2002).

Appendix 2.B: Theoretical framework (inner context) DIMENSION Organizational factors

DETERMINANTS AND BARRIERS          

Organizational factors are more impactful than environmental ones (Nasi et al. 2011); The adoption of technological innovations is more influenced by organizational slacks and specializations (Damanpour 1987); Organizational slacks as determinants of adoption and diffusion (Bhatti et al. 2011); Organizational size can act as a driver (Homburg and Dijkshoorn 2011) or a barrier (Gianakis and McCue 1997); Implementation costs as a barrier to the upscaling of e-procurement (Cattaneo 2012); The adoption of e-procurement is driven by organizational learning (Kassim and Hussin 2013); Political and managerial leadership as drivers of adoption and diffusion (Nasi and Steccolini 2008; Bekkers and Homburg 2005); Need for organizational re-arrangements as a barrier to the adoption of telework (Hamilton 2002); Bureaucratic attitude and a culture of risk aversion as barriers to adoption, diffusion and upscaling (Albury 2005; Thenint 2010), also for e-procurement (Eadie et al. 2007) and telework (Unguream 2007); Inter-institutional networks and collaborations as determinants in every stage of the innovation process (Manoharan 2013; Mulgan and Albury 2003).



Individual perceptions are crucial: o The perspective of improving independence, effectiveness and cost saving is a critical determinant of adoption (Cassell 2008); o The relative advantage perceived as a driver of adoption and diffusion (NedovićBudić and Godschalk 1996); o The diffusion and upscaling of e-procurement and telework are positively impacted by the possibility of improved efficiency and effectiveness and negatively impacted by scarce awareness of benefits and scepticism (e.g. Rivera León et al. 2012; Cattaneo 2012).



Professionalism and ICT readiness as determinants of adoption (Nasi et al. 2011) and diffusion (Bhatti et al. 2011) – also for e-procurement and telework – that are more likely to influence earlier adopters (Kwon et al. 2009).

Technological



factors



Technological complexity as a barrier to adoption (Raus et al. 2009) and diffusion (Rogers 2003); The existence (Reddick and Norris 2009) and the position (Nasi et al. 2011) of an IT department within an organization is a determinant of adoption; Utilization capacities and organizational ICT readiness as determinants to adoption and diffusion (Kalu 2007; Gascó et al. 2013), also in the case of e-procurement (Gebauer et al. 1998).

Individual factors




127


Appendix 3.A: Overview on the organizations analysed for the eprocurement analysis France – Midi-Pyrénées Regional Council The Regional Council of Midi-Pyrénées adopted e-procurement in 2012 and it is internally managed by the regional administration. More specifically, within the Regional Directorate of Public Finance, there is a specific procurement service, to which 12 full time staff members are assigned. The main objective pursued through the adoption of e-procurement is the optimization of public purchases through their dematerialization, in terms of both security and expenditure. However, at present, the economic benefits possibly achieved are scarcely assessable33, since upscaling is still an ongoing process and expected to be completed by 2016. Even if e-procurement is used for the purchases of the whole organization and electronic means are employed along the entire procurement value-chain, the regional administration still publishes each public contract in a paper-based way, mainly because of national legislative obligations. The Regional Council of Midi-Pyrénées can be considered as a follower in e-procurement adoption, which occurred relatively late in comparison to other French Regions and mainly because of legal impositions from the central government. During the first phase, difficulties had to be tackled because of the technological and organizational complexity that had to be managed. Nonetheless, some progress has been observed during these first three years and the challenging objective is to achieve full dematerialization of processes by 2018 (at present, 20%-30% of transactions are operated electronically). Italy – Azienda Regionale Centrale Acquisti (ARCA Lombardia S.p.A.) ARCA S.p.A. is a limited company, whose stocks are entirely owned by the regional government of Lombardia. It is the central purchasing body not just for the regional government, but for the whole Regional System of PSOs (e.g. provincial governments, municipalities and the Regional Health System), and thus deals with a broad spectrum of policy fields. ARCA S.p.A. is thus a public service provider that mediates the relationships between such PSOs and actual or potential providers. The current governance arrangement (limited company, publicly owned) was established by the regional government in 201334 and has been operational since April 30th, 2014. However, in Lombardy, the eprocurement experience started in 2007 (Regional Law 33/2007), as the regional government decided to homogenize its legislative framework with the EU and national regulations through the establishment of a central purchasing body. E-procurement represented the central focus of the centralization (the first “Regional Purchasing Body” was part of the informatics company Lombardia Informatica S.p.A.). The central body gained greater autonomy through the Regional Law 12/2012, which established ARCA (Agenzia Regionale Centrale Acquisti), an autonomous agency for the centralization of public 33 34

Interviewees perceive various benefits in their working activities, especially in terms of individual productivity. cf. Regional Law 5/2013, which modifies a part of Regional Law 33/2007.


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Adoption, Diffusion and Upscaling of ICT-driven Innovation procurement. The Regional Law 5/2013 established ARCA S.p.A. in its current governance arrangement. The objective is to achieve greater efficiency35 and quality of regional public procurement along four strategic assets: (1) centralization of procurement procedures; (2) promotion of e-procurement through a variety of online instruments and platforms; (3) consulting and training PSOs of the Regional System in managing procurement procedures and using e-procurement; (4) "Regional Aggregator Body" (planning of regional public procurement). Moreover, the adoption of e-procurement was eventually pursued as a valuable means to ensure greater transparency vis-à-vis providers and the public as a whole. The upscaling phase of e-procurement is fully accomplished, since a variety of instruments are employed to define, manage and promote the use of e-procurement within the whole Regional System. A fully-fledged simplification and dematerialization of purchasing processes throughout the entire “value chain” is thus pursued. Approximately 85% of the regional population is “covered” by the use of eprocurement. Lombardy can be considered an innovator in e-procurement adoption, as it has been among the first Italian Regions to implement it. Most of them have not succeeded in implementing homogenous and pervasive solutions. Shallow patterns have prevailed. Lombardy has instead emerged as a best practice by virtue of the systemic and holistic approach it pursued in covering the whole Regional System. Netherlands – IBMN (Purchasing Office of Central Netherlands) IBMN (Inkoopbureau Midden-Nederland – Purchasing Office of Central Netherlands) is a public foundation established in 2008 to conduct procurement processes for 12 municipalities (mainly located in the Utrecht Province) across a broad spectrum of policy fields. Its board is composed of the secretaries of the participating municipalities that have sourced out their purchasing processes. The mission of IBMN is to achieve financial, qualitative and process benefits for its members in the area of purchasing and procurement. The service focuses on the professionalization of the purchasing and contracting policy of each participating municipality. The procurement officers assist in both individual and joint purchasing and tendering processes, assist in the preparation of purchasing and contracting policy and act as a source/helpdesk in purchasing and tendering. IBMN contributes (European) procurement knowledge to participants and monitors the application of rules and guidelines in the areas of legality, effectiveness, sustainability, transparency and non-discrimination. In a nutshell: procurement expertise was only present in some municipalities; cooperation and joint procurement leads to advantages (larger scales, less costs); a number of municipalities were too small to hire their own buyers themselves; a reduction in the purchasing costs; the use of each other’s knowledge; creating value by improving the purchasing function.

35

Data for the 2007-2014 time frame show how a weighted average savings for the Regional System worth €338 million.


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Adoption, Diffusion and Upscaling of ICT-driven Innovation E-procurement has been adopted to enhance the economic efficiency of purchasing processes, to make them clearer, easier and more transparent for all the users involved. The e-procurement platform (called Aanbestedingskalender) allows the monitoring of the whole procurement process by the parties involved (it is, moreover, used by additional offices). IBMN can be considered a follower in the context of the Netherlands, since the foundation was established after similar successful experiences. However, they can also be considered the first agency in the country to conduct the whole procurement process electronically. In this sense, the agency has upscaled the adoption of eprocurement. Romania – Dambovita County Council The Dambovita County Council adopted e-procurement in 2006 and consequentially experienced a two year pilot stage. It is managed by the Procurement Division of the county administration. The system of e-procurement is based on the Electronic Public Procurement System (SEAP), which manages offers of public procurement and ensures rigor and uniformity for their presentation. The system is subject to monitoring and control through the National Council for Solving Complaints (CNSC), a national body of administrative-jurisdictional activity, with the competence to solve complaints related to public procurement procedures before contracts are signed. This body is specialized in analysing and deciding on e-procurement contracts. The objectives of e-procurement adoption largely coincide with the ones established at the national level and they concern the rationalization of public expenditures, socioeconomic development of the county, reduction of corruption and attraction of external resources (e.g. EU non-reimbursable financing). The county can be considered a late adopter. The e-procurement experience has been characterized by diffused scepticism among public officials, especially in light of the lack of adequate organizational and technological capabilities, at least in the first period of adoption. Even if such a circumstance has been partially overcome, various pitfalls currently exist, such as the high number of complaints concerning the quality and efficiency of e-procurement services, excessive emphasis on price as the exclusive criterion in awarding contracts and lack of an adequately skilled staff. However, improvements have been registered during the last years and the use of e-procurement has been progressively extended. It can therefore be affirmed that the Dambovita County Council is currently in the upscaling phase, also thanks to the increasing level of absorption of European funds, for which, on the whole, e-procurement is necessary. Slovakia – Banska Bystrica Self-Governing Region The Banska Bystrica self-governing region started to conduct procurement processes electronically in early 2000 and there was no official pilot phase. Most of these are currently supported by ICTs, also in light of existing statutory obligations. It is managed by the public procurement department, which counts 6 employees and purchases for the regional self-government office and


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Adoption, Diffusion and Upscaling of ICT-driven Innovation select subordinated organizations (approximately 150). Regional self-government is responsible for many activity areas, including health, secondary education, culture, social services, road maintenance and regional transport. Reverse e-auctions are the main form of purchasing goods (began in 2010/2011). The office is not a member of EVO and will join the "e-market" after it is established in mid2015, because this is will be made compulsory by legislation. Moreover, not all the procurement phases are operated electronically by the department – just those concerning the pre-award phase. The organization is thus currently upscaling the adoption of e-procurement. This self-governing region can be considered a follower in the adoption of e-procurement, which has been mainly motivated by legislative requirements. These are now pushing for a further extension in the use of electronic means. This limited internal motivation can be explained as a typical feature of numerous self-governing bodies. The main objective is therefore the fulfilment of law requirements, even if internal motivations are also important, in light of the enhanced economic efficiency that can be achieved. Spain – Autonomous Government of Valencia The Autonomous Government of Valencia adopted e-procurement in 2012. The e-procurement project is actually the result of another project: the implementation of a central purchasing body, regulated by Decree 16/2012 (January 20). It was decided that the central purchasing body would use an electronic platform that would help to comply with the EU recommendations. Vortal, one of the leading e-procurement companies, was contracted. They developed the platform (GE-Compras) in about six months. However, when the tool was ready, the government realized that they needed to regulate it. So, a legislative process started. This was fast, but still lasted one year and resulted in Decree 95/2013 (July 19). There was no official pilot phase. However, there was a first e-procurement experience in the case of electric energy supplies, awarded under a framework agreement in February 2014. Moreover, an electronic means was used to achieve a framework agreement for paper supplies. Given the success of these experiences, there is a push to further extend e-procurement throughout the whole regional government (ongoing upscaling). The e-procurement project is linked to the central purchasing body. Therefore, centralized purchasing within the Autonomous Government of Catalonia is always electronic. However, departmental purchases depend on different departments and none of them are using e-procurement. They know they will have in the future because of the European directive and a law passed by the Generalitat Valenciana that makes the adoption of e-procurement platforms in the different departments compulsory. Actually, they have to adopt e-procurement before June 2015. The Procurement Service (small unit with 7 employees) is in charge of the centralized purchasing process of the Autonomous Government of Valencia. It manages all the centralized purchasing dossiers: from the preparation of framework agreements to the bidding process, the award stage or the control of secondary contracts.


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Adoption, Diffusion and Upscaling of ICT-driven Innovation The main objective had to do with economic efficiency. In times of budget constraints, it is very important to save money and time. Another important goal was to simplify the process. This goal aimed at making the process easier for providers. These were the two main objectives but additional goals were mentioned during the interviews: transparency, public administration modernization and sustainability (e-procurement means less paper is needed). The Autonomous Government of Valencia can be considered an innovator in the Spanish context. Other than the Basque Country, that initiated an e-procurement project around 10 years ago, this is the only regional administration which has implemented an initiative like this. They knew this was not an easy project but they also perceived a lot of important benefits. Also, the project was supported politically, but mainly there was clear leadership in technical terms, which made it possible. The e-procurement project is linked to the central purchasing body. Therefore, centralized purchasing within the Autonomous Government of Catalonia is always electronic. However, departmental purchases depend on the different departments and none of them are using eprocurement. They know they will have to in the future because of the European directive, but also because of law passed by the Generalitat Valenciana that makes the adoption of e-procurement platforms in the different departments compulsory. Actually, they have to adopt e-procurement before June 2015.


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Appendix 3.B: E-procurement qualitative analysis protocol General 

Goal: Scientific study on determinants and barriers in adopting, diffusing and upscaling e-procurement



Audio Recording



Full anonymity

Institutional context (open) 1. Please, describe which are the objectives that have pushed the organization to adopt e-procurement. 2. Please, describe the stage of adoption that characterizes the organization Guidelines questions (for supporting interviewees) -

Is the organization the first adopter at the regional/national level?

-

Is it among the first ones?

-

Has e-procurement been adopted late if compared to others?

3. Please, explain if the upscaling of e-procurement, in the case analysed, is referred to: -

The organization;

-

The branch in which the organization operates;

-

The public sector as a whole.

Determinants and barriers of adoption (open) 4. Determinants and barriers of the outer context Various factors that are outside the organization can have facilitated or hindered the adoption of e-procurement by the organization itself. These may include inter-institutional dynamics and pressures, the legislative setting, political factors, the economic and social contexts, the demography of the area and also technology. -

To you, did these external factors promote or hinder the adoption of e-procurement? Or were they irrelevant?

-

Which ones were more influential?

-

Can you explain why?

-

Can you bring examples from this experience?

Guideline for the interviewer: These first questions take into account the “Level 1” of analysis (outer context). At this point, the interviewer can use (portion of) the framework below if necessary, which instead takes into account the “Level 2” (dimensions of the outer context): this can be useful to obtain further details on those factors that the interviewees emphasize more (e.g. if the interviewee stresses the role of legislative factors, further questions can be asked using the guideline at point (b)).

a. Inter-institutional dynamics. The adoption of e-procurement can be influenced by the presence of similar


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organizations that have done the same before within the same regional/national context. This means that imitation, competition and learning from others can influence the adoption. -

To you, did these factors promote or hinder the adoption of e-procurement? Or were they irrelevant?

-


-


b. Legislative factors. The adoption of e-procurement can be influenced by legislative setting referred to this practice. This means that sometimes obligations and standards fixed by the law can launch and foster the process, which is also facilitated by the clarity and consistency of such norms. However, such factors can instead hinder the adoption for their complexity and scarce clarity. -


-


-


c.

Political factors. The adoption of e-procurement can be influenced by various political factors. The state government traditions, the form of government, its stability and its regional/local autonomy can play a relevant role. The competition and the support of politicians and political parties are other noticeable examples. -


-


-


d. Social factors. The adoption of e-procurement can be influenced by various social factors. They include citizens’ education, their trust and pressures towards institutions, and the relationship between the organization itself and external stakeholders, such as providers. -


-


-


e. Economic factors. The adoption of e-procurement can be influenced by the economic condition of the geographical context. This means that factors like the GDP, the employment rate and the fiscal capacity can influence the adoption because of their abundance or lack. -


-


-


f.

Demographic factors. The adoption of e-procurement can be influenced by the demography of the geographical context, usually (but not exclusively) the number and the density of inhabitants.

-



134


-


-


g. Technological factors. The adoption of e-procurement can be influenced by technological factors referred to the geographical context as a whole: ICT infrastructures are often influential, and also the citizens’ familiarity with these technologies. -


-


-


5. Determinants and barriers of the inner context

Various factors that are inside the organization can have facilitated or hindered the adoption of eprocurement by the organization itself. These may include factors that regard the organization as a whole, the individuals and the technology. -

To you, did these internal factors promote or hinder the adoption of e-procurement? Or were they irrelevant?

-


-


-

Can you bring examples from this experience? Guideline for the interviewer: These first questions take into account the “Level 1” of analysis (inner context). At this point, the interviewer can use (portion of) the framework below if necessary, which instead takes into account the “Level 2” (dimensions of the inner context): this can be useful to obtain further details on those factors that the interviewees emphasize more (e.g. if the interviewee stresses the role of individual factors, further questions can be asked using the guideline at point (b)).

a. Organizational factors. The adoption of e-procurement can be influenced by factors that regard the organization as a whole. Some examples are: the abundance of various kinds of resources (e.g. money, time, skills); the size of the organization; the presence of knowledge intermediaries; the managerial leadership and support; adaptation processes; the participation to networks or collaborations with other organizations; the organizational culture towards risk and change. -


-


-


b. Individual factors. The adoption of e-procurement can be influenced by factors that regard the individuals that operate within the organization. For example, their perception of ease of use and usefulness of the innovation to be adopted can be important. Other elements are the characteristics of managers and other employees,


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such as their age, education, autonomy and acceptance of technology. Finally, their skills can be relevant, both in using ICT and in other capabilities. -


-


-


c.

Technological factors. The adoption of e-procurement can be influenced by technological factors within the organization. They regard the compatibility, the complexity and the security of e-procurement. Also organizational technological infrastructures are important, for example the number of computers, etc. -


-


-


Determinants and barriers of upscaling (closed)

6. This research has an additional focus, that is, the upscaling of ICT-driven social innovation. Specific influencing factors characterized the upscaling of innovation. To you, how influential were/are the following factors in upscaling e-procurement? Or – if the upscaling process still has to be launched – how influential would they be in the future process according to your perception? (closed)

a. Adaptation processes; b. Political conflicts; c.

Incentives at various levels;

d. Inter-institutional networks; e. Change management; f.

Organizational inertia and/or resistance;

g. Legal constraints; h. Lack of interoperability; i.

Scarce awareness of benefits;

j.

Change in leadership;

k.

Proper owner.

General 

Ask if respondent wants to add something which was not yet covered.



Check whether he/she want to see the interview transcript and validate it.



Check whether he/she wants to be kept updated about the progress of the study.



Thank the respondent for the interview.


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Appendix 3.C: E-procurement survey protocol 1. GENERAL INTRODUCTION 

Goal: Scientific study on the determinants and barriers in adopting, diffusing and upscaling eprocurement;



Approximately 10-15 minutes;



Full anonymity.

2. PERSONAL INFORMATION # 1

Item Age [max. 1 answer]  30 or less

2

 31-40

 41-50

Gender [max. 1 answer]  Male

 51-60

 61 or more

 Female

3. INSTITUTIONAL CONTEXT OF E-PROCUREMENT # 3

Item Does this organization use e-procurement? [max. 1 answer]  Yes

4

 No

In which year has this organization started to use e-procurement? [Please, answer to this question just if you have answered “Yes” to the previous one] YYYY

5

In your current role as regional procurement officer, are you favourable to the adoption of eprocurement in this organization? [max. 1 answer]  Yes

6

 No

Please, select the most appropriate definition to describe this organization as a type of e-procurement adopter in comparison to the other peer organizations in your country. [max. 1 answer]  Innovator (this organization has been the first or among the very first to adopt e-procurement).  Follower (this organization has adopted e-procurement just after the first innovative experiences of its peers).  Late adopter (this organization has adopted e-procurement after the majority of its peers).  Laggard (this organization has been among the last ones to adopt e-procurement).  Non-adopter


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(this organization has never adopted e-procurement).

4. DETERMINANTS AND BARRIERS OF THE OUTER CONTEXT IN ADOPTING E-PROCUREMENT Regardless the fact that this organization has adopted e-procurement or not, we kindly ask you to complete the following section. It examines the factors outside public sector organizations that facilitate or hinder their adoption of eprocurement. Please, express an opinion on the following statements selecting one value between “1” and “5”, where:  “1” means “Extreme disagreement”.  “5” means “Extreme agreement”. #

Item

7

«The imitation of other e-procurement experiences drives its adoption by public sector organizations». [max. 1 answer]

8

«Legislative obligations and standards drive the adoption of e-procurement in public sector organizations». [max. 1 answer]

9

« Law frustrates the adoption of e-procurement in public sector organizations because of its regulatory restrictions (e.g. need to accompany the submission of an electronic bid with paperbased backup copies)».

10

«The degree of autonomy in governing organizational processes facilitates the adoption of eprocurement in public sector organizations». [max. 1 answer]

11

«Political vision for e-procurement facilitates its adoption in public sector organizations». [max. 1 answer] «Conflicts among public institutions and/or political parties are a barrier to the adoption of eprocurement in public sector organizations». [max. 1 answer]

12 13

«The fluent relationship between public sector organizations and external stakeholders, such as providers, facilitates the adoption of e-procurement». [max. 1 answer]

14

«The resistance of key external stakeholders, such as providers, is a barrier to the adoption of eprocurement in public sector organizations». [max. 1 answer]

15

«Providers’ familiarity with ICTs facilitates the adoption of e-procurement in public sector organizations». [max. 1 answer]

16

«Regional budget constraints are a barrier to the adoption of e-procurement in public sector organizations». [max. 1 answer]

17

«Territorial ICT infrastructures, such as the broadband connection, facilitate the adoption of eprocurement in public sector organizations». [max. 1 answer]


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5. DETERMINANTS AND BARRIERS OF THE INNER CONTEXT IN ADOPTING E-PROCUREMENT As for the previous section, we kindly ask you to complete the following one regardless the fact that this organization has adopted e-procurement or not. This section examines the factors inside public sector organizations that facilitate or hinder their adoption of e-procurement. Please, express an opinion on the following statements selecting one value between “1” and “5”, where:  “1” means “Extreme disagreement”.  “5” means “Extreme agreement”. # Item 18

«Organizational slack resources (e.g. money, time, human resources) facilitates the adoption of eprocurement in public sector organizations». [max. 1 answer]

19

«Consulting, training and other supporting activities facilitate the adoption of e-procurement by public sector organizations». [max. 1 answer]

20

«The presence of managers that act as visionary leaders is a driver of e-procurement adoption in public sector organizations». [max. 1 answer]

21

«The risk-averse culture of public sector organizations is a barrier to the adoption of eprocurement». [max. 1 answer]

22

«The costs for introducing e-procurement in public sector organizations are a barrier to its adoption». [max. 1 answer] «Managers’ professionalism and capabilities facilitate the adoption of e-procurement in public sector organizations». [max. 1 answer]

23 24 25

«Employees’ technological skills facilitates the adoption of e-procurement in public sector organizations». [max. 1 answer] «The employees’ perception of relative advantage and benefit in using e-procurement is a driver of its adoption in public sector organizations». [max. 1 answer]

26

«Individual scepticism and resistance shown by employees towards e-procurement are a barrier to its adoption in public sector organizations». [max. 1 answer]

27

«Personal characteristics of employees (e.g. their age and educational qualifications) facilitate the adoption of e-procurement in public sector organizations». [max. 1 answer]

28

«The quality and quantity of ICT facilities in public sector organizations (e.g. number of computers and laptops) make possible the adoption of e-procurement». [max. 1 answer]

29

«The technological complexity of e-procurement platforms is a barrier to e-procurement adoption in public sector organizations». [max. 1 answer]

30

«The lack of interoperability (e.g. scarce integration among organizational internal processes) is a barrier to the adoption of e-procurement in public sector organizations». [max. 1 answer]


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Appendix 3.D: E-procurement determinants and barriers (qualitative analysis) Country

France

Italy

Netherlands

Romania

Slovakia

Spain

Region

Midi-Pyrénées

Lombardia

Utrecht (province)

Dambovita (county)

Banska Bystrica

Valencia

Organization analysed

Midi-Pyrénées Regional Council

ARCA S.p.A.

IBMN (Purchasing Office of Central Netherlands)

Dambovita County Council

Banska Bystrica Regional SelfGovernment

Autonomous Community of Valencia

Type of adopter (organizational level)

Follower

Innovator

Follower

Late adopter

Follower

Innovator

Phase of adoption

Upscaling (ongoing)



Upscaling (ongoing)

Upscaling (ongoing)

Upscaling (ongoing)

OUTER CONTEXT Interinstitutional dynamics

Not influential.

Positive imitation was critical to upscale eprocurement among the numerous PSOs within the regional territory.

The establishment of IBMN followed up a similar initiative in the province of West-Barbant (launched in 2002).

Inter-institutional dynamics have played a positive role, in terms of both peer and topdown pressures.

Not influential.

Not influential.

Legislative factors

Law has played both a positive and a negative role in upscaling eprocurement. On the one hand, legislative obligations pushed the organization to adopt it. On the other hand, law is incomplete with respect to the review of legality, and this raises barriers. Not influential.

The national measure that provides for the centralization of purchases within local governments (“Spending Review”, 2012) has strongly fostered eprocurement upscaling.

The New Procurement Act (2013) and EU legislative provisions strongly push the organization to upscale eprocurement.

The harmonization of national legislation with EU directives has strongly pushed the organization to upscale eprocurement.

Legislative requirements have strongly driven the upscaling of eprocurement.

Not influential.

The stable and reliable political support provided to the e-procurement project (beyond electoral cycles) has favoured upscaling. However, political conflicts among local governments had a negative impact.

Not influential.

The stable support of politicians has facilitated the process. However, electoral cycles had a negative effect on implementation.

Political events (e.g. scandals) have sometimes pushed reform processes also in the realm of public procurement.

Albeit not crucial, political support has facilitated the process of eprocurement adoption and upscaling.

Political factors


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Social factors

Providers have been important supporters of eprocurement implementation.

External stakeholders (namely providers) have sometimes frustrated the process of upscaling in light of their culture of “manual skills”.

The will of being responsive towards emerging societal trends has driven the implementation of e-procurement.

Not influential.

The will of being responsive and accountable towards citizens has driven the implementation of eprocurement.

Not influential.

Economic factors

Regional budget constraints have hindered the process of upscaling, making the project hardly sustainable in the medium term.

The remarkable fiscal capacity of the Lombardy regional government has facilitated the process.

Not influential.

The lack of financial resources has sometimes hindered the process of upscaling.

Not influential.

Demographic factors

Not influential.

Not influential.

Not influential.

The EU financing mechanisms for socio-economic development provide relevant resources to implement public policies, including the upscaling of eprocurement. Not influential.

Not influential.

Not influential.

Technological factors

Minor territorial digital divide has not impede the upscaling of e-procurement.

The pervasiveness of broadband connections has enabled a homogenous upscaling of eprocurement.

Not influential.

The lack of ICT infrastructures and scarce ICT literacy represent frustrating factors for upscaling eprocurement.

Not influential.

Not influential.

INNER CONTEXT Organizational factors

The lack of slack resources (especially in financial terms) have hindered the upscaling of eprocurement.

Individual factors

The need to prevent psychological blocks emerged (individuals may frustrate the upscaling in light of their personal aversion to eprocurement).


The lack of ICT facilities and interoperability have hindered


Slack resources, organizational autonomy, managerial leadership and training activities have been critical determinants of upscaling. However, bureaucratic culture has hindered the process. Individual scepticism and aversion to eprocurement emerged as negative factors, while managers’ professionalism as a positive one.

Organizational slacks and autonomy are the main drivers of eprocurement upscaling. However, the bureaucratic culture that sometimes characterize the involved municipalities represents a notable barrier.

The internal “administrative” culture represents a barrier to upscaling. Nonetheless, managerial capacity and the promotion of open management instruments have facilitated the process.

The process of upscaling needs further slacks resources to be accomplished (e.g. financial, human and technological).

Managerial leadership has been positively critical. However, further slacks are needed to sustain the process of upscaling. Moreover, the bureaucratic culture is a hindering factor.

Individual scepticism represents a relevant barrier to upscaling.

Good levels of employees’ ICT readiness is a positive factor, while their difficulty in achieving organizational objectives is a negative one.

Employees’ ICT skills and motivation have played a positive role.

Individuals have played both a positive (e.g. managers’ professionalism) and a negative (e.g. individual scepticism) role in the upscaling of eprocurement.

Not influential.

Positive influence of internal ICT facilities.

The lack of ICT facilities and inter-operability represent a negative factor.

Upscaling is stymied by the need for further ICT facilities.

Not influential.

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the process.


142


Appendix 3.E: E-procurement determinants and barriers (quantitative analysis)

OUTER CONTEXT France

Italy

Netherlands

Romania

Slovakia

Spain

Main determinants

Legislative obligations; Providers’ ICT readiness; Territorial ICT infrastructures.

Legislative obligations; Fluent relationship with stakeholders; Territorial ICT infrastructures.

Positive imitation; Legislative obligations; Fluent relationship with stakeholders.

Positive imitation; Legislative obligations; Territorial ICT infrastructures.

Positive imitation; Governmental autonomy; Territorial ICT infrastructures.

Positive imitation; Legislative obligations; Political vision.

Main barriers

Not influential.

Political conflicts.

Not influential.

Regulatory restrictions.

Not influential.

Regional budget constraints; Governmental autonomy.

INNER CONTEXT France

Italy

Main determinants

Slack resources; Knowledge transfer; Managers’ professionalism Visionary leadership.

Slack resources; Knowledge transfer; Managers’ professionalism ICT skills.

Main barriers

Bureaucratic culture; Lack of interoperability.



Netherlands

Romania

Slovakia

Spain

Slack resources; Knowledge transfer; Managers’ professionalism.

Knowledge transfer; Managers’ professionalism; ICT skills and facilities.

Slack resources; Knowledge transfer; Managers’ professionalism; ICT skills.

Knowledge transfer; Managers’ professionalis m; Visionary leadership;

Lack of interoperability.

Technological complexity of eprocurement platforms; Lack of interoperability.



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Appendix 4.A: Overview on the organizations analysed for the telework analysis France – Call Centre of the city of Paris The call Centre of the city of Paris was established in 2002 to provide citizens with information on a variety of issues concerning social services, sport, and public roads and to direct phone calls to competent departments if necessary. It is also part of the crisis management system and Paris Numérique, which is in charge of the information broadcast by the website Paris.fr. Telework was adopted in January 2010 through an experiment with one employee. After two years, 12 employees (out of 56) were teleworkers. At present, the pilot phase is concluded and the stage of upscaling has been achieved. There are 16 employees who telework. The organization can be considered an innovator in the French context, which is mostly characterized by experimental projects with limited durations. The decision to allow any individual employee to telework is wholly with management’s discretion committee, which takes into account the employee’s transit from their workplace (many of them live in the third Parisian zone or outside Ile-deFrance). Teleworkers are trained over 6 months to become autonomous. During this period, 1 to 2 days a week can be spent at home working. After 6 months of experience, teleworkers can opt for 3 days. Italy – Autonomous Province of Trento The Autonomous Province of Trento has adopted telework through the “TelePat” project, which was designed and promoted by employees in 2011. This was successively authorized and “formalized” by the provincial government after the first feasibility studies and simulations. It is based on an agreement between trade unions and the Province itself, which regulates respective rights and duties for employees and the administration. After the approval by the provincial government, the first 25 telework stations were experimented with in June 2012 and progressively diffused to various departments (upon the permission of the respective head). The present number of employees is approximately 4,200, of which 3,000 execute “teleworkable” tasks. 240 employees engage in distance work, this means: from home, tele-centres (there are twelve centres across the provincial territories) or through their mobile devices. Four main objectives have pushed the organization to adopt telework. First, the necessity to ensure a better work/life balance for employees emerged, especially for those with greater family needs. Part-time jobs represent the “traditional” organizational arrangement to meet such needs. However, this proved to reduce the overall productivity of work activities. Connected to this, the pursuit of greater economic efficiency pushed the Provincia Autonoma to adopt telework. Monitoring activities indeed confirm such an achievement, as sensible cost reduction has been registered with respect to the zeroing of overtime work and meal tickets, ICT and assignment expenditures, etc. The third objective is the improvement of community and environmental conditions, since working from home or tele-centres fosters the entrenchment of employees within their social context and the reduction of CO2 emissions.


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Adoption, Diffusion and Upscaling of ICT-driven Innovation This is particularly relevant in the Trento area, as it is characterized by numerous and distant mountain communities. The fourth objective is the use and development of territorial ICT infrastructures. This means “capitalizing” the relevant public investments in this field (e.g. broadband connection) and experimenting with internal ICT capacities and skills. The Autonomous Province can be considered an innovator, as it has been among the very first Italian public sector organizations to adopt telework and to proceed with the successive diffusion. The organization is currently going through the pilot phase. The process of upscaling will be accomplished when 400 employees become teleworkers. Netherlands – Municipality of Krimpen aan den Ijssel The municipality of Krimpen aan den Ijssel adopted telework in 2012. The pilot project was launched for 6 months on the request of 4-5 employees (no managers) who wanted to introduce this practice to the organization. A selected group of employees was asked to participate. At present, telework has been upscaled and 162 employees engage in distance work. Various objectives have pushed the municipality to adopt telework. First, it can improve the quality of public services, since employees can autonomously decide when and where to work. This enables them to serve citizens and colleagues better. Second, a better work/life balance can be achieved by employees who telework. Third, there was a need to cope with the building of a new town hall. This was mentioned, for instance, by the municipal clerk (highest ranked municipal official in the Netherlands) and the project leader. Currently, the main office is located in a temporary building, but the organization will move to a new building soon, which had to include less space/square meters. Hence, this required that people could work at other locations than the main office (for instance at home). Fourth, there was the need to replicate the experiences of other public sector organizations, since telework is a “trend topic” in the Netherlands. For this reason, the municipality of Krimpen aan den Ijssel can be considered a follower. Romania – County Agency for Employment Harghita (AJOFM Harghita) The AJOFM Harghita is a devolved structure of the National Agency for Employment, subordinated to the Ministry of Labour, Family and Social Protection in Romania. Its employees are not teleworkers. As results will show, this is mostly due to the absence of a legislative framework with respect to this. However, the analysis of this agency is particularly interesting as it is involved in training the labour force to use telework. More specifically, the organization is carrying out the project "New opportunities for employment in the rural environment through telework", financed through EU funds. The general objective is to favour the socioeconomic development of the area and the enhancement of employment opportunities through ICTs. The target group are young individuals aged between 18 and 35 years. The project also aimed to achieve market research to identify the concrete needs of young unemployed persons as well as the needs of the labour force. The selected trainees have training as manager assistants, operators of computers and networks, web-designers, operators in call-centre, etc.


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Adoption, Diffusion and Upscaling of ICT-driven Innovation At present, the most notable achievements are the launch of 10 tele-centres and provision of trainings to 792 young people. 150 among them are now employed. Slovakia – Slovak National Library The Slovak National Library adopted telework in 2010. The first experimentation involved one teleworker. In 2011, another two employees became teleworkers. At present, there are seven teleworkers out of 357 employees. The objective was to employ an expert who lived approximately 230km from the workplace. Therefore, motivations are mainly determined by internal organizational needs, since Law no. 552/2003 Coll. on work in the public interest does not oblige nor forbid telework for public servants. There were no external pressures or obligations. A bottom-up dynamic instead occurred. Also for this reason, the organization can be considered an innovator in the Slovak context. It has been among the very first ones to adopt telework, also because the public sector is quite conservative with respect to these kind of innovations. Spain – Municipality of Gijón The municipality of Gijón adopted telework in 2014 through a (pre-)pilot project involving 5 teleworkers. Actually, the collective agreement signed between the unions and the City Council already considered promoting telework as a means to keep a balance between the professional and personal lives of public employees, but it had never been implemented. According to this document, the City Council was in charge of passing a yearly telework plan, which had never occurred. 15 teleworkers are now starting a fully-fledged pilot project by personal request. The agency is in the consolidation phase, in order to achieve flexibility in public jobs, personal advice and organizational efficiency. This telework pilot is going to be implemented in 2015. It is going to include between 15 and 20 teleworkers and it will be considered the preliminary step before writing the formal telework plan. When this phase is complete, the department shall develop a telework plan for the whole organization. The protocol is not in place though because it has to be negotiated with the unions. All teleworkers work 37.5 hours a week (that is the official workday for City Council employees) and, more or less, they work three days (around 22.5 hours) a week from home, although they are flexible depending on the tasks to be conducted during a particular week. The objectives of adoption were to ensure a better work/life balance for employees, increase their motivation and work conditions, promote the development of organizational digitalization and implement a model of management by objectives. The municipality of Gijón can be considered an innovator, at least at the local level. At the national and regional levels, some projects have already been implemented.


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Appendix 4.B: Telework qualitative analysis protocol General 

Goal: Scientific study on determinants and barriers in adopting, diffusing and upscaling telework



Audio Recording



Full anonymity

Institutional context (open) 1. Which are the objectives that have pushed the organization to adopt telework? 2. Which is the stage of adoption that characterizes the organization in comparison with others at the same level of government in the country? Guidelines questions (for supporting interviewees) -

Is the organization the first adopter at the local, regional or national level?

-

Is it among the first ones?

-

Has telework been adopted late if compared to others?

-

Why such a stage of adoption has characterized this organization rather than peer ones?

-

How the telework experience of this organization differs from those ones of other peer organizations?

3. Please, explain if the upscaling of telework, in the case analysed, is referred to: -

The organization;

-

The entire branch in which the organization operates;

-

The public sector as a whole.

Determinants and barriers of adoption (open) 4. Determinants and barriers of the outer context Various factors that are outside the organization can have facilitated or hindered the adoption of telework by the organization itself. These may include the inter-institutional dynamics and pressures among the various levels of government, the legislative setting, political factors, the economic and social contexts, the demography of the area and also technology. -

To you, did these external factors promote and/or hinder the adoption of telework? Or were they irrelevant?

-


-


-

Can you bring examples from this experience? Guideline for the interviewer: These first questions take into account the “Level 1” of analysis (outer context). At this point, the interviewer can use (portion of) the questions presented below (4.A. – 4.G.) if necessary, since they take into account the “Level 2” of analysis (dimensions of the outer context). This can be useful to obtain further details on those factors that the interviewee has emphasised more (e.g. if the interviewee remarks the role of legislative factors, the interviewer can ask further questions using the guidelines of 4.B.)


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h. Inter-institutional dynamics. The adoption of telework can be influenced by the legislative setting referred to this practice. This means that sometimes obligations and standards fixed by the law can launch and foster the process, which is also facilitated by the clarity and consistency of such norms. However, such factors can instead hinder the adoption if characterized by complexity or scarce clarity. — To you, did these factors promote and/or hinder the adoption of telework? Or were they irrelevant? — Which ones were more influential? — Can you explain why? Can you bring examples from this experience? i.

Legislative factors. The adoption of telework can be influenced by the legislative setting referred to this practice. This means that sometimes obligations and standards fixed by the law can launch and foster the process, which is also facilitated by the clarity and consistency of such norms. However, such factors can instead hinder the adoption if characterized by complexity or scarce clarity. -

To you, did these factors promote and/or hinder the adoption of telework? Or were they irrelevant?

-


-


-


j.

Political factors. The adoption of telework can be influenced by various political factors. The state government traditions, the form of government, its stability and its regional/local autonomy can play a relevant role. The competition and the support of politicians and political parties are other noticeable examples. -


-


-


-

Can you bring examples from this experience? Social factors. The adoption of telework can be influenced by various social factors. They include citizens’

k.

education, their trust and pressures towards institutions, and the relationship between the organization itself and external stakeholders, such as providers. — To you, did these factors promote and/or hinder the adoption of telework? Or were they irrelevant? — Which ones were more influential? — Can you explain why? Can you bring examples from this experience? l.

Economic factors. The adoption telework can be influenced by the economic condition of the geographical context. This means that factors like the GDP, the employment rate and the fiscal capacity can influence the adoption because of their abundance or lack. -


-


-


-



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m. Demographic factors. The adoption of telework can be influenced by the demography of the geographical context, usually (but not exclusively) the number and the density of inhabitants. -


-


-


-


n. Technological factors. The adoption of telework can be influenced by technological factors referred to the geographical context as a whole: ICT infrastructures are often influential, and also the citizens’ familiarity with these technologies. — To you, did these factors promote and/or hinder the adoption of telework? Or were they irrelevant? — Which ones were more influential? — Can you explain why? — Can you bring examples from this experience?

5. Determinants and barriers of the inner context Various factors that are inside the organization can have facilitated or hindered the adoption of telework by the organization itself. These may include factors that regard the organization as a whole, the individuals that operate within it and the status of technology. — To you, did these external factors promote and/or hinder the adoption of telework? Or were they irrelevant? — Which ones were more influential? — Can you explain why? — Can you bring examples from this experience? Guideline for the interviewer: These first questions take into account the “Level 1” of analysis (inner context). At this point, the interviewer can use (portion of) the questions presented below (5.A. – 5.C.) if necessary, since they take into account the “Level 2” of analysis (dimensions of the inner context). This can be useful to obtain further details on those factors that the interviewee has emphasised more (e.g. if the interviewee remarks the role of individual factors, the interviewer can ask further questions using the guidelines of 5.B.)

d. Organizational factors. The adoption of telework can be influenced by factors that regard the organization as a whole. Some examples are: the abundance of various kinds of resources (e.g. money, time, skills); the size of the organization; the presence of knowledge intermediaries; the managerial leadership and support; adaptation processes; the participation to networks or collaborations with other organizations; the organizational culture towards risk and change. — To you, did these factors promote and/or hinder the adoption of telework? Or were they irrelevant? — Which ones were more influential? — Can you explain why? Can you bring examples from this experience?


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e. Individual factors. The adoption of telework can be influenced by factors that regard the individuals that operate within the organization. For example, their perception of ease of use and usefulness of the innovation to be adopted can be important. Other elements are the characteristics of managers and other employees, such as their age, education, autonomy and acceptance of technology. Finally, their skills can be relevant, both in using ICT and in other capabilities. — To you, did these factors promote and/or hinder the adoption of telework? Or were they irrelevant? — Which ones were more influential? — Can you explain why? — Can you bring examples from this experience?

f.

Technological factors. The adoption telework can be influenced by technological factors within the organization. They regard the compatibility, the complexity and the security of telework. Also organizational technological infrastructures are important, for example the number of computers, etc. — To you, did these factors promote and/or hinder the adoption of telework? Or were they irrelevant? — Which ones were more influential? — Can you explain why? — Can you bring examples from this experience? Determinants and barriers of upscaling (closed)

6. This research has an additional focus, that is, the upscaling of ICT-driven social innovation. Specific influencing factors characterized the upscaling of innovation. To you, how influential were/are the following factors in upscaling telework? Or – if the upscaling process still has to be launched – how influential would they be in the future process according to your perception? a. Adaptation processes; b. Political conflicts; c.

Incentives at various levels;

d. Inter-institutional networks; e. Change management; f.

Organizational inertia and/or resistance;

g. Legal constraints; h. Lack of interoperability; i.

Scarce awareness of benefits;

j.

Change in leadership;

k.

Proper owner.

General 

Ask if respondent wants to add something which was not yet covered.



Check whether he/she want to see the interview transcript and validate it.



Check whether he/she wants to be kept updated about the progress of the study.



Thank the respondent for the interview.


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Appendix 4.C: Telework survey protocol

1. GENERAL INTRODUCTION 

Goal: Scientific study on the determinants and barriers in adopting, diffusing and upscaling telework;



Approximately 10-15 minutes;



Full anonymity.

2. PERSONAL INFORMATION # 1

2

Item Age [max. 1 answer]  30 or less

 31-40

 41-50

 51-60

 61 or more

Gender [max. 1 answer]  Male

 Female

3. INSTITUTIONAL CONTEXT OF TELEWORK #

Item

3

Does this organization use telework? [max. 1 answer]  Yes

4

 No

In which year has this organization started to use telework? [Please, answer to this question just if you have answered “Yes” to the previous one] YYYY

5

In your current role as human resources manager, are you favourable to the adoption of telework in this organization? [max. 1 answer]  Yes

6

 No

Please, select the most appropriate definition to describe this organization as a type of telework adopter in comparison to the other peer organizations in your country. [max. 1 answer]  Innovator (this organization has been the first or among the very first to adopt telework).  Follower (this organization has adopted telework just after the first innovative experiences of its peers).  Late adopter (this organization has adopted telework after the majority of its peers).  Laggard (this organization has been among the last ones to adopt telework).  Non-adopter (this organization has never adopted telework).


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4. DETERMINANTS AND BARRIERS OF THE OUTER CONTEXT IN ADOPTING TELEWORK Regardless the fact that this organization has adopted telework or not, we kindly ask you to complete the following section. It examines the factors outside public sector organizations that facilitate or hinder their adoption of telework. Please, express an opinion on the following statements selecting one value between “1” and “5”, where:  “1” means “Extreme disagreement”.  “5” means “Extreme agreement”. # 7

Item «The imitation of other telework experiences drives its adoption by public sector organizations». [max. 1 answer]

8

«Law frustrates the adoption of telework in public sector organizations because of its regulatory restrictions (e.g. limits established by the privacy law in sharing personal data)». [max. 1 answer]

9

«The degree of autonomy in governing organizational processes facilitates the adoption of telework in public sector organizations». [max. 1 answer]

10

«Political vision for telework facilitates its adoption in public sector organizations». [max. 1 answer]

11

«The consensual relationship between public sector organizations and their external stakeholders, such as trade unions, facilitates the adoption of telework». [max. 1 answer]

12

«The citizens’ need of achieving a better balance between their personal and professional life drives public sector organizations to adopt telework». [max. 1 answer]

13

«The improvements of environmental conditions that telework can ensure (e.g. lower CO 2 emissions) drive its adoption in public sector organizations». [max. 1 answer]

14

«Local geo-morphological contexts (e.g. relevant distances between urban and rural areas) are a driver of telework adoption in public sector organizations». [max. 1 answer]

15

«Territorial ICT infrastructures, such as the broadband connection, facilitate the adoption of telework in public sector organizations». [max. 1 answer]

16

«Citizens’ familiarity with ICTs facilitates the adoption of telework in public sector organizations». [max. 1 answer]


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5. DETERMINANTS AND BARRIERS OF THE INNER CONTEXT IN ADOPTING TELEWORK As for the previous section, we kindly ask you to complete the following one regardless the fact that this organization has adopted telework or not. This section examines the factors inside public sector organizations that facilitate or hinder their adoption of telework. Please, express an opinion on the following statements selecting one value between “1” and “5”, where:  “1” means “Extreme disagreement”.  “5” means “Extreme agreement”. # 17

Item «The increased economic efficiency that telework can ensure drives its adoption in public sector organizations». [max. 1 answer]

18

«The cost savings that telework can ensure drive its adoption in public sector organizations». [max. 1 answer]

19

«Employees’ bottom-up initiatives for telework drive its adoption in public sector organizations». [max. 1 answer]

20

«The top managers’ support for telework facilitates its adoption in public sector organizations». [max. 1 answer]

21

«Coaching, mentoring and other training activities facilitate the adoption of telework in public sector organizations». [max. 1 answer]

22

«The possibility of experimenting the use of telework through a pilot project facilitates its adoption in public sector organizations». [max. 1 answer]

23

«The bureaucratic culture of public sector organizations is a barrier to the adoption of telework (e.g. focus on processes, culture of physical presence)». [max. 1 answer]

24

«The employees’ autonomy in achieving the expected results facilitates the adoption of telework in public sector organizations». [max. 1 answer]

25

«Employees’ technological skills facilitate the adoption of telework in public sector organizations». [max. 1 answer] «The employees’ perception of relative advantage and benefit in using telework is a driver of its adoption in public sector organizations». [max. 1 answer]

26 27

«Individual scepticism and resistance shown by employees towards telework are a barrier to its adoption in public sector organizations». [max. 1 answer]

28

«Personal characteristics of employees (e.g. their age and educational qualifications) facilitate the adoption of telework in public sector organizations». [max. 1 answer]

29

«The possibility of managing in-house the ICT facilities that support telework (e.g. software for group chat and video conferences) facilitate its adoption in public sector organization». [max. 1 answer]


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Appendix 4.D: Telework determinants and barriers (qualitative analysis) Country

France

Italy

Netherlands

Romania

Slovakia

Spain

Geographical context

City of Paris



Harghita

Slovakia


Geographical level

Local

Local

Local

Regional (county)

National

Local

Organization analysed

Call centre of the city of Paris



AJOFM Harghita

Slovak National Library


Type of adopter (organizational level)

Innovator

Innovator

Follower

Non-adopter

Innovator

Innovator

Phase of adoption


Upscaling (ongoing)


First exposure

Upscaling (ongoing)

Pilot phase

Interinstitutional dynamics

Not influential.

Positive imitation of previous Dutch experience has driven the process.

Not influential.

The adoption drew on learning from private sector experiences.

Legislative factors

Not influential.

Learning from other experiences occurred once the decision of adoption had been taken. Minor barrier due to concerns related to privacy laws.

The privacy law has represented a slightly influential barrier.

Not influential.

Political factors

Political support and vision have been critical for the upscaling of telework. This comes from the mayor of Paris especially, as the reduction of traffic jams was established as a political priority.

The stable and large support provided by the provincial government and council has facilitated the process of upscaling.

Not influential.

The lack of national legislation on telework is the most influential barrier. Not influential.

Learning from other experiences occurred once the decision of adoption had been taken. Not influential.

Not influential.

Political support has fostered the process of adoption (telework is part of the broader digitalization strategy of the organization).

Social factors

Adoption was driven by the will of meeting social needs (e.g. work/life balance, reduction of CO2 emissions), which are particularly relevant in the city of Paris.

Social needs (e.g. better work/life balance, strengthening local communities) were among the main drivers. Moreover, the fluent social dialogue between key stakeholders has facilitated the process.

The will to meet social needs was mentioned as a critical driver.

Not influential.

The response to need-based demands represents a driver of adoption and upscaling.

The will of responding to need-based demands represents one of the strategic assets of the project.

OUTER CONTEXT


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Economic factors

Not influential.

Not influential.

Not influential.

Not influential.

Not influential.

Not influential.

Demographic factors

The geomorphological context (densely inhabited urban area) has driven the need for upscaling telework.

The mountainous area of the province represents a driver of upscaling.

Not influential.

Not influential.

The relevant distances between employees’ homes and workplaces have driven the process of upscaling.

Not influential.


The reliability of the internet connection is an important determinant.

The broadband connection is a critical enabling factor.

The territorial development in the realm of ICTs represents a notable determinant.

The lack of adequate ICT infrastructure and ICT literacy is a relevant barrier to adoption.

The degree of ICT development is a positive determinant.

Territorial digital divide may have hindered the adoption of telework.

INNER CONTEXT Organizational factors

The project was mainly driven by top management. Bureaucratic culture, however, represented a barrier to upscaling.

Bottom-up initiatives, topmanagement support and training activities represent the most relevant drivers of upscaling. However, bureaucratic culture emerged as a related barrier.

The adoption and upscaling of telework were mainly determined by the existence of bottom-up initiatives, top management support and the launch of pilot projects. Bureaucratic culture instead represented a barrier to be overcome.

Implementation costs represent a barrier to adoption.

Bottom-up initiatives and the support of top management represent critical drivers of adoption /upscaling.

The trialability of telework and managerial support are the most critical drivers. However, bureaucratic culture (processoriented managerial style, etc.) represent a notable barrier.

Individual factors

The perception of relative advantage has facilitated the upscaling of telework.

Employees’ creativity and ICT skills are pivotal drivers of upscaling.

The lack of ICT skills hinders the process of adoption.

The ICT skills and autonomy of employees have facilitated the upscaling of telework.

Employees ICT skills and autonomy are relevant drivers.


Not influential.

The possibility of managing the telework software (“eWork”) in-house is a facilitating factor.

The entrepreneurial attitude of initiators and the benefits perceived by other employees are important determinants. Not influential.

Better ICT facilities are needed to implement telework.

Internal ICT facilities have made the adoption possible.

ICT equipment is sufficient but may need to be modernized for upscaling telework.


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Appendix 4.E: Telework determinants and barriers (quantitative analysis)

OUTER CONTEXT France

Italy

Netherlands

Romania

Slovakia

Spain

Main determinants

Territorial ICT infrastructures; Positive imitation; Need-based demands; Geomorphological contexts.

Need-based demands; Political vision; Consensual relationships with stakeholders.

Positive imitation; Need-based demands; Territorial ICT infrastructures.

Territorial ICT infrastructures.

Territorial ICT infrastructures.

Positive imitation; Need-based demands; Territorial ICT infrastructures.

Main barriers

Not influential.

Not influential.

Not influential.

Lack of positive imitation.

Not influential.

Not influential.

INNER CONTEXT France

Italy

Netherlands

Romania

Slovakia

Spain

Main determinants

Bottom-up initiatives; Top management support; Knowledge transfer; Trialability; Employees’ autonomy.

Knowledge transfer. Trialability. ICT skills. Perception of relative advantage.

Increased economic efficiency; Bottom-up initiatives; Top management support. Trialability. Employees’ autonomy.

Increased economic efficiency; Trialability. Employees’ autonomy. ICT skills.

Knowledge transfer. Trialability.

Top management support; Knowledge transfer. Trialability. Employees’ autonomy.

Main barriers

Bureaucratic culture.







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