The doctoral thesis defense outlines Ana Waksberg Guerrini's investigation into the effects of new forms of government-citizen interaction through digital technologies on the organizational structure and dynamics of public administrations. The defense provides an overview of the motivation, theoretical background, research questions, analytical framework, methodology, results and analysis of case studies from São Paulo and Rio de Janeiro, and conclusions. Key findings include evidence that increased data collection and information flows between interaction channels and government units in São Paulo led to more networked and dynamic organizational forms by 2013-2015, while Rio de Janeiro exhibited stronger hierarchical and centralized coordination of channels and data through an oversight body established by decrees.

1. c
Citizens as the Engine of Transformations: An Investigation of the Effects of the
New Forms of Government-Citizen Interaction on the Organisational Structure
and Dynamics of Public Administrations
Doctoral Thesis Defense
Ana Waksberg Guerrini
1st February 2016
Supervisors: Eduard Aibar and Albert Batlle

2. OUTLINE
c
• Motivation
• State of the Art/ Theoretical Background
• Research Questions
• Analytical Framework
• Methodology
• Results and Analysis – São Paulo and Rio de Janeiro
• Conclusions
• Future Research

3. MOTIVATION
• To understand the relationship between the intensitication of ICT-mediated interaction between
governments and citizens and the backoffice organisation and dynamics of public administrations
• Early-2000s – The Hype Of e-Government and E-
Participation: Positive Tool For Public
Administrations; Research about Front-office.
• Mid-2000s – PhD IN3: Incorporation Of Social
Constructionist Perspectives On Analysis, Showing
The Interplay Between ICTs And Practices
• 2010s – The Rise Of Big Data
• 2005-2006 – IT Assistant Manager @São Paulo
Municipal Government
• 2011-2013 – Citizen Attention Centre Manager
@Rio De Janeiro Municipal Government
• 2013-2015 – Citizen Attention Channels Manager
@São Paulo Municipal Government
PROFESSIONAL BACKGROUND RESEARCH
OBJECTIVE OF THE THESIS

4. STATE OF THE ART/ THEORETICAL BACKGROUND
THE STUDY OF ICTS IN THE PUBLIC SECTOR
E-GOV PROMISES – BETTER SERVICES WITH LOWER
COSTS?
• 1970/80s Research – Reinforce hierarchical and
power structures in place (Laudon 1974; Dutton
1975; Danziger et al 1982)
• 1980s research – Decentralization/distribution of
activities (Dedrick 1997; Kraemer et al. 1989)
• 1990s-2000s research – E-Administration, E-
Government, E-Democracy, E-Participation to resolve
problems of contemporary public administration
• 2010s – online presence is an obligation for modern
governance
• Anti-Utopian View – control over citizens
• Lower costs by web-based processing, supplanting
human activities and increasing competition
• Few rigorous and conclusive studies
• Relevance of efficiency concept in the public sector?
• Public Value (eGEP 2006; Dadayan 2006): financial and
intangible benefits, costs and risks – quality, variety,
speed
• Effectiveness, by improving access and quality of public
services; completely new, beneficial services
• “Maturity “ levels of portals and services – neglect call
centers; transformation may not be captured

5. STATE OF THE ART/ THEORETICAL BACKGROUND – CONT.
E-GOV PROMISES – THE INVOLVED CITIZEN? E-GOV PROMISES – NETWORK ADMINISTRATION:
THE END OF A SILO-GOVERNMENT?
• How to ensure citizens’ will?
• Extra-parliamentary participatory mechanisms
during the mandate
• ICTs allow for participation without the burden of
commuting and working time costs (attraction)
• Active E-Government: citizens interact and track live
• Exit or Voice (Hirshman 1970): Citizens do not have
the option to exit. Strong channels, opinions taken
into account, citizens continuosly voice and
participate. Participation as calibration of government
• NPM: To resolve bureaucratic deficiencies through
management by results, market competition,
excellence and efficiency in delivering public services
to the citizen-client
• Management techniques marginalize ethical, political
and social dimensions of policy-making process and
governance
• Network Administration and State: interdepartmental
cooperation, adaptability to changes; out-ward facing
networks, open and horizontal relationship with
citizens

6. RESEARCH QUESTIONS
Q.: Is the intensification of ICT-based interaction between governments and citizens related
to public services, which generate voluminous quantities of information, leading to
organisational transformations in public administrations?
Q.a.: How are e-Government
applications being enacted by
governments and used by citizens,
taking into account institutional and
socio-technical conditions?
Q.b.: Are the information flows
regarding the use of these interaction
channels changing the organisational
dynamics of public administrations?
H.: Those information flows show a change toward more network forms of organisation,
albeit co-existing with hierarchical structures.

7. ANALYTICAL FRAMEWORK
• Technology as social objects – emphasizes two-way process of interaction between technological innovations and
social contexts (Bijker, Hughes, and Pinch 1987; Bijker and Law 1992; Latour 1991)
• Critique of the lineal model of technological development that have social impacts
• Public administrations’ shared believes, regulations, processes and organisational forms play a role in the configuration
of ICTs and are transformed in the process of incorporating the technology
TECHNOLOGY ENACTMENT FRAMEWORK
• Fountain (2001) – Individuals enact routines and network relationships in the design and use of web-based
information and communication systems, according to social, organisations and institutional conditions. The
unintend consequences lead to subtle modifications of structure to accommodate new technology. Their
accummulation may lead to dramatic shifts in structure and power
THE SOCIAL CONSTRUCTION OF TECHNOLOGY
THE SITUATED TECHNOLOGY

8. c
ANALYTICAL FRAMEWORK
ANALYTICAL MODEL
• TIP (Orlikowski 2000; Schulze and Orlikowski 2004) offers a
lens to examine recursive relationships between
technology, individuals and organisations
• Technology does not “embody” structures
• Empirical-based perspective grounded on the micro-level
ongoing practices of actors with technology
• Technology-in-Practice: structure that emerges out of the
ongoing, situated use of technology
• Technologies-in-Practice: inertia, application, and change
TECHNOLOGY-IN-PRACTICE FRAMEWORK (TIP)

9. ANALYTICAL CATEGORIES
INTERPRETIVE TECHNOLOGICAL INSTITUTIONAL
CONDITIONS
• Technological properties• Knowledge about the use of
the technology
• Shared Ideas and Practices
about e-Government
• Political Leadership
• Laws and Regulation
Organizational Forms
CONSEQUENCES
• Information flows among
Interaction Channels,
Departments and Agencies
PROCESSUAL TECHNOLOGICAL STRUCTURAL
• Changes, adjustments,
workarounds in the
technological properties
available to the users
• Technology-in-practice: reinforce
and preserve status quo
(inertia), reinforce and enhance
status quo (application) or
transform status quo (change)

10. METHODOLOGY
SÃO PAULO AND RIO DE JANEIRO
• Megalopolis with similar levels
of political and financial automy
• Administrations that have close
and daily contact with citizens
• Similar available techonologies,
and e-Government
development, which enrich the
analysis
• The researcher had wide access
to both citizen attention centres
PARTICIPANT OBSERVATION AND
INTERVIEWS
• Participant observation in
Rio de Janeiro’s municipal
government (Sep 2011 – Mar
2013):
+
• 7 Semi-structured interviews
with key actors (2014-2015)
• São Paulo municipal’s
government (Apr 2013 – Jun
2015)
+
• 7 Semi-structured interviews
with key actors (2014-2015)
QUALITATIVE RESEARCH
• Websites
• Legislation
• Internal documentations
• Published and unpublished
reports
• Office memos
• Organizational charts
• Systems user guides
• Samples of database
records
CASE STUDIES FIELD WORK DOCUMENTATION ANALYSIS

11. SÃO PAULO RESULTS AND ANALYSIS
INTERPRETIVE CONDITIONS
Phase 1. Enthusiastic about promises
of e-government
Phase 2. Indifferent Political Leadership
Phase 3. Political leadearship focused
on one-time collaborative projects,
based on citizen data
SÃO PAULO

12. SÃO PAULO RESULTS AND ANALYSIS
INTERPRETIVE CONDITIONS TECHNOLOGICAL CONDITIONS INSTITUTIONAL CONDITIONS
Phase 1. Enthusiastic about promises
of e-government
Phase 2. Indifferent Political Leadership
Phase 3. Political leadearship focused
on citizen data for one-time
collaborative projects
• Telephone contact center, web
services portal, simple workflow
system
• Partial integration and
standardization of channels
• Poor management and performance
tools
• No social media integration
Phase 1. Fragmentation of interaction
channels, focused on devolved service
delivery
Phase 2. Failed attempts of channels
coordination/integration
Phase 3. Coordinated attention SLAs; Data
Analysis to Subsidize one-time
collaborative projects
SÃO PAULO

13. SÃO PAULO RESULTS AND ANALYSIS
INTERPRETIVE CONDITIONS TECHNOLOGICAL CONDITIONS INSTITUTIONAL CONDITIONS
Phase 1. Enthusiastic about promises
of e-government
Phase 2. Indifferent Political Leadership
Phase 3. Political leadearship focused
on one-time collaborative projects,
based on citizen data
• Telephone contact center, web
services portal, simple workflow
system
• Partial integration and
standardization of channels
• Poor management and performance
tools
• No social media integration
Phase 1. Fragmentation of interaction
channels, focused on devolved service
delivery
Phase 2. Failed attempts of channels
coordination/integration
Phase 3. Coordinated SLAs; Data Analysis
to Subsidize one-time collaborative
projects
SÃO PAULO
PROCESSUAL CONSEQUENCES
• Interaction Channels information flows:
Routine between Interaction Channels
and Units; Increasing use of
departmental systems, uncoordinated
• Data Collection: hierarchical/routine;
networked/dynamic (2013-2015)
• Feedback Information Use:
hierarchical/routine (Until 2013);
networked/dynamic(2013-2015)

14. SÃO PAULO RESULTS AND ANALYSIS – PROCESSUAL CONSEQUENCES
INTERACTION CHANNELS
INFORMATION/SERVICE REQUESTS FLOWS
INTERACTION CHANNELS
ENACTED INFORMATION/SERVICE REQUESTS FLOWS

15. SÃO PAULO RESULTS AND ANALYSIS – PROCESSUAL CONSEQUENCES – CONT.
Initial Feedback and Service Usage Information Flows
2003-2004
Enacted Feedback and Service Usage Information Flows
2013-2015

16. SÃO PAULO RESULTS AND ANALYSIS
INTERPRETIVE CONDITIONS TECHNOLOGICAL CONDITIONS INSTITUTIONAL CONDITIONS
Phase 1. Enthusiastic about promises
of e-government
Phase 2. Indifferent Political Leadership
Phase 3. Political leadearship focused
on one-time collaborative projects,
based on citizen data
• Telephone contact center, web
services portal, simple workflow
system
• Partial integration and
standardization of channels
• Poor management and performance
tools
• No social media integration
Phase 1. Fragmentation of interaction
channels, focused on devolved service
delivery
Phase 2. Failed attempts of channels
coordination/integration
Phase 3. Coordinated attention SLAs; Data
Analysis to Subsidize one-time
collaborative projects
SÃO PAULO
PROCESSUAL CONSEQUENCES TECHNOLOGICAL CONSEQUENCES
• Interaction Channels information flows:
horizontal/Routine between Interaction
Channels and Government Units
• Data Collection: hierarchical/routine
(until 2013); networked/dynamic (2013-
2015)
• Feedback Information Use:
hierarchical/routine (Until 2013);
networked/dynamic(2013-2015)
• Simple Performance Reports
• Increasing use of Departmental
Workflow Systems, Portals/Apps
• Failed One-Stop-Shop, Life Events
Portal
• Facebook Profile Role Answering
Citizens – dynamic and informal

17. SÃO PAULO RESULTS AND ANALYSIS
INTERPRETIVE CONDITIONS TECHNOLOGICAL CONDITIONS INSTITUTIONAL CONDITIONS
Phase 1. Enthusiastic about promises
of e-government
Phase 2. Indifferent Political Leadership
Phase 3. Political leadearship focused
on one-time collaborative projects,
based on citizen data
• Telephone contact center, web
services portal, simple workflow
system
• Partial integration and
standardization of channels
• Poor management and performance
tools
• No social media integration
Phase 1. Fragmentation of interaction
channels, focused on devolved service
delivery
Phase 2. Failed attempts of channels
coordination/integration
Phase 3. Coordinated attention SLAs; Data
Analysis to Subsidize one-time
collaborative projects
SÃO PAULO
STRUCTURAL CONSEQUENCES
Phase 1. Automation and Centralization of
Citizen Attention in a few channels
Phase 2. Fragmentation and
Decentralization of E-Government
Channels and Initiatives
Phase 3. Pockets of Transformation in
Service Delivery; Relational/Networked
Ways of Working Between Public Bodies
PROCESSUAL CONSEQUENCES TECHNOLOGICAL CONSEQUENCES
• Interaction Channels information flows:
horizontal/Routine between Interaction
Channels and Government Units
• Data Collection: hierarchical/routine
(until 2013); networked/dynamic (2013-
2015)
• Feedback Information Use:
hierarchical/routine (Until 2013);
networked/dynamic(2013-2015)
• Simple Performance Reports
• Increasing use of Departmental
Workflow Systems, Portals/Apps
• Failed One-Stop-Shop, Life Events
Portal
• Facebook Profile Role Answering
Citizens – dynamic and informal

18. Source: CACISP internal report for the Mayor, May 2015
SÉ SUBPREFECTURE: TREE PRUNING PLANNING MAP TREE PRUNING REQUEST DATA: TRANSFORMATION OF SERVICE
DELIVERY
• Data Collected from different channels and
Departments
• Tree pruning plan, with joint action of 32
Subprefectures, Department of Transit and State
Department of Lighting
RESULTS AND ANALYSIS – STRUCTURAL CONSEQUENCES – CONT.

19. RIO DE JANEIRO RESULTS AND ANALYSIS
RIO DE JANEIRO
• Favourable view of e-Gov, focused
on efficiency-effectiveness,
Control and the Citizen-Client
• Enthusiastic political leadership;
Coordination to Monitor and
Control to Achieve Better
Performance
INTERPRETIVE CONDITIONS

20. RIO DE JANEIRO RESULTS AND ANALYSIS
Single Oversight Body. Coordination,
Integration, Monitoring and control of
service delivery as a prerogative of
1746 team, guaranteed by decrees
RIO DE JANEIRO
• Favourable view of e-Gov, focused
on efficiency-effectiveness,
Control and the Citizen-Client
• Enthusiastic political leadership;
Coordination to Monitor and
Control to Achieve Better
Performance
• Telephone Contact Centre, Mobile
Application, Simple Workflow System
• Integration of the Workflow System
with Departmental Systems
• Poor management and performance
tools
• No social media integration
INTERPRETIVE CONDITIONS TECHNOLOGICAL CONDITIONS INSTITUTIONAL CONDITIONS

21. 1746 MATRIX WORKING STRUCTURE
Year Number of Participant
Departments
Total Targets 1746-Related Targets % of 1746-Targets
2010 19 77 -
2011 34 187 4 2,1
2012 38 221 20 9,0
2013 35 208 15 7,2
2014 36 146 14 9,6
RESULTS ORIENTED AGREEMENT TARGETS
Source: Author’s own construction based on interviews, decrees and reports
Decree 34805 2011
1746 VISUAL STANDARDS DECREE• The Power of Decrees: 1746 structure, visual
standards, results oriented agreement targets,
Conformity Special Team
RIO DE JANEIRO RESULTS AND ANALYSIS – INSTITUTIONAL CONDITIONS

22. RIO DE JANEIRO RESULTS AND ANALYSIS
Single Oversight Body. Coordination,
Integration, Monitoring and control of
service delivery as a prerogative of
1746 team, guaranteed by decrees
RIO DE JANEIRO
• Favourable view of e-Gov, focused
on efficiency-effectiveness,
Control and the Citizen-Client
• Enthusiastic political leadership;
Coordination to Monitor and
Control to Achieve Better
Performance
• Telephone Contact Centre, Mobile
Application, Simple Workflow System
• Integration of the Workflow System
with Departmental Systems
• Poor management and performance
tools
• No social media integration
• Interaction Channels information
flows: 1746-Department Routine
Flow. Channels added, coordinated
• Data Collection: Centrally Carried
out by 1746 Oversight Body
• Feedback Information Use: 1746-
Department Collaboration for
Results Agreement, Monitoring,
Service Enhancement
INTERPRETIVE CONDITIONS TECHNOLOGICAL CONDITIONS INSTITUTIONAL CONDITIONS
PROCESSUAL CONSEQUENCES

23. 1746 CITIZEN ATTENTION CENTER INITIAL INFORMATION/REQUEST
FLOWS
1746 CITIZEN ATTENTION CENTER ENACTED INFORMATION/REQUEST
FLOWS
RIO DE JANEIRO RESULTS AND ANALYSIS – PROCESSUAL CONSEQUENCES

24. RIO DE JANEIRO RESULTS AND ANALYSIS
Single Oversight Body. Coordination,
Integration, Monitoring and control of
service delivery as a prerogative of
1746 team, guaranteed by decrees
RIO DE JANEIRO
• SMS and e-mails Alert System
• 1746 Web Application, by 1746 Team,
partially integrated with Workflow
System
• Carioca Digital Customised Citizen
Portal, by IT Team
• Sophisticated Strategic Management
and Operational Reports
• Favourable view of e-Gov, focused
on efficiency-effectiveness,
Control and the Citizen-Client
• Enthusiastic political leadership;
Coordination to Monitor and
Control to Achieve Better
Performance
• Telephone Contact Centre, Mobile
Application, Simple Workflow System
• Integration of the Workflow System
with Departmental Systems
• Poor management and performance
tools
• No social media integration
INTERPRETIVE CONDITIONS TECHNOLOGICAL CONDITIONS INSTITUTIONAL CONDITIONS
PROCESSUAL CONSEQUENCES TECHNOLOGICAL CONSEQUENCES
• Interaction Channels information
flows: 1746-Department Routine
Flow. Channels added, coordinated
• Data Collection: Centrally Carried
out by 1746 Oversight Body
• Feedback Information Use: 1746-
Department Collaboration for
Results Agreement, Monitoring,
Service Enhancement

25. Source: Chief of Staff Secretary 1746 Control Panel, July 2015
1746 MANAGER DASHBOARD DEPARTMENT OF PUBLIC WORKS DASHBOARD
RIO DE JANEIRO RESULTS AND ANALYSIS – TECHNOLOGICAL CONSEQUENCES

26. RIO DE JANEIRO RESULTS AND ANALYSIS
Single Oversight Body. Coordination,
Integration, Monitoring and control of
service delivery as a prerogative of
1746 team, guaranteed by decrees
RIO DE JANEIRO
• SMS and e-mails Alert System
• 1746 Web Application, by 1746 Team,
partially integrated with Workflow
System
• Carioca Digital Customised Citizen
Portal, by IT Team
• Sophisticated Strategic Management
and Operational Reports
• Favourable view of e-Gov, focused
on efficiency-effectiveness,
Control and the Citizen-Client
• Enthusiastic political leadership;
Coordination to Monitor and
Control to Achieve Better
Performance
• Telephone Contact Centre, Mobile
Application, Simple Workflow System
• Integration of the Workflow System
with Departmental Systems
• Poor management and performance
tools
• No social media integration
• Reinforce and Enhance Status Quo: Strong
oversight body. Standardization and
Centralization of Citizen Attention
• Transform Status Quo: Coordinated
Collaborative interdepartmental work
based on citizen data have transformed
Service Delivery; Front Offiice Carioca
Digital Centred Around Citizens’ Needs
INTERPRETIVE CONDITIONS TECHNOLOGICAL CONDITIONS INSTITUTIONAL CONDITIONS
STRUCTURAL CONSEQUENCESPROCESSUAL CONSEQUENCES TECHNOLOGICAL CONSEQUENCES
• Interaction Channels information
flows: 1746-Department Routine
Flow. Channels added, coordinated
• Data Collection: Centrally Carried
out by 1746 Oversight Body
• Feedback Information Use: 1746-
Department Collaboration for
Results Agreement, Monitoring,
Service Enhancement

27. • Noise inspection and sidewalk inspection carried
out by different Departments
• Silo-Government Problem became visible with
implementation of the 1746
• Joint action coordinated by 1746 team to
effectively inspect noise disturbances complaints
NOISE POLLUTION JOIN INSPECTION ROUTINES –
TRANSFORMATION IN SERVICE DELIVERY
Source: Author’s own construction based on interviews, decrees and reports
RIO DE JANEIRO RESULTS AND ANALYSIS – STRUCTURAL CONSEQUENCES – CONT.
NOISE POLLUTION JOINT INSPECTION ROUTINES –
TRANSFORMATION IN SERVICE DELIVERY

28. c
CONCLUSIONS
ICT-MEDIATED INTERACTION DOES NOT NECESSARILY LEAD TO LOWER COSTS NOR ORGANISATIONAL CHANGE
• Online or app services lessen direct costs of citizen attention, but call centres are costly
• E-Services require more transparency about delivery procedures and times, which may require
the creation of an oversight body – necessary trade-off, but not more cost-effective
• Improvement in the backoffice may mean more resources (HR, IT, etc)
• E-Services are disruptive (e.g. self-awareness about service procedures and average delivery
times), but do not mean necessarily organisational change (automatisation, front office virtual
agencies, etc.)
• Our cases show that only with the active use of citizen voices and patterns of service use data,
mediated by ICTs, some organisational change took place

29. c
CONCLUSIONS
DIFFERENT INSTITUTIONAL CONDITIONS, DIFFERENT TECHNOLOGY-ENACTMENTS
Similar
Interpretive Conditions
• Effectiveness, Efficiency, Participation, Monitoring
and Evalution
Technological Conditions
• Call Center-focused, Partial Systems Integration,
Online/web applications, Poor CzRM, Lack of
Georreferenced Data, Simple Dashboards and
Reports
Different
Institutional Conditions
• São Paulo: channels under different Departments’
command; inexistence of active oversight body
• Rio de Janeiro: Mayor’s leadership; Strong oversight
body with prerrogative of monitoring and controlling
Different
Processual Consequences
• São Paulo: routine superficial reports coexist with in depth,
collaborative data analysis (2015)
• Rio de Janeiro: 1746 coordination data-collection to monitor
and subsidise results agreement
Technological Consequences
• São Paulo: failed attempts at services portal; superficial
management reports
• Rio de Janeiro: web application and SMS; detailed
management and operational reports
Structural Consequences
• São Paulo: no oversight body and back office integration
coexist with CACISP data-led fixed term collaborative projects
• Rio de Janeiro: 1746 strong oversight body coordinates
interdepartamental action to monitor, control and enhance
public service delivery based on citizen data

30. c
CONCLUSIONS
• Uncoordinated and Fragmented Action
More Freedom for Innovative, Flexible, Clustered City Solutions and Service
Improvement Projects to arise Coexists with status quo
• Guided and Coordinated Networked Action Effective, Integrated, Constant
Problem Solving and Service Improvement > State Policy
DIFFERENT, BUT PERHAPS COMPLEMENTARY TECHNOLOGIES IN PRACTICE

31. c
CONCLUSIONS
Pockets of Innovation >
Collaborative Projects to
Improve or Transform Service
Delivery
Strategic Management Reports
> Agreement Results, Service
Improvement and Policy
Making
ICT-mediated
Participation
Heavily Based on
Big Citizen Data
CITIZEN INVOLVEMENT? DE-POLITICISED PARTICIPATION
Individualised and De-
politicised Participation
That Guides Public
Policy and Budget
Allocation
Are Citizens Rightly
Interpreted and
Politically Represented?

32. FUTURE RESEARCH
THE DE-POLITICISED ASPECTS OF BIG DATA IN GOVERNMENT
SOCIAL MEDIA AND ORGANISATIONAL CHANGE
CONTINUOUS PARTICIPATION MECHANISMS AND GOVERNMENT RESPONSE3
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