KWPF KOREA-WORLD BANK PARTNERSHIP FACILITY KOREA: AN INTEGRATED SYSTEM OF CIVIL REGISTRATION AND VITAL STATISTICS NOVEMBER 2016 Ewha Womans University Korea Institute of Public Administration KOREA: AN INTEGRATED SYSTEM OF CIVIL REGISTRATION AND VITAL STATISTICS November 2016 Ewha Womans University Korea Institute of Public Administration CONTENTS Acknowledgment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ix Abbreviations and Acronyms. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xi Executive Summary. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiii 1  Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 Background. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 Concept and Significance of CRVS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Organization of the Report. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 2   The Framework of CRVS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Governance Structure. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Family Relationship Registration. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Resident Registration System. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Overview. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Resident Registration Record Card . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 Resident Identification Number. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 Resident Registration Certificate Card . . . . . . . . . . . . . . . . . . . . . . . . . . 15 Vital Statistics. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18 Overview. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18 Population Change Survey. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18 Population and Housing Census. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 Statistics Information System. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22 National Health Insurance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 Governance Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 CRVS and Health Insurance System . . . . . . . . . . . . . . . . . . . . . . . . . . 24 3   Civil Management Information System. . . . . . . . . . . . . . . . . 27 Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 vi The Case Study of Korea Governance Structure. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28 Central and Local Government Agencies. . . . . . . . . . . . . . . . . . . . . . . . 28 National Computing and Information Service . . . . . . . . . . . . . . . . . . . 28 Other Public Institutions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30 Civil Management Information Systems. . . . . . . . . . . . . . . . . . . . . . . . . 32 Enterprise Architecture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32 Family Relationship Registration Information System. . . . . . . . . . . . . . .32 Resident Registration Information System. . . . . . . . . . . . . . . . . . . . . . . 33 Minwon24 Portal. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34 Administrative Information Sharing System (AISS) . . . . . . . . . . . . . . . 35 Government Information and Communication Networks . . . . . . . . . . . 38 4   Statutes and Regulations . . . . . . . . . . . . . . . . . . . . . . . . . . . 41 Governance Structure. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41 CRVS related Acts. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42 Act on the Registration of Family Relationship . . . . . . . . . . . . . . . . . . . . 42 Resident Registration Act. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42 Statistics Act. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42 CMIS related Acts. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43 Framework Act. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43 Electronic Government Act . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43 Acts related to Privacy Protection and Cybersecurity. . . . . . . . . . . . . . . . 44 Personal Information Protection Act (PIPA). . . . . . . . . . . . . . . . . . . . . 44 Act on Promotion of Information and Communications Network Utilization and Information Protection (ICNUIPA) . . . . . . 45 Act on the Development of Cloud Computing and Protection of its Users. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45 5   Critical Success Factors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47 Strong Political Will and Leadership. . . . . . . . . . . . . . . . . . . . . . . . . . . . 47 Inter-Ministerial Collaboration and Resource Sharing. . . . . . . . . . . . . . . 48 Consistent and Timely Strategic Planning. . . . . . . . . . . . . . . . . . . . . . . . 49 Human Capacity with Skilled Expertise . . . . . . . . . . . . . . . . . . . . . . . . . 50 Flexible Financial Investment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52 Budgeting for CMIS and E-Government Projects . . . . . . . . . . . . . . . . . 52 Benefit-Cost Analysis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53 Public-Private Partnership. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54 Overview. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54 Outsourcing Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55 Project Management. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56 Key Considerations for Successful PPPs. . . . . . . . . . . . . . . . . . . . . . . . . 57 Contents vii 6    Lessons and Policy Implications . . . . . . . . . . . . . . . . . . . . . . 59 Legal and Institutional Arrangements. . . . . . . . . . . . . . . . . . . . . . . . . . . 59 Incentive System. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60 Capacity Development of Civil Servants and Users. . . . . . . . . . . . . . . . . 60 Personal Information Protection and Cybersecurity. . . . . . . . . . . . . . . . . 61 Technological Factors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62 7    Concluding Remarks. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63 Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67 List of Figures Figure 1.1: Evolution of Korea CRVS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Figure 2.1: Birth Registration Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Figure 2.2: Death Registration Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Figure 2.3: Structure of the Resident Identification Number. . . . . . . . . . . . . 12  Figure 2.4: Purpose of Resident Identification Number  Data Collection, 2014 (unit: percentage). . . . . . . . . . . . . . . . . . . 13 Resident Identification Number Processing Procedure by Figure 2.5:  the Public Sector. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 Figure 2.6: Resident Registration Certificate Card. . . . . . . . . . . . . . . . . . . . . 16 Figure 2.7: Data Processing of the Vital Statistics of Korea . . . . . . . . . . . . . . 19 Figure 2.8: Data Processing of the Cause of Death by Statistics Korea. . . . . . 20 Figure 2.9: Website of the Korean Statistical Information System (KOSIS). . 22 Figure 2.10: Governance of National Health Insurance System. . . . . . . . . . . . 23 Figure 2.11: Places of Birth and Death of Population, 2013 . . . . . . . . . . . . . . 24 Figure 2.12: Filing Eligibility Request for Health Insurance Services. . . . . . . . 25 Figure 2.13: The National Health Insurance Databases. . . . . . . . . . . . . . . . . . 26 Figure 3.1: The N-Type Growth Model of CMIS of Korea . . . . . . . . . . . . . . 28 Figure 3.2: The Structure of CRVS Governance . . . . . . . . . . . . . . . . . . . . . . . 29 Figure 3.3: Basic Structure of CMIS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32 Figure 3.4: Basic Architecture of RR Information Systems . . . . . . . . . . . . . . . 33 Figure 3.5: The First Screen of the Minwon24 Portal Website. . . . . . . . . . . . 34 Yearly Usage of Minwon24 Portal Services (unit: millions) . . . . . 35 Figure 3.6:  Top Five Online Services via Minwon24 Portal Website Figure 3.7:  (unit: thousands, percentage). . . . . . . . . . . . . . . . . . . . . . . . . . . . 36 Figure 3.8: Structure of Administrative Information Sharing System. . . . . . . 36 Figure 3.9: Basic Models of Information Sharing. . . . . . . . . . . . . . . . . . . . . . 37 Figure 3.10: Basic Structures of Information Sharing. . . . . . . . . . . . . . . . . . . . 37 Data-Using Institutions through AISS Figure 3.11:  (unit: data-using institutions and their ratio). . . . . . . . . . . . . . . . 38 Annual Records Viewing of Shared Information Figure 3.12:  (unit: millions). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .38 Concept Map of Government Information & Figure 3.13:  Communication Networks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38 Figure 5.1: Standard E-Government Governance of Korea (2001~2007). . . . 49 viii The Case Study of Korea Figure 5.2: Public Sector Employment as a Percentage of the Labor . . . . . . . . 51 Figure 5.3: Components of Total Civil Servants by Government Level . . . . . 51 Figure 5.4: Entrustment Chains of CMIS Projects in Korea . . . . . . . . . . . . . 56 Figure 5.5: Typical Life Cycle of Outsourcing Management . . . . . . . . . . . . . 57 List of Tables Table 1.1: Major Socioeconomic Indicators of Korea’s Growth. . . . . . . . . . . . 2 Table 2.1: Basic Structure of CRVS (FRR, RR, and PCS) . . . . . . . . . . . . . . . 6 Table 2.2: Public Governance of CRVS Task . . . . . . . . . . . . . . . . . . . . . . . . . 6 Table 2.3: The Family Relationship Registration System . . . . . . . . . . . . . . . . . 7 Table 2.4: Information Needed in the Registration Form. . . . . . . . . . . . . . . . 8 Table 2.5: Purpose and Benefits of RR System. . . . . . . . . . . . . . . . . . . . . . . . 9 Table 2.6: Development Stages of the RR System . . . . . . . . . . . . . . . . . . . . . 10 Table 2.7: Entries of Resident Registration Record Cards. . . . . . . . . . . . . . . 11 Table 2.8: Regulatory Structure of RIN Processing . . . . . . . . . . . . . . . . . . . . 14 Table 2.9: Alternate Methods for Personal Identification . . . . . . . . . . . . . . . 15 Data Collected for the RR Certificate Card Issuance and Table 2.10:  Information Included . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 Alternative Renewal Options of Resident Registration Table 2.11:  Certificate Card. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 Table 2.12: Basic Structure of Population Change Survey . . . . . . . . . . . . . . . . 18 Table 2.13: Publication of the Vital Statistics Data. . . . . . . . . . . . . . . . . . . . . 19 Table 2.14: Main Fields of Use of Demographic Trends. . . . . . . . . . . . . . . . . 20 Table 2.15: Changes in the Population Census between 2010 and 2015 . . . . 22  omponents and Unit System of the Health Insurance Table 2.16: C Information System. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 Table 3.1: K ey and Target Functions of National Computing and Information Service. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .29 Table 3.2:  Evolution of the National Computing and Information Service . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30 Table 3.3: Public Institutions Supporting CRVS in Korea . . . . . . . . . . . . . . 31 Table 3.4: Main Menu Contents of Minwon24 Portal Website . . . . . . . . . . 35 Table 4.1: A dministrative Information Subject to Sharing (E-Government Act, Article 38) . . . . . . . . . . . . . . . . . . . . . . . . . . 43 Table 4.2: R ights and Obligations of Information Owners (E-Government Act Article 42, 43) . . . . . . . . . . . . . . . . . . . . . . . 44 Table 4.3: O ECD Guidelines and Personal Information Protection Act. . . . 44 Table 5.1: A dvisory Committees Related to CMIS Agendas. . . . . . . . . . . . . 48 Table 5.2: Barriers to Information Sharing. . . . . . . . . . . . . . . . . . . . . . . . . . 48 Table 5.3: History of CRVS and CMIS Related Master Plans . . . . . . . . . . . 50 Table 5.4: Traditional Budgeting and Multi-Year Financial Investment . . . . 52 Table 5.5: H istory of Resource Procurement Methods. . . . . . . . . . . . . . . . . 52 Table 5.6: C omparison between Partnership and Outsourcing . . . . . . . . . . 54 Table 6.1: Penalties and Fines for Personal Information Privacy Violations. . 60 ACKNOWLEDGMENT T his report on the Civil Registration and Vital Statistics (CRVS) of Korea was prepared by an Ewha Womans University research team in partial collabo- ration with the Korea Institute of Public Administration as part of a 2015 joint consultation with the Knowledge Sharing Program (KSP) and World Bank Group (WBG). The research team acknowledges that this program was financed by the Ministry of Strategy and Finance (MoSF) and the Export-Import Bank of Korea. The research for the project was led by Dr. Hee Joon Song and Dr. Minah Kang, professors of public administration, and by research assistants Ms. Churin Kim and Yeonsoo Kim. First of all, the research team expresses deep gratitude to Dr. Samuel Lantei Mills and Dr. Sanggon Na who are Senior Health Specialists of the Health, Nutri- tion, and Population Global Practice at the WBG. The work was, in reality, made possible by their insightful advice and technical support. This report also relies on valuable support from numerous Korean gov- ernment officials and experts. Ministry of Interior (MoI) officials, including Mr. Young-Kuk Joung and Ms. Su Jung Lee, provided a huge amount of data on the history and ongoing practices of the Resident Registration (RR) system. The re- search team also appreciates Ms. Yeo Jin Lee’s contribution in the Vital Statistics policy area. Ms. Yoo-Sick Seo of the National Health Insurance Service and Dr. Jeongwon Yun of the Health Insurance Review and Assessment Service under the Ministry of Health and Welfare (MoHW) made valuable suggestions and com- ments on the integrated usage of the health registries and of the Resident Identifi- cation Number (RIN). Finally, the work benefited greatly from useful peer reviews by Ms. A-Lee Jo and Ms. Eun-Hee Park, officials of the MOI, Dr. Geunjoo Lee and Dr. Yujin Choi, professors of Public administration, Ewha Womans University. ABBREVIATIONS AND ACRONYMS Abbreviation Full Description AISS Administrative Information Sharing System BCA Benefit-Cost Analysis BOOT Build-Own-Operate-Transfer BOT Build-Own-Transfer CMIS Civil Management Information System CR Civil Registration CRVS Civil Registration and Vital Statistics DB Database DDoS Distributed Denial of Service e-NID Electronic national identity card FRR Family Relationship Registration G4C Government for Citizens project HIRA Health Insurance Review and Assessment Service ICNUIPA The Act on Promotion of Information and Communications Network Utilization and Information Protection ICT Information and Communications Technologies I-PIN Internet Personal Identification Number ITA Information Technology Architecture ITU International Telecommunication Union KCC Korea Communications Commission KISA Korea Internet and Security Agency KISDI Korea Information Society Development Institute KLID Korea Local Information Research and Development Institute KOMSCO Korea Minting and Security Printing Corporation KONEPS Korea Online E-Procurement System KOSIS Korean Statistical Information System KRW Korean Won MIC Ministry of Information and Communication xii The Case Study of Korea MOE Ministry of Education MOEL Ministry of Employment and Labor MOFA Ministry of Foreign Affairs MOHW Ministry of Health and Welfare MOI Ministry of the Interior MOJ Ministry of Justice MOSF Ministry of Strategy and Finance MSIP Ministry of Science, ICT and Future Planning NBIS National Basic Information System NCIS National Computing and Information Service NEIS National Education Information System NGO Nongovernmental Organization NHI National Health Insurance NHIS National Health Insurance Service NIA National Information Society Agency NID National Identity Card NTS National Tax Service OECD Organization for Economic Cooperation and Development PCS Population Change Survey PHC Population and Housing Census PIPA Personal Information Protection Act PISC Public Information Sharing Center PPS Public Procurement Service PPP Public-Private Partnership RIN (RRN) Resident Identification Number (Resident Registration Number) RR Resident Registration SDG World Bank Sustainable Development Goals SLA Service Level Agreement UN United Nations UNDESA United Nations Department of Economic and Social Affairs UNESCAP United Nations Economic and Social Commission for Asia and the Pacific UNICEF United Nations Children’s Fund VS Vital Statistics WBG World Bank Group WEF World Economic Forum WHO World Health Organization EXECUTIVE SUMMARY C ivil Registration and Vital Statistics (CRVS) refers to a universal, continuous, permanent, and mandatory recording and documentation of the occur- rences and characteristics of vital events, including births, deaths, marriag- es, divorces and annulments, adoptions, and legitimations in accordance with the legal and regulatory requirements of each country (United Nations Department of Economic and Social Affairs (UNDESA), 2015). The system contributes to the socioeconomic development in each country by recording the critical events of each country’s population. International organizations, including the United Nations (UN) Secretariat and Regional Commissions, the World Bank Group, the World Health Organization (WHO), the United Nations Children’s Emergency Fund (UNICEF), and nongovernmental organizations increasingly urge governments to establish a CRVS system that provides baseline data for shaping and implementing socioeconomic policies. This case study on Korea’s experience with its CRVS system is based on wide-ranging activities such as literature review, interviews with officials and staffs involved with the system, and international workshops. The content of the report will play a role as a guideline for developing countries that are striving to imple- ment and enhance their respective CRVS systems. Since the implementation of the Resident Registration Act and the Statistics Act in 1962, Korea has continuously improved its CRVS system. The CRVS system of Korea has evolved since the 1960s, relying largely on two basic tools: one is legal and institutional rearrangements, and the other is digitization and e-government. CRVS services, which originally were paper-based and required visits in person to public service centers, have been transformed into an Internet-based service with diverse channels of transactions for the convenience of citizens. Nowadays, the main objectives of a CRVS system are to support the government provision of various services to citizens and to capture and track people’s family relations and residential information. Korea’s CRVS consists of two major parts, Civil Registration (CR) and Vital Statistics (VS). CR in turn consists of the two distinct but closely related compo- nents, Family Relationship Registration (FRR) and Resident` Registration (RR). Based on the objective of recording registration and verification of occurrences xiv The Case Study of Korea and changes in family relationships, including births, Projects (NBIS) for computerizing five national key deaths, and marriages, FRR builds a dual structure of networks, including administration, defense, public information on both a per individual and a per fam- security, finance and banking, and education and re- ily basis. The goal of RR is to carry out appropriate search. The administration network covers six databas- administrative activities and to deliver public services, es closely related to CRVS: RR, real estate registration, including employment, public welfare services, and automobile registration, population statistics, employ- social security, through the assessment of residential ment, and customs. The MOI’s RR information sys- relationships and other indicators of population move- tem (Government for Citizens project, G4C) was de- ment. Meanwhile, the Resident Identification Number veloped in 2002, and its portal website (Minwon24) (RIN), which is a ‘personally unique registration num- in 2013. Minwon24 now meets the expectation that ber’ that the government issues to identify each citizen, Internet-based declaration services will make reporting contains the RR data in the form of 13 digits. They of life events much easier and more convenient for cit- are recorded on the RR Certificate Card, which is the izens. The Supreme Court developed its FRR informa- national identity card (NID) for the verification of the tion system in 2007, and linked it with the national cardholders’ residency. system of the Ministry of Justice (MOJ) in 2008 and The VS reflects a country’s fundamental demo- with the MOI’s RR system in 2011. In addition, the graphic changes, such as births, deaths, and marriages, Administrative Information Sharing System (AISS), and informs public policies on population, residency, which serves both information-holding institutions health, social welfare, education, and transportation. and information-utilizing ones, requires administrative The Population Change Survey (PCS), a key compo- offices to confirm and verify a civil applicant’s identity nent of VS, is a national statistical survey conducted and information using data related to RR, automobiles, every month based on the individual FRR system. real estate, and taxes. In terms of governance, central and local govern- CRVS in Korea has multi-layered laws and reg- ments have their own roles and responsibilities regard- ulations consisting of constitutional statutes, legislative ing the management and maintenance of the CRVS laws, enforcement decrees (presidential decrees), and system. At the central level, the Supreme Court, the enforcement rules or regulations (ministerial decrees). Ministry of the Interior (MOI), and Statistics Korea are CRVS-related acts include the Act on the Registration in charge respectively of the FRR, RR, and VS policy of Family Relationships, the Resident Registration Act, domains and implementation. These three organiza- the Statistics Act, and the Regulation for Population tions are responsible not only for planning, developing, Change Survey. These four primary acts define and reg- and managing the national database system, but also ulate registration and verification work processes overall, for monitoring and evaluating the national system as a and require the ascertainment of the residential status whole. While the governing entities at the central level of residents, the movement of the population through are separated into three ministries, actual registration of the registration of residents in each city or district, and FRR, RR, and PCS is done at city, county, and district the production of vital statistics. In addition, other acts offices, and at community service centers. provide a basis for support of CRVS, such as the Elec- The Korean government has transformed its tronic Government Act and the Personal Information CRVS system from paper-based work processes to com- Protection Act. Several factors have led to the success puterized ones, and attained remarkable achievements of CRVS and CMIS in Korea. First, since 1960, under in its Civil Management Information System (CMIS) the strong political will and continued engagement of over half a century. In 1987, the Korean government the country’s presidents, combined with the enactment initiated the National Basic Information System of the RR Act, the development of the RR database Executive Summary xv and the RR online service (Minwon24), and the work devices, the Internet of Things, cloud computing, big of the AISS and National Computing and Information data analytics, and artificial intelligence. The govern- Service (NCIS), projects have been all undertaken as ment is also working to keep the legal and institutional part of the presidential agenda. Political engagement of framework timely and consistent with these technolog- the top decision makers was a powerful driver to facili- ical advancements. tate inter-ministerial collaboration in formulating gov- Since the entire processes of a CRVS system ernment-wide policy and to insure allocation of human require a high degree of information sharing and col- and technological resources between key ministries. laboration among relevant agencies, it could result in Secondly, consistent and timely strategic plans to catch irrelevance, inadequacies and inconsistencies of CRVS up with advanced countries in terms of computing ca- information at a national level if the agencies only pacity and human resources, supplemented by develop- maintain and use a fragmented legacy system. Govern- ment of expertise in information and communications ments should focus on renovating smoke-stacked work technologies (ICT) in various public institutions and processes into more integrated ones through collabora- the private sector, also contributed to the success of tive governance. The issue of personal information pro- the CRVS. Additionally, innovative budget structures, tection is the biggest and the most controversial issue involving multi-year investments, government-wide concerning the CRVS system. For instance, on sever- results, financial and non-financial cost-to-benefit ra- al occasions, the Korean government faced issues in- tios, innovative workflow adjustments, and other uti- volving the abuse, leak, or loss of personal information lizations of financial resources, along with systematic surrounding the FRR, RIN, and RR certificate cards. management of project implementation by project Therefore, to protect against these issues, legal and life cycle, have all played major roles as catalysts to the technical measures must accompany the development development of CRVS. Moreover, as a main tool of of a CRVS system. project management to exploit advanced technological An incentive-compatible mechanism is crucial opportunities in the private sector, a system of pub- for securing the compliance of civil officers and citizens lic-private partnerships (PPP) utilized in entrustment in implementing CRVS effectively. The Korean experi- and outsourcing has been widely adopted as a legal ence, where the government guaranteed other sources principle of e-government project management. of income for city and district offices to minimize re- The Korea’s CRVS case has important implica- sistance in return for the change of the fee system to tions for developing countries that are striving to devel- move from paper document issuance to electronic issu- op their own CRVS systems. The Korean government ance, shows the high importance of such an incentive initially may not have designed an ideal type of CRVS, system. The government has to enhance the ability of but it has incrementally transformed and upgraded the front-office civil servants and customers alike in order system into more efficient and customer-oriented op- to achieve widespread use of CRVS and CMIS. Edu- erations. Even today, the government makes diverse ef- cation and training programs operated by the govern- forts to provide a customized CRVS service using state- ment can enhance the digital literacy of citizens and of-the-art information technologies such as mobile promote the processing capacity of civil servants. 1 INTRODUCTION Background Korea is a peninsular country located in Northeast Asia at the triangular point of contact between China, Japan, and Russia. The country had spread its cultural her- itage over Japan from early times to the middle ages, but became its colony in the early 20th century due to its failures in industrialization. The aftermath of World War II beginning in 1945, the division of Korea into South and North in 1948, and the Korean War in 1950 combined to leave the country in the 1950s one of the world’s most poverty-stricken countries. In the 1960s, when the Korean government faced similar challenges that developing countries are encountering today, including social needs for rapid in- dustrialization, it began to institutionalize its resident registration (RR) system and population trend survey. Historically, Korean dynasties have carried out property assessments and basic censuses for tax collection, military drafts, and public proj- ects since as early as the 7th century. However, the introduction of the RR system in 1962 was a political and administrative response to the impoverished economic situation of the time, which pressured the government to initiate economic devel- opment (Table 1.1). The main goals of the civil registration and vital statistics (CRVS) system of Korea are to help the government capture and track people’s family relations and residential information as well as to provide various public services, including welfare services, child vaccinations, and education. The RR Act and the Statistics Act were enacted in 1962 to manage the residency and migration of the entire population and labor force in conjunction with the country’s first Five-Year Eco- nomic Development Plan (1962–1966). The Korean government recognized the demand for a comprehensive CRVS system that would serve as the administrative base for rapid urbanization and industrialization. In 1987, the government began to develop databases for RR and population statistics as a part of National Basic Information System (NBIS) projects. The RR database development project aimed to provide computerized front-office services to citizens throughout the country. 2 The Case Study of Korea Table 1.1   Major Socioeconomic Indicators of Korea’s Growth Category 1962 2014 Total area (km2) 98,431.03(1961) 100,283.9 Total population (thousands) 26,513 50,424 Population Population density (persons) 275 503 Level of urbanization (%) 39.1(1960) 82.2(2013) Total (USD 1 billion) 2.75** 1,410.38* Gross Domestic Products Per capita (USD) 103.57** 27,970.5* Source: Statistics Korea (http://www.index.go.kr), World Bank DataBank,* Index Mundi**. Furthermore, in 1995 it initiated master plans for high- of the regularized gathering, storage, control, and utili- speed broadband networks and in 2001 for e-govern- zation of information on the nation’s population, hous- ment, motivated by the social campaign slogan “Let’s ing, and wealth for administrative purposes such as lead the world in terms of informatization, though we taxation, welfare provision, and so forth. In a contem- were late in industrialization.” Through these master porary society, state building starts with the establish- plans, Korea became one of the countries achieving the ment of CRVS systems that are critical tools for making highest rankings in the E-Government Development every life count. However, developing countries, faced Index of the United Nations Department of Econom- with growing demands for economic and political ic and Social Affairs (UNDESA), and the information developments, do not yet have such well-functioning and communications technologies (ICT) Development CRVS systems in place. A report on Asia and the Pacific Index of the International Telecommunication Union area indicates that about 135 million children under (ITU) in the 2010s. Currently, the RR system helps the age of five do not have their births registered and 9 to manage online processing of administrative services, out of 10 people live in countries with unreliable death such as voting and immigration, and socioeconomic statistics (UN ESCAP, 2014). services, including health, welfare, and employment. Reliable and comprehensive CRVS systems are While the RR service has faced various challenges since regarded not only as a basic component of good gover- its implementation, it serves as the core information nance, but also as essential for the production of vital depository providing diverse public services to citizens statistics and of many health and population indica- based on their residency. tors (UN System Task Force, 2013). In May 2014, the World Bank Group together with several international and regional organizations published the Global CRVS Concept and Significance of CRVS Scaling Up Investment Plan 2015–2024 (World Bank 2014). Furthermore, CRVS is featured prominently in Civil Registration and Vital Statistics (CRVS) refers the sustainable development goals (SDGs). With the to universal, continuous, permanent, and mandatory use of information and communication technologies, recording and documentation of the occurrence and use of CRVS can facilitate the innovation of admin- characteristics of vital events such as births, deaths, mar- istrative rules, processes and procedures, and working riages, divorces and annulments, adoptions, and legiti- practices of civil servants. The CRVS system of Korea mations, according to the legal and regulatory require- has evolved since the 1960s, relying largely on two basic ments in each country (UNDESA, 2015). Historically, tools: one is legal and institutional rearrangements; and state power has depended on the efficient management the other is digitization and e-government (Figure 1.1). Introduction 3 Figure 1.1   Evolution of Korea CRVS 1960s 2010s • Agency-centric CRVS services • Government-wide integrated • Family Relationship Registration Feedback services • Resident Registration • Info sharing system • Population Change Survey • Open platform • Physical visits in person • Multi-channels • Multi-stops • Mobile devices • Multi-ministerial processes • Personal computer • Multi-levels of government • Institutional rearrangements • Kiosks • Digitization and e-Government • Hyper connected networks • 8/5/250 • 8 work hours a day • 24/7/365 • 5 work days a week • Always-on • 250 work days a year • Any time in any place • Paper documents Policy Oriented • Electronic documents • Application forms Learning • Human-readable format • Accompanying papers • Machine-readable format During this period, continuous policy-oriented learn- Record Card, RR certificate card, Resident Identifi- ing has provided feedback for each step of the evolution. cation Number (RIN), and RR governance and pro- CRVS services that originally required visits in person cesses. Chapter III focuses on the civil management to public service centers with paper documents have information systems (CMIS) associated with FRR, changed into on-line transactions, which allow service RR, PCS and NHI. It also describes governance and delivery anywhere, anytime through diverse channels. work processes, the administrative information-shar- Developing countries that have weak or non-existent ing system, and the physical integrated-management CRVS systems can benchmark the RR information sys- operations of these information systems. Chapter IV tems of Korea that play a key role in linking data for provides information on various legal and regulatory successful e-government services to citizens. frameworks associated with the CRVS system. Chapter V discusses basic strategies that the Korean government has adopted towards e-government projects since the Organization of the Report 1980s. It identifies critical factors contributing to the success of Korea’s e-government, including strong polit- Chapter II of this report introduces institutional ical leadership, strategic planning, human and financial aspects of Family Relationship Registration (FRR), resources, and project management. In Chapter VI, the RR, the population change survey (PCS), and national report presents lessons learned and solutions to cur- health insurance (NHI), all of which are fundamental rent challenges, and continues with a discussion of the components of Korea’s CRVS system. In particular, the future of Korea’s CRVS. Chapter VII contains conclud- chapter focuses on the RR system consisting of the RR ing remarks. 2 THE FRAMEWORK OF CRVS Governance Structure Korea’s civil registration (CR) system consists of the two distinct but closely related components of FRR and RR. FRR builds institutional structure both per individ- ual and per family for the purpose of registration and verification of occurrences and changes in family relationships such as births, deaths, marriages, divorces, and adoptions. RR assesses residential relationships and population movements to enable the carrying out of appropriate administrative activities and the delivery of public services such as employment, public welfare services, and social security. The Population Change Survey (PCS), a key component of Vital Statistics (VS), is a national statistical survey based on the individual FRR system. Statistics Korea integrates the batch data of the PCS collected by local governments and makes the data public on a monthly basis. FRR, RR and PCS inter-relate with each other in terms of subject of registration, overseeing authority, registration address, and regis- ter book (Table 2.1). FRR is a medium for displaying a permanent address to verify family relationships based on bloodline and kinship, whereas RR is a policy tool for managing the residency of citizens. Citizens and public servants are legally obliged to register any changes and the entire processes related to the FRR and the RR, or they have to pay a fine. This requirement helps offices in charge, collect, and update CRVS information in databases in a timely and precise manner. In terms of CRVS governance, Korea has in place a hybrid system of CR operation and maintenance where both central and local governments exercise their own roles and responsibilities. (See Table 2.2) The Supreme Court, the Ministry of the Interior (MOI), and Statistics Korea, respectively, assume FRR, RR, and VS policy domains, and are responsible for planning, developing, and managing the national database system, and for monitoring and evaluating the national systems as a whole. At the local government level, actual registration 6 The Case Study of Korea Basic Structure of CRVS (FRR, RR, and PCS) Table 2.1    Civil Registration Vital Statistics Category Family Relationship Registration Resident Registration Population Change Survey Subject of Birth, death, marriage, divorce, and so forth Birth, residency (30 days or over) Birth, death, marriage, divorce, and so forth registration Overseeing Supreme Court Ministry of the Interior Statistics Korea authority Address for Permanent address Residence (same as or different from Permanent address registration (location of FRR information) the permanent address) Register book FRR register RR Record Card (individual, Population Change Survey household) (monthly batch statistics) is undertaken in an integrated manner at 226 city, Family Relationship Registration county, and district offices (Si/Gun/Gu), and at 3,560 community service centers (Eup/Myeon/Dong). City, The FRR refers to all activities concerning the registra- county, and district offices are responsible for main- tion and certification of establishment and change of taining continuity and consistency of CRVS informa- family relations such as the birth, marriage, death, and tion through the synchronization of FRR and RR data so forth, of people and their activities (FRR Act, Article (RR Act, Article 15). 1). Information in the FRR includes traditional blood Table 2.2   Public Governance of CRVS Task Institution Main Task State government Supreme Court • Manages affairs related to the registration of establishment and change of family relations and certification • Manages the Central Computerized Information Office Ministry of the Interior • Plans and oversees national-level tasks like standardization of forms, re-amendment of the RR Act, and so forth • Directs and advises RR service delivery tasks • Directs and advises digitization and information sharing Statistics Korea • Coordinates and maintains matters concerning statistics • Devises measures to expand the collection, dissemination and use of statistics Local government Metropolitan city/province • Directs and advises FRR, RR, PCS tasks under its jurisdiction (Gwangyeoksi/Do) • Approves usage of computer processing information among related entities within the jurisdiction of each City/county/district • Receives FRR and PCS data and reports to higher offices (Si/ Gun/Gu) • Issues RR certificate cards and grants RINs to applicants • Inspects RR record cards and uses certified and abstract copies Community Service Center • Receives FRR and PCS data and reports to higher offices (Eup/Myeon/Dong) • Receives moving-in reports; inspects RR record cards; delivers certified and abstract RR copies and grants RINs • Manages digitization processes of RR tasks Source: The Ministry of the Interior, 2015. The Framework of CRVS 7 The Family Relationship Registration System Table 2.3    Category Birth Death Marriage Divorce Legal base Article 20, 21, 44–51 Article 20, 21, 84–91 Article 20, 71–73 Article 20, 74–78 Time period of Within 1 month of Within 1 month of No fixed time period. • Divorce by mutual consent: registration birthdate knowledge of death However, a civil marriage within 3 months of court must be reported within confirmation issuance date 1 month of date of • Judicial divorce: within 1 month registration. of date of court judgment Registration form Birth report Notice of death Marriage license Divorce statement Accompanying Birth certificate (Doctor) Death certificate or Civil marriage: copy and • Divorce by mutual consent: copy documents postmortem examination certificate of conclusion of confirmation certificate (Doctor) of judgment (Court)/ • Judicial divorce: copy and registration certificate of conclusion of court judgment Persons obliged to Parents Relatives residing together Persons concerned Persons concerned report Reporting location Location of birth, location Location of registration Location of registration for Location of registration for persons of registration, office for of deceased, location of persons concerned, office concerned, office for reporter address of reporter death, burial, crematory, for reporter office for reporter Source: Korea Legislation Research Institute (http://www.klri.re.kr/), 2014. ties and the relationship among relatives, such as the birth by submitting a birth certificate, issued by a doc- permanent address, name, sex, birthdate, and marital tor, to a city office or community service center for the status of oneself and one’s parents. The Family Register birth address. The reporting may be made by a written Act, the former system of FRR, had a strict stipulation document, oral expression in person, mail, or electronic that only a male could become a head of a family, and networks. had long faced criticism that it maintained a patriarchal The birth report includes the following informa- bloodline and discriminated against women. In 2005, tion: (1) the infant’s name, family clan, sex, location of the Constitutional Court declared the system unconsti- registration; (2) classification of birth (that is born in tutional for infringing on human dignity in the context wedlock or out of wedlock); (3) date of birth, location, of marriage and family life. The Family Relationship and so forth. (See Table 2.4). A person can change his Registration (FRR) Act) was enacted in 2008 to replace or her location of FRR freely, but must report changes the Family Register Act. to the relevant administrative agency of their new loca- Table 2.3 lays out the relevant regulations asso- tion at the time of change. Since an infant cannot select ciated with basic FRR items, such as the time of dec- a location of registration by his or her own will, the laration, declaration form, accompanying documents, location registered by parents is normally used. Details persons obligated to report, and reporting location. such as infant’s gestation period, weight, and parents’ The person obliged to report a birth must be one of nationalities need to be included in the vital statistics the following: (1) a married parent of the child; (2) the portion of the Population Change Survey on the birth mother of the child in the case of a child born out of report. wedlock; or (3) a relative living with a parent or the When an employee at the city office or commu- doctor or midwife who assisted the childbirth. He or nity service center electronically enters a birth report she has to file the birth report within one month of the into the FRR database, the infant receives a unique 8 The Case Study of Korea Table 2.4   Information Needed in the Registration Form Category FRR VS (Population Change Survey) Accompanying Documents Birth Name, sex, birth status in or out of Gestation week, weight, multiple births Proof of birth: name/age/parents’ wedlock, location and time of birth, (order of birth), nationalities of parents, occupation, mother’s address, location/ address, RINs of the parents, location actual date of birth, education, occupation, date/time of birth, name/sex of infant, of registration of parents, agreement starting date of marriage, total number of period of pregnancy, multiple birth (birth of surname, name/qualification/phone births of the mother order), physical condition/weight/health number of reporter of infant, number of births of the mother Death Name, RIN, location of registration, Cause/type of death, time period of Postmortem examination certificate: address, date of marriage dissolution sickness, type/time of accident, region/ name, sex, RIN, actual date of birth, before death, occurrence of surname location of accident, nationality, education, family clan and address, time/location/ agreement occupation, marriage status type/cause of sickness and death Marriage Name, RIN, location of registration, Actual start date of married life, nationality, address, date of previous marriage type of marriage, education, occupation dissolution occurrence of surname agreement Divorce Name, RIN, location of registration, Actual start date of married life, actual date address of divorce, number of children under 19, reason for and type of divorce, nationality, education, occupation resident identification number (RIN) and is recorded as A cohabiter, caretaker, or the head of the com- a household member of the parents in the RR informa- munity at the location of a death within one month tion system (Figure 2.1). The premium for the National after he or she learns of the death must report it, using Health Insurance (NHI) for the infant is paid through either a doctor’s death certificate or a post-mortem ex- registration in the National Health Insurance Service amination certificate, to the relevant city office or com- (NHIS) under the names of his or her parents, which munity center of the location of death, burial or cre- is linked to the information system of the hospital that mation (Figure 2.2). The death report includes name, delivered the child. sex, location of registration, resident identification Figure 2.1   Birth Registration Process Proof of Birth Reimbursement Resident Registration (Hospital) (National Health Insurance Service) (Ministry of the Interior) (Doctor) Birth Family Relationship Naming Birth Report/Population (Hospital, home, etc.) Registration (Parents) Change Survey (Parents) (Mother) (Supreme Court) Population Statistics (Statistics Korea) The Framework of CRVS 9 Figure 2.2   Death Registration Process Proof of Death Reimbursement Resident Registration (Hospital) (National Health Insurance Service) (Ministry of the Interior) (Doctor) Death Death Report/ Family Relationship Report of Death (Hospital, home, etc.) Population Change Survey Registration (Family of the deceased) (Family of the deceased) (Family of the deceased) (Supreme Court) Population Statistics (Statistics Korea) number, location of death, and the time and date of Resident Registration System the death, and it is included in the Population Change Survey. Overview To report marriage or divorce, the parties in- The RR system manages information on the residency volved need to report to a relevant FRR office. Ques- of citizens according to the 1962 RR Act for three pri- tions about the name, family clan, date of birth, RIN, mary purposes: strengthening national security, pro- and location of registration of the persons involved, as viding efficient management of citizens’ residential well as the name, location of registration, and RINs of information, and providing social services to residents his or her parents, are included in the declaration form. (Table 2.5). Since its initiation, the Korean government While the Supreme Court and central government has continuously added new policy goals to the system. agencies handle CRVS policies separately, working-lev- As a result, the key focus has changed remarkably since el tasks are carried out in an integrated manner by city the 1960s, largely in the following three stages: the con- offices and community service centers. The FRR con- trol stage during the 1960s and 1970s (institutionaliza- tains sensitive personal information that can only be tion); the management stage in the 1980s and 1990s shared with organizations under regulated and restrict- (digitization and expansion of scope); and the service ed conditions managed by the Supreme Court. stage since the 2000s (e-government service). Table 2.5   Purpose and Benefits of RR System Purpose Benefits Strengthening of national security Maintenance of social order through public peace, national security, terrorism prevention, and so forth Providing efficient management of citizens’ residential Efficient supervision of residence for the taxation, military service, elections, and so forth data Providing social services to residents Management of service blind spots and overlap in education, welfare and healthcare, and so forth 10 The Case Study of Korea Table 2.6   Development Stages of the RR System Category Year Resident Registration System 1st Stage 1962 Legislated RR Act, Issued city/province resident cards (ID Cards) (Institutionalization) 1968 Introduced RIN (12 digits) and RR certificate card (Age>18) (1962–1986) 1975 Changed RIN (13 digits), RR certificate card issuance object (Age>17) 2nd Stage 1987 Built a national RR database (National Basic Information Systems) (Digitization) 1991 Started digitization of RR data of 3,700 community service centers (1987–2000) 1994 Completed digitization of RR record cards (70 million citizens and households) and started online issuance of cards 1999 Announced blood-type in the RR certificate card as optional 3rd Stage 2001 Developed online RR Services (G4C) (Online Services) 2004 Introduced RR item authenticity inspection system; Started electronic issuance of certified copy/abstract of RR (G4C) (2001-Present) 2007 Started the Administrative Information Sharing System (AISS) 2010 Started the Minwon24 System (Updated version of G4C) 2014 Started issuance of RR certificate cards to overseas citizens In the 1960s and 1970s, the RR system was the Internet at home or in public kiosks as a result of aimed primarily at controlling residents for purposes the implementation of the ‘Government for Citizen’ of national security due to the circumstance of contin- project (G4C) (2001–2003). The G4C provides e-gov- uous infiltrations from North Korea. The South Kore- ernment services through an Internet-based single win- an government used the RR certificate card and RIN dow portal, shares RR information among government system as a means for mobilizing military resources agencies to verify the applicant’s eligibility for those and for identifying suspected criminals and spies. In services, and thus reduces the number of documents the 1980s and 1990s, the main goal shifted to achiev- submitted and trips to government offices. The G4C ing more efficient management of the RR system. For system has transformed into the present Minwon24 example, the establishment of an RR database system portal website. Table 2.6 shows the development of the in 1993 made it possible to implement two significant RR system. measures relating to economic justice and administra- tive transparency: (1) enforcement of transactions of financial companies with customers under real names, Resident Registration Record Card commencing in 1993; and (2) registration of real es- The RR data at the local office level consists of two ele- tate under an actual titleholder’s name, commencing ments: the Individual RR record card, which compre- in 1995, to prevent anti-social acts such as speculation hensively manages individual records, and the House- and evasion of taxes.. Since the 2000s, the government hold RR record card, which consolidates and manages has been strengthening its capacity to provide person- the records of each household. The RR record card alized services to residents at any time, in any place, by contains basic information about individuals and their depending on e-government systems linked and shared households. The cards can be issued in the form of an by the RR system. Since 2001, citizens have been able abstract or with a full version based on the information to use online channels to report residential relocations of the household. The Individual RR record card con- to the metropolitan unit of their local government. tains 11 items such as the individual’s name, date of They can also obtain various types of certificates via birth, sex, RIN, and so forth, while the Household RR The Framework of CRVS 11 Table 2.7   Entries of Resident Registration Record Cards Category Information Included Individual RIN, name, date of birth, sex, blood type, standard location for registration, reason for changing standard location, address RR record card relocation details (for instance, move-in date, move-out dates, reason for move, head of household’s name and relationship (11 items) with the individual), issuance history of RR Certificate (issuance, reissuance, photo), participating institutions, and so forth Household Head of household’s name, household number, address usage history data (address, move-in date, move-out date), RR record card relationship with household head (household members’ names, RINs, standard location for registration, reason for address (8 items) change), cohabiter (name, relationship with household head, RINs, standard location for registration, move-in/out date), participating institutions, and so forth record card has eight items, such as the surname of the electronic information processing system. In order to household, RINs, and so forth. (Table 2.7). keep the RR record cards accurate and updated, any When parents report the birth of their infant, person who has failed to file a report on a change in any the head of the city, county. or district office lists the fact or, a change of domicile, or who has failed to apply infant as a household member in the Household RR for the issuance of an RR certificate card, is subject to record card of the parents after the issuance of an RIN a fine. to the infant. Since the RR system manages informa- tion on the location of residency, any change in the res- idency location of some or all of the household mem- Resident Identification Number bers requires the head of the household or the person The RIN is a ‘personally unique registration number’ concerned to report the new location to the local office that the government issues to uniquely identify each at the newly relocated region within 14 days. When citizen (RR Act Article 7). Other distinguishing num- the relevant head of the household is unable to make bers, such as passport or driver’s license number, can- the report, another person in charge, such as a person not provide such multi-purposed functions as RIN who has the custodianship of the household, a delegat- provides. ed person such as the householder’s spouse, or a lineal Once issued, the RIN serves as a unique and blood relative, may file the report on his or her behalf. primary key that offers description, verification and au- If someone reports a change in domicile following a thentication, and information-sharing benefits to the move-in, the report is considered to have fulfilled the holder. The RIN contains information that describes mandatory reporting of change of domicile in accor- certain personal characteristics such as date of birth, sex, dance with the Acts on Military Service, Civil Defense, and region of birth or registration (description func- Seal Imprint Certification, National Basic Living Secu- tion). It can be used to validate a person’s identity when rity, National Health Insurance, and Welfare of Persons he or she needs to get various official documentations with Disabilities (RR Act Article 17). The change in issued or make visits to government offices (verification domicile is automatically updated in other administra- and authentication function). There is no overlap of tive databases through the administrative information RINs among citizens, which have lifelong validity, and sharing system (AISS).1 can exclusively identify individuals (Song et al., 2007). The head of each city, county, or district must prepare, keep, manage, and preserve RR record cards for each individual and household, along with the in- 1 Administrative Information Sharing System will be intro- dex book for RR record cards by household, using an duced in detail on Chapter III. 12 The Case Study of Korea Figure 2.3    Structure of the Resident of birth, sex, location of birth registration, and so forth, Identification Number it can distinguish individuals at any time in any place. Together with the development of the AISS, pub- 1 Year of birth lic institutions utilize RINs for various public service 2 purposes, such as to create a voter list for elections, to 3 draft for military service, to enroll citizens in the educa- Month of birth tion system, to manage the health insurance system, wel- 4 fare service, and more.3 Furthermore, it has been a very 5 convenient tool to track suspects or criminals, and to Date of birth prevent and respond to terrorism, tax evasion, and other 6 crimes. Private companies that operate website portals 7 Sex have also been heavy users of RINs. According to a sur- 8 vey (MOI, 2015), public institutions in 2014 collected Initial place of resident identification number RINs out of legal necessity (62.8 percent) or for iden- 9 issued (Place of birth reporting, place of heads tity verification (31.4 percent), whereas private sector 10 of community service center) businesses collected RINs for identity verification (57.5 11 percent), legal necessity (41.1 percent), and to conclude and carry out legal contracts (36.8 percent) (Figure 2.4). 12 Order of reporting Frequent collection and heavy use of RINs by 13 Number of error verification both public and private sectors have resulted in serious social concerns about potential problems of leaks, theft, or abuse of the RIN associated with financial frauds and crimes. As a response, three institutional remedies and The RIN is also a medium through which personal in- regulations were developed for three primary reasons: formation collected by all administrative information first, to protect the RINs from illegal use; second, to systems can be shared (information sharing function). allow reissuance of RINs when they are infringed; and Introduced in 1968, the RIN initially contained third, to prevent the illegal or improper collection and 12 digits consisted of a regional number (six digits), use of the RIN in the public and private sectors. In the sex (one digit), and personal serial number (five digits). The RIN was modified in 1975 to consist of 13 digits 2 The Japanese government since 2016 also has implemented indicating birthdate (six digits), sex (one digit), regional a similar system that issues individuals a unique identifying code for the place of original registration (four digits), number called the “My Number” for use in various areas reported order (one digit), and Error Verification Num- such as tax, social security, and disaster management. How- ber (one digit). This 13-digit system is still in use today. ever, instead of personal identification numbers, such as date (See Figure 2.3). of birth, sex, and place of birth. used in the Korean system, The head of a city, county, or district issues a Japan’s My Number system issues a random number that is RIN unique to each resident after the verification of changeable. 3 As of 2013, 77 legal acts out of 1,510 (5.1 percent), the resident’s standard location for registration. The 404 enforcement decrees out of 1,115 (36.2 percent), RIN is processed and recorded into the RIN issuance 385 enforcement regulations out of 827 (46.6 percent), and ledger book. The RIN system manages aggregated data 3,557 legal forms out of 10,179 (35.1 percent), have col- through digital coding.2 Since the RIN consists of in- lected the RIN for identity verification, personal identifica- formation pertaining to each individual, including date tion, age verification, and so forth (Shin, 2015). The Framework of CRVS 13 Purpose of Resident Identification Number Data Collection, 2014 Figure 2.4    (unit: percentage) 70 60 50 40 30 20 10 0 Legal duty Personal Conclusion and Other business Campaign compliance identification implementation of a contract services or marketing Public sector (n = 2,000) Private sector (n = 2,500) Sources: The Ministry of Interior∙Personal Information Protection Commission, 2015. first case, Article 37 of the RR Act, introduced in 2014 or property, victimization from sexual violence, human (2014.1.21), imposes very strict punishment by impris- trafficking, or domestic violence, he or she can legally ask onment or a fine to any person who conveys to a third to change the last six numbers of his or her RIN. person a program for fabricating RINs or who distrib- Third, in response to the problem of leaks, theft, utes such a program. The same enforcement measure or abuse of the RIN, the government introduced legal applies to any person who discloses information on a and regulatory requirements for processing sensitive third person’s RIN for profit-making purposes in viola- and unique identification information that prohibit the tion of the Acts and subordinate statutes, or any person acquisition of the RIN (Table 2.8). The administrative who uses a third person’s RIN illegally. agencies with appropriate legal authority can only use In the second case, as incidents of infringement citizens’ RINs for strictly limited purposes, and the on RINs became more frequent, the government intro- private sector can only collect and use the RIN under duced a measure to allow easier modification or re-issu- even more strictly circumscribed conditions. The Act ance of a person’s RIN. Originally, Article 7 of the RR on Promotion of Information and Communications Act strictly regulated the RIN and enforced life-long Network Utilization and Data Protection (ICNUIPA) uniqueness and validity that was changeable only in ex- clearly prohibits all online acquisitions of the RINs, ex- ceptional cases. The Constitutional Court declared the cept for cases described in other legislation.4 The Act Article unconstitutional in 2015 on grounds of limiting also required the destruction of previously collected human rights. The Court ruled that modification could RIN information by the end of 2015. be allowed if the previous RIN is linked to a new one and the change of the RIN is carried out by a trustworthy 4 The Korean government operates a dual system of personal and objective organization. In accordance with the new information protection. The MOI regulates agencies and Articles 7-4 and 7-5 of the RR Act, the administration institutions in the public sectors under the Personal Infor- introduced new rules permitting the modification of the mation Protection Act whereas the Korea Communications RIN beginning in April 2017. Now, in cases when a per- Commission regulates businesses and civil society organiza- son faces danger or threat to his or her life, physical safety tions in the private sector under the ICNUIPA. 14 The Case Study of Korea Table 2.8   Regulatory Structure of RIN Processing Applicable Act Applicable Subject Basic Principle Exception Personal Information Private information Principle of prohibition 1. When allowed by law Protection Act processor from collecting RINs 2. Urgent necessity, such as to protect physical health and safety (2014) (Legal guidelines) 3. Essential processing (MOI Decree) Act on Information and Principle of prohibition 1. Identity Verification Institutions Information and communications from collecting RINs 2. When allowed by law Communications service provider (Legal guidelines) 3. Essential for commercial reasons, like a business interaction that Network (2012) requires one’s real name, opening one’s phone (to prevent the use of burner phone) (KCC Announcement) Source: Sim, 2015. Figure 2.5 outlines legal guidelines for the pub- number of subscribers, verification methods, personal lic sector’s use or acquisition of an RIN. In the case of identification agencies, target population, and public pre-existing legal grounds for RIN processing (that is, preference (Table 2.9).6 These alternatives are appropri- acts, enforcement decrees, enforcement regulations), or ate in preventing privacy violations caused by excessive legal forms that require the attachment, submission, or circulation of the RIN. examination of records that contain RIN entries, the sta- The number of government statutes governing tus quo is to be maintained.5 If no legal basis exists in stat- the use of RIN increased from 866 in 2013 to 1,114 in utes for RIN processing, but RIN processing is required to carry out a given task, the government agency respon- 5 As of 2015, the registered number of legislations providing sible for the task will issue the necessary legal directive. a legal basis for the collection of the RIN totalled 1,114, If an agency is using a RIN without a legal basis and the according to the portal website of the Personal Information RIN is not required for a given task, it must immediately Protection Commission. 6 A public opinion poll on RIN alternatives showed the fol- destroy the RINs and substitute them with alternatives lowing methods were preferred, listed in order of preference: such as a mobile phone number, date of birth, or I-Pin. I-PIN (65.8 percent), date of birth (32.2 percent), mobile Alternative identification methods, including verification (29.0 percent), public key certificate (11.2 per- I-Pin, mobile phone number, Public Key Certificate, cent), other personal information (7.2 percent) (Yeonhap and date of birth, differ from the RIN in terms of the News, March 9, 2015). Figure 2.5   Resident Identification Number Processing Procedure by the Public Sector 1. Existence of statutes Yes a. Maintain current status (no additional measures required) for handling RIN * RIN processing basis found in statutes or legal forms No 2. Conclusively necessary Yes b. Provide legal basis (propose suggestion to ministries of offices for task involved, and arrange a legal basis in applicable statute) (no possible alternatives) No c. Introduce an alternative method (delete RIN, and introduce alternative data ID methods, such as phone number, date of birth, I-Pin, etc.) Source: Privacy Security Portal (http://www.privacy.go.kr), 2016. The Framework of CRVS 15 Table 2.9   Alternate Methods for Personal Identification Category I-Pin Mobile Phone Number Public Key Certificate Number of subscribers About 15 million About 54 million About 6 million Verification method IP + password Date of birth, name, cell phone information Password input Personal identification institution Credit rating agencies Telecommunications companies Public certification organizations Target population I-Pin ID subscribers Owners of cell phone under their own names (All-purpose) Public Key Certificate Issue Source: Korea Mobile Certification (http://www.kmcert.com), 2016. 2014, and to 1,272 (111 acts, 565 enforcement decrees, administrative tasks. City and provincial resident certif- 596 enforcement regulations) by August 2015 (Shim, icates had been in use since the enactment of the RR Act 2015). Most statutes fell under the jurisdiction of the in 1962, but since 1970, the issuance and possession of Ministry of Health and Welfare (MOHW) (125), the the RR certificate card with the RIN imprinted has been Ministry of Justice (MOJ) (102), and the Ministry of mandatory for all citizens over the age of 17. Land, Infrastructure and Transport (MLIT) (98). This Any judicial police officer may demand that a per- suggests that the RINs are mostly used, among other rea- son over the age of 17 show his or her RR certificate card sons, for public service purposes involving provision of if necessary to verify the identity or domicile of a resident welfare benefits, prevention of crime and promotion of while making a criminal arrest or in performing his or security, and exercise of property rights. Some nongov- her other duties (RRA, Article 26).7 Now, RR certificate ernmental organizations that address privacy concerns cards help reduce administrative processes requiring doc- argue for transforming the structural composition of the uments for personal verification. There are three occa- present RIN into a RIN with randomly generated num- sions where if any organization needs to verify the name, bers that do not contain personally distinguishable in- identification photo, RIN, or address of a person over formation. Because this would be too costly, the govern- 17 years of age in order to carry out its business affairs, it ment has pursued other alternatives. One alternative is can verify such information of the person with his or her to expose the issuance number only, instead of the whole RR Certificate Card without requiring other supporting number of the RIN, on the RR certificate card. Another documents (RRA, Article 25). Those occasions are: alternative is to issue new electronic RR certificate cards with a built-in integrated circuit chip. Currently, there is 1. When it receives a civil petition or any other no consensus on either of these alternatives. document 2. When it issues a certificate to recognize the qual- ification of a certain person Resident Registration Certificate Card 3. When it needs to verify the identification of a The RR certificate card is the national identity card person for any other reason (NID) for the verification of a cardholders’ residency. It has universal usages of verifying a resident’s identity for 7 This Article provides an important tool to maintain public a wide range of activities, including voting, commercial safety by identifying spies or criminals on the spot in an age transactions, and social welfare transfers. The head of a of authoritarian governments. Social Security Cards in the city, county, or district issues a RR certificate card to res- United States that only have social welfare policy purposes idents in their jurisdiction who are at least 17 years old. have the instructions “do not carry this card with you” and The card contains universal information to facilitate “keep it in a safe place”. 16 The Case Study of Korea Figure 2.6   Resident Registration Certificate Card Front Back Source: The Ministry of Interior, 1999. Since the 1990s, the RR certificate card has personal information included in the initial RR certificate changed its main function from monitoring and man- card. This includes, for example, the location of the family aging citizens to conferring benefits on citizens by pro- register (the address of the head of household), date of viding identity verification for civil services delivered birth, military service number, occupation, and thumb- by administrative agencies, and by facilitating various prints. Today, the front side of the RR certificate card still private commercial and financial transactions. The RR contains the individual’s name, photo, RIN and address, certificate card is now the primary method of personal while the reverse side contains a fingerprint (right thumb) identification for delivery of public services, such as for and space for changes in address (Table 2.10). passport issuance, pension payment, as well as for iden- Inclusion of bio-information on the RR cer- tity verification in the private sector for commercial ac- tificate card, such as fingerprint and blood type, is a tivities, including financial and real estate transactions, controversial issue. Under the current law, a photo is and acquisition of the certification (Figure 2.6). required for identification, but submitting information In an effort to protect personal information, the on one’s blood type is optional. Some human rights government since 1999 has removed or limited sensitive groups oppose the collection of ten fingerprints that are Data Collected for the RR Certificate Card Issuance and Information Included Table 2.10    Category Information Contents Application Personal data • Name, RIN, name of the head of household, address, standard location for registration form • Blood type, photo, fingerprints, special expertise • Phone number, cell phone number Application • Domestic resident or residence overseas contents • Previously issued or not • Receive in person visit or by registered mail • Guidance for receipt requested or not requested • Address for registered mail receipt Method for • By civil servant in charge, head of village, or family members identification RR certificate Front side • Name, photo, RIN, current address, date issued, head of the agency of issuance card Back side • Address change history, fingerprint, guide for processing lost cards (for example, put in a mailbox if found) The Framework of CRVS 17 transferred to the National Police Agency for criminal RR certificate with an electronic national identity card investigation, and maintain that there is no clear legal (e-NID) that embeds an integrated circuit chip contain- basis for this practice. In response, the Constitution- ing sensitive personal information that can only be deci- al Court ruled that “while fingerprint information is phered with special equipment to prevent forgery. This bio-information, it is neutral information that does option is to apply state-of-the-art technology retained by not represent personal characteristics since it cannot be the Korea Minting, Security Printing & ID Card Op- used to determine and judge the personality, physical erating Co (KOMSCO) that can prevent forgery and attributes or socio-economic status of an individual and protect sensitive information by keeping RIN and finger- therefore does not infringe a person’s right of self-deter- prints embedded onto an integrated circuit chip. Some mination regarding personal information.” (Constitu- non-government organizations have expressed concerns tional Court, May 26, 2005; May 28, 2015). about the possibility of strengthened control on citizen The Korean government has taken several steps supervision and information leakage.8 The second option to protect and improve the quality and efficacy of the RR certificate card system. The MOI replaced all RR 8 E-NID policies are not consistent among Organization for certificate cards issued to the whole population over Economic Cooperation and Development (OECD) member the age of 17 three times—in 1975, 1983, and 1999— countries according to the report made by the MOI (2013). since their first issuance in 1968. Government action Among the OECD members investigated, 11 countries, was also taken with regard to the materials used in the including Germany (2010), now issue electronic identifica- issuance of the RR certificate card. In 1999, the mate- tion, while six countries, including France, are pushing for rial of the RR certificate card changed from paper to a plan to introduce it. The other 17 countries, including plastic. Additionally, since 2007, government agencies Iceland, do not yet have any plans for the introduction of electronic identification. Some countries that have adopted and banks have provided an authenticity verification the electronic identification have issued the electronic form service of the RIN through the Internet. of IDs to all of its citizens, while others have not made it a For the upcoming cycle of renewal or replacement mandatory move. In the United States, United Kingdom, of the plastic RR certificate card, experts suggest three and Australia, for example, a driver’s license is a legal and options (Table 2.11). The first is to replace the current acceptable substitute for a national identification certificate. Alternative Renewal Options of Resident Registration Certificate Card Table 2.11    Category Replacement with Electronic Card Improvement of Current Card Maintenance of Current Card Necessary legal • Legislation amendment • Enforcement decree (that provides • None (to maintain the current method) condition basis for information concealment) Technical function • Utilizes security technology for • Utilizes a special printing technique • Nothing, so it can be vulnerable to the Electronic Passport (RIN and and other optical technologies (to forgery and leakage of sensitive fingerprints recorded onto integrated conceal personal information with personal information circuit chip) hidden image) Advantages • Impossible to forge • Strengthened prevention of forgery • Maintains the current method without • Protection of sensitive information information concealment contest • Possible expansion of services • Budget saved Disadvantages • Opposition from NGOs (Due to the • Limited prevention of forgery • Sustained problems of the current RR strengthened surveillance/restrictions • Disposal costs in case of certificate and fear of information leaks) changeover to the electronic RR • Deterioration of identification • Large-scale budget is needed Certificate verification function through damages and changes in appearance 18 The Case Study of Korea Table 2.12   Basic Structure of Population Change Survey Category Main Contents Legal basis • The Statistics Act: Designated Statistics (Article 17, Paragraph 1), Approval Number (Number 10103, Article 18, Paragraph 3; Article 25; Article 26) • VS Investigation Rules (Ministry of Strategy and Finance Decree Number 425) Target of • Target: every citizen (individuals) living in the territory or abroad investigation • Contents: FRR and birth, death, marriage, divorce reports Period of • Relevant Investigation period: investigation from day 1 to the last day of the month, and from day 1 of the next month to investigation the last day of that month; reports compiled and presented by month • Investigation cycle: monthly Source: Statistics Korea, 2015. is to improve the quality of the current RR Certificate instrument for compiling national statistics, in conjunc- Cards with new ones that have better security features, tion with the first Five-Year Economic Development that offer better material resistant to pollution, fading Plan, under the stipulations of the Statistics Act and the and damage, and that utilize state-of-the-art ink technol- VS Investigation Regulation. In 1970, the PCS format ogy for the prevention of forgery and optical technology was integrated with the FRR format into a single sheet. to hide the RIN. This option seems more feasible polit- From 1987 to 1991, the VS database was developed as ically, but it has a limited effect on preventing forgery part of the NBIS projects. In 1997, the electronic input and introducing advanced technology. Finally, the third system was completed, and in 2004, an Internet-based option is to continue issuing the current RR Certificates VS entry system began its operations. (See Table 2.12). without the present problems being resolved. Despite the opposition by nongovernmental organizations (NGO) s, experts recommend the electronic RR certificate card, Population Change Survey and further suggest the integration of other functions, The PCS is a national investigative statistics survey that such as a health insurance card. collects data on births, deaths, marriages, and divorces based on the individual FRR system. PCS differs from the RR in that it covers citizens living abroad as well as Vital Statistics within Korea. It does not provide survey results in real time, but on a monthly basis (Figure 2.7). According Overview to the Statistics Act, every citizen, residing domestic or Vital Statistics (VS) chronicle a country’s fundamental abroad, must fill out the items on the PCS found at the demographic changes, such as births, deaths, marriages, lower part of the birth and death forms when reporting and divorces, and inform public policies on population, such occurrences. These items include, for example, the residency, health, social welfare, education, and trans- gestation week and weight of an infant, their order of portation. VS comprise data obtained from the Popula- birth, and parents’ nationality (See Table 2.4 above). tion Change Survey (PCS) collected based on citizens’ PCS items in the death report include details on obligatory reporting of individual changes and from the cause and type of death, region and location of the the Population and Housing Census (PHC) conducted event, whether an accident is cited as a cause of death, once every five years. nationality, and the highest level of education of the de- The Statistics Bureau of the Economic Plan- ceased. Marriage reports include the date of marriage, ning Board initiated the PCS in 1962 as the primary nationalities of the married couple, and the type of The Framework of CRVS 19 Figure 2.7   Data Processing of the Vital Statistics of Korea Actor Citizen Cities/counties/districts Statistics Korea Data entry Online Work Document Compilation (FRR and submission Analysis Releasing process submission and Editing VS system) of entered data Data error (monthly, annual) January February March (provisional) • Occurrence • Day 13–15: Deadline of data entry • Day 22–24: Editing and analysis & reporting of • Day 12–20: Checking duplicates • Day 25: Printing Monthly birth,death, etc. and missing values • Day 26: Releasing VS in January activity • Reporting • Day 18–20: Detecting content errors of Marriage, • Day 21: Cut-off for provisions divorce, etc. Source: Lee, 2015. marriage (first marriage, remarriage after bereavement, and sends the data to Statistics Korea through the met- or remarriage after divorce). Similarly, divorce reports ropolitan city or province. PCS provides monthly batch include details of the date of marriage, official date of statistics that are recorded from the first day and end on divorce, number of children under 19 years of age, type the last day of the month. PCS proceeds in four stag- of divorce (consultation on divorce or judicial divorce), es: data entry, linking, categorization, and publication. and the reason for divorce. Table 2.13 shows an example of a method of handling When a person files a report, a community service statistics on the cause of death. Figure 2.8 also shows the center or the city or county office gathers, aggregates, data processing of the cause of death by Statistics Korea. Table 2.13   Publication of the Vital Statistics Data Category Data Classification Data Public Announcement Public Birth and death (Cause of Death) Annual (August) announcement Marriage and divorce Annual (April) of results Multicultural vital statistics (birth, death, etc.) Annual (November) Life table Annual (December) Demographic trends (monthly birth, death, etc.) Monthly (2 months after investigation) Report Annual report of vital statistics Marriage/Divorce (May), Summary/Birth/ Death (October) publication Annual report of the Cause of Death statistics National unit (October); City/province units (November) Life table December Open data Press release: Statistics Korea website Real-time online (http://kostat.go.kr) Statistics table, report (online periodicals): National Statistics Site Real-time online (http:kosis.kr) Detailed statistics not covered in public announcements: micro data Real-time online (http://mdss.kostat.go.kr) Source: Statistics Korea, 2015. 20 The Case Study of Korea Figure 2.8   Data Processing of the Cause of Death by Statistics Korea 1. Data Entry 2. Data Collection through Linking National Institute of Physician Police Office (2) External death & Scientific Investigation undefined causes Family of the deceased (1) Regular death report City/county/District Office Statistics Korea Unreported deaths National Disease National Occupational Ministry of Health Control Cancer Safety and National Crematorium (3) Additional data on Insurance Center Center health Agency Defense Infant & fetal death Service Source: Vital Statistics Division, Statistics Korea, 2016. There are three ways to announce the survey reference for policymaking and business development. results: public announcement (monthly and yearly), (Table 2.14). report publication, and data disclosure (Table 2.13). To control the quality of the VS data, Statistics VS is combined with other data such as the National Korea conducts a regular quality assessment by a panel Health Insurance (NHI) information and is used as a of experts every five years and an annual self-assessment. Table 2.14   Main Fields of Use of Demographic Trends Category Output Main Field of Use Birth Number of births, crude • Used as basic data for projecting future population birth rate, fertility rate, sex • Forecasts the number of hospital beds and doctors needed for obstetrics patients in proportion to the ratio of birth, number of number of births multiple births, and so forth • Forecasts the demand for baby products; presumed costs of childcare; yearly investment expense in educational facilities • Forecasts the quantity of future labor supply; policies on supply and demand of military service resources • Selects data for birth control or birth promotion policy • Provides the data to international organizations: UN, WHO, OECD Death Death scale, death rate, • Used as basic data for projecting future population cause of death, life • Used as basic data for establishing health and disease control policy expectancy, and so forth • Establishes prevention programs to reduce suicide, car crash, and so forth • Used as basic data for resource distribution in healthcare • Used as basic data for constructing life tables • Provides aggregated data to UN, WHO, OECD, and so forth Marriage Number, type, rate, and • Used as basic data for assuming fertility and projecting future population average age of marriage • Forecasts housing demand by marriage • Forecasts wedding expenses and demand for wedding supplies Divorce Number, type, rate (by age), • Establishes prevention programs to address youth problems arising from parents’ divorce and average age of divorce • Used as basic data for measuring prevention of family problems and for maintenance of healthy family Source: Statistics Korea, 2015. The Framework of CRVS 21 According to the quinquennial assessment in 2015, VS The PCS in Korea does not yet achieve 100 per- in Korea overall received a score of 4.5 out of 5.0. In cent coverage and is still lacking some information. For addition, the annual self-assessment is conducted by example, while over 99 percent of VS related to births the person in charge, who responds to a checklist of 51 and deaths are registered, reports of fetal and infant indicators using an electronic method via the Internet. death are less complete (Lee, 2015). Moreover, some Under the law, when a death occurs, the family should parents are reluctant to fill out specific items, such as within a month fill out the notification forms with the their educational background. Currently, the Ministry medical certificate at the local administrative offices. In of Interior works with the Supreme Court, Statistics fact, under-reporting of death is minimal in Korea; it is Korea, and the Ministry of Education to find a bet- estimated that more than 99 percent of deaths are regis- ter way to handle this type of sensitive data through tered. However, fetal and infant deaths appear to be less inter-agency information sharing in streamlining the accurately registered compared to other deaths. Statis- process of birth and death registration and PCS. tical tabulations on the underlying cause of death and the causal relationship of the medical conditions with final death is conducted as recommended by WHO. Population and Housing Census Qualified coders in Statistics Korea determine the un- The government carries out the Population and Hous- derlying cause of death (COD). ing Census (PHC) every five years for all citizens and VS in Korea, collected through registered dec- foreigners living within the national territory accord- larations of birth, death, marriage, divorce, and so on, ing to their residency at the time of the survey. Statis- follow the recommendations of international organiza- tics Korea supervises the entire process of the PHC, but tions and relevant legal frameworks. A number of steps local governments carry out the general survey. Five are taken to improve the accuracy of the VS, including central government agencies conduct special surveys efforts to prevent the omission of birth and death re- for overseas foreign missions, prisons, and the army ports, regular assessment and self-assessment processes, corps. In 2015, the PHC changed its method from improvement of time-series analyses and definition of using the traditional household visit survey method terms, and consultation with an advisory committee. to a registered census method that uses administrative For example, Korea’s Center for Disease Control and information for typical characteristics, such as popu- Prevention (CDC) and the National Cancer Center lation, the number of households, and the total size provide supplemental information on incomplete death of housing (Table 2.15).9 The registered census cre- certificates. At the same time, there are ongoing efforts ates 12 baseline statistical items by linking 23 types of to strengthen the capacity of civil servants responsible administrative information from sources such as the for VS data entry and statistics, as well as for doctors RR register and the building register. This informa- who are in charge of issuing death certificates. tion, in turn, comes from 13 government agencies, The Statistical Act (Article 33) stipulates the im- including the MOI, MOHW, Supreme Court, and portance of protecting any sensitive information collected Korea Electric Power Corporation. This procedure through the VS. Only civil servants who are responsible reduces the population sample required for the census for the PCS may use and link the data, and this authority is revoked when the civil servant is reassigned to other du- ties. Personal information, such as the RIN, is managed in 9 The World Economic Forum (2015) by 2023 expects an an encrypted form. Information download and printing emergence of countries that identify the demography of are prohibited, and historical use of any personal informa- their nations through big data analysis instead of population tion is strictly managed under the protection measures. censuses. 22 The Case Study of Korea Table 2.15   Changes in the Population Census between 2010 and 2015 2010 Census 2015 Census Category (based on population census) (based on registration census) Participation rate 100 percent participated (approximately 50 million) 20 percent participated (approximately 10 million) (burden of response reduced by 80 percent) Utilization of survey Publication of survey result • Publication of survey result, result • Link and share information with citizens and to government agencies Budget 271 billion KRW 126 billion KRW Data qualification Restricted policy utilization due to insufficient Registration census has sufficient information and can provide information from data-providing organizations feedback to data-providing organizations Source: Statistics Korea, Korea’s Population Census (http://www.census.go.kr), 2016. survey from 100% to 20%, resulting in saving large consumer prices, industrial products, and exports and implementation cost. imports, all figures that can shed light on the status of economic development. Statistics Korea made these population statistics public in 1991 through the por- Statistics Information System tal website of the Korea Statistics Information System In 1987, as one of the National Basic Information Sys- (KOSIS). The first screen of the KOSIS site shows tems (NBIS) projects, the government initiated a data- major indicators of the VS, including total population base operation that contains economic statistics to pro- projected, monthly household income, unemployment vide basic statistics for policy formulation. Population rate, per capita GNI, life expectancy at birth, total fer- statistics were included as one of 20 databases, including tility rate, and more (Figure 2.9). Figure 2.9   Website of the Korean Statistical Information System (KOSIS) Source: Korean Statistical Information Service (http://kosis.kr), 2016. The Framework of CRVS 23 National Health Insurance then in 1989 to include all citizens. This medical insur- ance scheme adopted an independent self-supporting Governance Structure finance system for each employer, region, and insurance NHI is a social security system, which, as the insurer, union. The NHI Act, enacted in 2000, makes the Na- manages and operates insurance premiums and pro- tional Health Insurance Service (NHIS) a single insur- vides benefits to subscribers to reduce the burden of er that integrates all regional medical insurance unions high medical costs on households. Once a resident (227), employer medical insurance unions (139), and fulfills certain legal requirements of the Constitution, civil servant and school staff medical insurers. Current- the Framework Act on Social Security, and the NHI ly, the NHIS collects insurance premiums for other Act, his or her subscription to the NHI is mandatory, social insurance programs under the Four Social Insur- thereby obligating the payment of the insurance pre- ance Programs, including pensions, employment insur- mium. The NHI charges a premium to each subscriber ance, and workers’ compensation. according to his or her ability to pay, and provides him The health insurance work process is a four-way or her with insurance services impartially, according to relationship between the citizen, NHIS, the Health In- relevant regulations. surance Review and Assessment Service (HIRA), and Korea’s health insurance system began in 1963 hospitals or pharmacies that provide medical services with the enactment of the Medical Insurance Act, which (Figure 2.10. As the single insurer, NHIS manages was an optional insurance scheme for employers of 300 the eligibility of subscribers and their dependents and or more employees. The system gradually expanded collects all insurance premiums while managing insur- and became mandatory for entities with five or more ance payments to medical service providers. The NHIS employees. The insurance system expanded its coverage disburses insurance payments after the HIRA reviews in 1979 to include civil servants and school staff, and and assesses the pertinent costs. All Korean citizens pay Figure 2.10   Governance of National Health Insurance System Co-payment • Manage qualifications The Insured • Impose and collect contribution Health Care Service • Pay health care service costs Contribution Medical Insurance Card Ministry of Health Health Care Institutions NHIS and Welfare Ask NHIS to pay for Determine a policy health care service costs (corporation’s share) • Health Care Service Costs • Benefit Management Ask the corporation to • Health Checkup pay for care benefit expense Announce review results (corporation’s share) Health Insurance Review & Assessment Service Evaluation Standards Announce review results • Deliberate on and determine health care service costs • Evaluate the adequacy of health care service costs Source: NHIS (http://www.nhis.or.kr/static/html/wbd/g/a/wbdga0401.html), 2016. 24 The Case Study of Korea insurance premiums to the NHIS and must pay their submit a request for insurance payment to the NHIS portion of the insurance payment as co-insurance to after providing medical services to the insured. Medical the medical service provider. service providers, including hospitals, dentists and phar- macies, receive the main portion of the insurance pay- ment from the NHIS, and any remaining payment due CRVS and Health Insurance System as co-insurance from the insured, at the time of service. The integrated CRVS and NID system in Korea enables The cost of medical treatment is waived for in-pa- subscribers of the NHI to receive medical and pharma- tient treatment for up to 28 days after the infant’s birth. ceutical services anywhere in the country by using their When an infant is born, an employed subscriber must RIN. The single insurer system also allows systemic submit a dependent qualification eligibility request to simplicity and operational efficiency in managing the the NHI service within 14 days of birth. The request population’s medical insurance needs. This efficiency form must include details such as employer informa- is complemented by the AISS whereby accurate data tion (business registration number, name of company, and information on eligibility of NHI subscribers, ben- phone number), subscriber information (name, RIN, efits received, as well as service records from medical phone number), dependent information (relationship, facilities, can be used in real time for assessment and name, RIN, date of qualification, qualification code, review. NHIS also contributes to evidence-based deci- disability, veteran status, foreigner), and other relevant sion-making on health-related policies and research by information. Self-employed or regional subscribers enabling the use of big data analyses. (that is, subscribers other than employed subscribers In relation to the CRVS system, hospitals are one and his or her dependents) can visit a community ser- of the key players throughout the entire CRVS work pro- vice center and complete a birth report (FRR report) cesses. Over 99 percent of babies are born in hospitals within 14 days of birth. The NHI service receives this and 73 percent of the deceased die in hospitals in Ko- information on a daily basis and grants eligibility for rea (Figure 2.11). In addition, registration of births and the NHI (Figure 2.12). deaths has to accompany certificate documents signed In the case of a death, a declaration of death is by a doctor. Medical facilities and pharmacies need to completed via an RR report at the nearest community Figure 2.11   Places of Birth and Death of Population, 2013 0.7% Place of birth 99.0% 0.3% Place of death 73.1% 16.6% 10.3% 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% Hospitals Home Other* Source: Statistics Korea, 2014 and 2015. * Other places of birth indicate transportation (bus, ship, car, and so forth) or public buildings; other places of death indicate social welfare institute, workplace or roadside, and so forth. The Framework of CRVS 25 Figure 2.12   Filing Eligibility Request for Health Insurance Services Reception and Confirmative notice of Form the report Report handling Outcome Receipt Confirmation qualification acquisition Applicant (Parents of Applicant (Parents of Insurance Service Insurance Service Insurance Service newborn baby) newborn baby) center. The NHIS receives notification and subsequent- information sharing to manage, among other things, ly withdraws the NHI account of the deceased. Since the nation’s health insurance system, eligibility man- a death certificate has to attach a death report, stored agement for subscribers, and premium collection. For data of the NHI service includes information on the example, in order to receive necessary information to death and the cause of death. The NHI’s information determine the eligibility of a candidate subscriber, it system consists of 80 units under five classifications of collects CRVS information including birth and death health insurance. Its scope of work encompasses han- (MOI), FRR (MOI and the Supreme Court), address dling of health insurance eligibility, consolidated social (MOI), and immigration (MOJ), as well as other rel- insurance premium collection, long-term care for the evant information such as business registration and elderly, customer counselling support, and manage- employment (National Tax Service (NTS), medical ment support (Table 2.16). payment registration (MOHW), and disability regis- NHI maintains six databases: health screen- tration (MOHW). In addition, information on person- ing, medical facilities, birth/death, service contribu- al income (NTS), property tax (NTS), pension income tions, patient registration, and long-term care (Figure (pension institutions), and business registration (NTS) 2.13). NHIS makes extensive use of administrative are shared for insurance premium collection. Table 2.16   Components and Unit System of the Health Insurance Information System Component Unit System Health insurance Management of eligibility; management of medical care benefits; management of local insurance premium; imposition of workplace or business pay, payment after care; system of health examination Consolidated collection of social Integrated notification of social insurance; default of taxes; information connection system insurance premium Long-term care insurance for the aged Use and recognition of long-term care, request for examination; payment of long-term care expenses; medical benefits; qualification check system for the insured Customer service support Homepage system Management support Data warehouse system 26 The Case Study of Korea Figure 2.13   The National Health Insurance Databases Health screening DB Beneficiary & contribution DB Long-term care DB Medical institution DB NHID (2001–2013) Patient registry DB Mortality & birth DB Service benefits DB Whole population (50 millions) Managing eligibilities Medical service/ Long-term care service & contributions Health screening service Sources: Park, 2015. 3 CIVIL MANAGEMENT INFORMATION SYSTEM Overview The Korean government started to institutionalize the CRVS system (RR, FRR and PCS) in the 1960s based on paper work processes. In the 1980s, however, it began to build the civil management information system (CMIS) to achieve efficient work processes and effective service delivery of the CRVS.10 Clear goal-setting and proper strategic prioritization of master plans became the main factor for the success of the CMIS. In Figure 3.1, the left side of the horizontal axis indicates the back office management (supply side), the right side indicates the front office service (demand side), and the vertical axis indicates the top-down approach initiated by presidents and/or prime ministers and the bottom-up approach by departments. The history of Korea’s CMIS shows a typical N-type growth model. The Korean government started with the enactment of the RR Act and a paper-based CRVS service at the first stage (localized automation within each agency in the 1960s and the 1970s). The second stage was to develop the RR database and other national key database developments from the late 1980s to the early 1990s, followed by the third stage, which was to build an Internet-based e-government service in the late 1990s. The final stage is to build G4C (the prototype system of Minwon24), AISS, and the National Computing and Information Service (NCIS) Center for integrated ser- vice of FRR, RR, and VS. 10 The term “Civil Management Information System” in this report is used widely to mean e-government systems, necessary for implementing CRVS system, consisting of the key components including databases, digitized work processes, portal websites, government intra-network, and the Internet. 28 The Case Study of Korea Figure 3.1   The N-Type Growth Model of CMIS of Korea Top-down approach (Presidential agenda) 2nd stage 4th stage National key DBs (RR, etc.) Smart government service & High-speed network (Minwon24, AISS, NCIS, KOSIS) (1987–1995) (2001-present) Back office management Front office service (Supply side) (Demand side) 1st stage 3rd stage Paper-based service & Agency-centric e-Government local automation (RR Act) service (Tax, etc.) (1962–1986) (1996–2000) Bottom-up approach (Departmental agenda) Sources: Park, 2015. Governance Structure While the MOI oversees RR tasks in general, and city, county, and district offices and community centers carry Central and Local Government Agencies out the main RR tasks, metropolitan city and provincial The basic governance of CRVS falls under the respon- governments play relatively small administrative roles. sibility of the Supreme Court (FRR), MOI (RR) and While city. county, and district offices collect VS data Statistics Korea (VS) (Figure 3.2). As mentioned, low- and transmit them to Statistics Korea, the statistics data- er-level administrative institutions execute the tasks of base is located at the NCIS data center. NHIS manages the FRR and RR, and they maintain physically separate the NHI information system by linking approximately databases located at the Judicial Archives Center of the 80,000 hospitals and drug stores together. Supreme Court and NCIS data centers of the MOI. The National Court Administration manages in- dividual FRR tasks, such as birth and death reporting, National Computing and Information Service while the Judicial Archives Center manages the infor- The NCIS, launched in 2007, was a response to resolve mation system. Electronic FRR services are provided problems resulting from the increase in information through the FRR information system (http://www. and communication equipment, such as redundant efamily.go.kr), which is operated by Information Sys- investment by different government agencies, a lack of tem Centers in city offices, community service centers, professional human resources, poor server room envi- and consulates abroad (such as in Tokyo, Osaka, and ronments, and inadequate security. NCIS addresses Fukuoka in Japan) which are supervised by 56 heads of these issues by co-locating all information resources the Local Family Court. In general, an individual CRVS operated by different government agencies. It operates information system undergoes a prescribed procedure to 22 information systems of central government agencies deliver services through the AISS. Provision of informa- in each of its two data centers with a real-time mutual tion through portals such as Minwon24 and online doc- backup scheme. It serves as the national core facility ument issuance is possible using the FRR information that operates the integrated information system and system based on the AISS administered by the MOI. national information network and handles external Civil Management Information System 29 Figure 3.2   The Structure of CRVS Governance Family Relationship Resident Registration Vital Statistics Health Insurance Registration Supreme Court President Ministry of Court National Statistics Ministry of the Interior Ministry of Health & Welfare Administration Administration Central National National Health Info Computing Computing & Health Review & Center Infor Service Insurance Assessment District Family Court (56) Metro City/Province (17) City/Country/Province (226) Community Service Hospitals (32,000) Center (3,560) * The number in parenthesis is the number of offices throughout the nation. cyber-attacks by employing cutting-edge technology Information Service located within the NCIS oper- (Table 3.1). ates the RR management information system that NCIS operates numerous information systems handles birth and death reports and residency data of 44 central government agencies in real time and from cities, counties, districts, and communities on provides mutual backup. The RR Computing and a real-time basis. In order to defend against cyber Table 3.1   Key and Target Functions of National Computing and Information Service Key Function Target Functions Operation of information system • Manages integrated systems of 44 central institutions • Reduces average functional disorders per month (reduction from 67 minutes before construction to less than 4 minutes in 2014) Response to cyber attack • Blocks real-time about 10,000 cyber-attacks per day on the centers • Removes vulnerability, block DDoS and resolve hacking in 10 minutes Operation of national communication • Manages networks used by government and 776 public institutions network Integrated information resources • Joint use and blanket purchase of ICT resources by government institutions; resulted in budget reduction of 30~60 percent Utilization of new computing • Converts into cloud Computing Center technology • Operates and structures big data common platform Source: National Computing and Information Service, 2015. 30 The Case Study of Korea Table 3.2   Evolution of the National Computing and Information Service Category 2005–2007 2008–2012 2013-Current Key characteristics Co-location of central ministries’ Hardware consolidation, and integrated Introduction of cloud computing systems services Contents Integrated management of 44 Integrated ministries’ servers; Introduced SaaS, IaaS, PaaS, and so ministries’ systems; Integrated Integrated infrastructure resources; forth; built common platform service computer centers’ resources Reinforced network security for analysis of big data Source: National Computing Information Service, 2015. threats and hackings, as well as physical hardware fail- accordance with the Act on the Management of Public ures, the RR information system is operated in two Institutions. Public institutions are not administrative locations with a mutual back-up configuration at the agencies, so their employees are not civil servants. In RR Computing and Information Service Center and addition to government commissioned works, employ- the Backup Center, which are far (roughly 100 miles ees of public institutions (HIRA) (http://www.hira. away) from each other. The NCIS also oversees the or.kr), offer specialized expertise to support the CMIS Minwon24 and the AISS. (Table 3.3). The Supreme Court and Statistics Korea do The NCIS has transformed continuously in not have independent public institutions that carry out more advanced directions from mere co-location of their FRR and VS duties. systems of central agencies that had been located in The National Information Society Agency (NIA) physically separated places to a system of hardware (http://www.nia.or.kr) provided technical support for consolidation and integrated services shared between the NBIS projects (1987–1995), and played an import- them. It is now transforming from fragmented, smoke- ant role in the development of national e-government stack legacy systems into a cloud computing system projects (2001–2007) such as Minwon24, AISS, and based on computing resource sharing rather than on NCIS and information Superhighway (1995–2005). It local servers or personal devices to handle applications. also contributed to the development of the Supreme Cloud computing is the information processing system Court’s FRR system. The NIA currently supports the that makes it possible to use integrated and shared re- central government on information and communi- sources flexibly for information and communications, cation policies (ICT future strategies and investment such as software, devices, and networks for informa- plans, global cooperation), ICT convergence (Internet tion and communications in accordance with chang- of Things, unified infrastructure and services), e-gov- es in requirements or demands of users. It enables ernment planning and project management (expert ubiquitous and on-demand access to a shared pool of technological support, smart platform, and network computing resources like networks (Infrastructure as service), and digital culture (digital culture and capaci- a Service, IaaS), portals and applications (Platform as ty development). a Service, PaaS), and software (Software as a Service, The Korea Local Information Research and De- SaaS) (Table 3.2). velopment Institute (KLID) (http://www.klid.or.kr) is in charge of local e-government projects. It operates and maintains information systems for administration, Other Public Institutions finance, taxation, and human resources of local gov- In Korea, a number of public institutions carry out ernments, reviews redundancy in IT projects among works commissioned by central government agencies in local governments, develops EA models for local Civil Management Information System 31 Table 3.3   Public Institutions Supporting CRVS in Korea Ministry Institution Concerned Main Functions National Information Society Agency MSIP Develops and manages national ICT development strategies; develops infrastructure of (NIA) national information communications and ICT converged services; develops and manages business promotion and e-government policy Korea Local Information Research MOI Operates and maintains local information systems of administration, taxation, finance, human and Development Institute(KLID) resources; develops and distributes EA model for local governments; reviews redundancy in IT projects among local governments; searches and distributes models of excellence Korea Internet and Security Agency MSIP Develops internet and information protection industry; creates personal information protection (KISA) and safe internet usage; develops policy and technology for internet and information protection Korea Minting, Security Printing & MOSF Manufactures money and security printed products of bank notes and coins; manufactures ID ID Card Operating Co.(KOMSCO) products: RR, passport, credit card; manufactures forgery prevention products Health Insurance Review & MOHW Examines costs and propriety appraisal of medical care benefits; develops standards of Assessment Service (HIRA) examination and appraisal National Health Insurance Service MOHW Manages qualification of subscriber and dependent; Collects insurance premium; manages (NHIS) insurance benefits and payment of benefit costs; integrates notification of social insurance premium Sources: Ministry of Strategy and Finance; Korea Institute of Public Finance, 2015. administration, and finds and distributes cases of suc- The National Health Insurance Service cess throughout local governments. (NHIS) (http://www.nhis.or.kr) is a quasi-govern- The Korea Internet and Security Agency (KISA) mental agency with more than 12 thousand employ- (http://www.nia.or.kr) is a public institution responsible ees that plays a key role in maintaining the health of for building the foundation for the Internet, responding the entire population through efficient and transpar- to invasions of national information security and person- ent operation of the national health insurance sys- al information, and promoting the information security tem. It takes charge of supervision of the eligibility of sector. KISA’s primary duty is to prevent cyber threats to policyholders and their dependents, imposition and the Internet, such as external hacking, malicious codes, collection of insurance premiums and other fees, ad- and cases of distributed denial of service (DDoS), as well ministration of insurance benefits, and operation of as minimizing the damage in the occurrence of such preventive programs necessary for the maintenance events. It also implements policies for protecting per- and improvement of the health of policyholders and sonal information, such as the provision of the Internet their dependents, payment of insurance benefit costs, personal identification number (I-Pin) and offline RIN and so forth. alternatives (My-Pin). This agency regulates the online The Health Insurance Review and Assessment collection, usage, and storage of the RIN by setting up a Service (HIRA) (http://www.hira.or.kr) reviews and RIN Clean Center (http://www.eprivacy.go.kr). assesses medical care benefits, while NHIS issues insur- The Korea Minting, Security Printing, ID Card ance payments for the prevention, examination, treat- Operating Corporation (KOMSCO) (http://www. ment, and rehabilitation of citizens after illnesses and komsco.com) manufactures national identification injuries. It oversees health insurance matters regarding products, including passports, cards and RR certificate births and deaths, and assists in health improvement cards. This corporation uses cutting-edge technology activities by monitoring physical activities of elderly for forgery recognition and prevention. groups with various difficulties. 32 The Case Study of Korea Civil Management Information Systems The bottom section lists information systems, such as the RR database. While most administrative informa- Enterprise Architecture tion systems, including Minwon24, are located in two The government establishes and operates the informa- NCIS centers, the Central Computing Center of the tion technology architecture (ITA) to secure consis- Supreme Court and the NHIS manage the FRR and tency, compatibility, and standardization of e-govern- NHI databases located in physically separated places. ment systems developed by different administrative agencies, ensuring interoperability and expanding services for sharing. ITA11 is a systematic framework Family Relationship Registration Information formulated to implement comprehensive analysis of System the components of an entire organization, including The Supreme Court developed the FRR information the scope of its work, applications, data, technologies, system in three stages. First, in 2007, the Central Com- and security. This analysis is conducted based on spe- puting Center built the web-based FRR information cific guidelines and processes and on methodologies for system (http://efamily.scourt.go.kr). In 2008, it began optimizing the components through information sys- providing online issuance services through linkage with tem development based on the framework. According the nationality system of the Ministry of Justice, and in to the Electronic Government Act, the MOI formulates 2011 with the MOI’s RR system. Since 2013, such con- a master plan to introduce the ITA and disseminates a nectivity enabled the viewing, issuing, reporting, and reference model for the ITA, after which each agency requesting of various FRR services, such as verification introduces its own ITA in accordance with the master of birth, death, marriage, and adoption, through both plan. Figure 3.3 shows the basic structure of the CRVS the FRR information system of the Supreme Court information system. The upper section represents por- and the MOI’s Minwon24 portal website. Recently, at tal websites that provide administrative services to cit- the third stage, Internet-based declaration services will izens, such as the electronic FRR, Minwon24, KOSIS, and the NHIS. The middle section refers to the Public 11 The Korean government suggested using its Federal Enter- Information Sharing Center (PISC) that links all infor- prise Architecture to execute e-government projects at the- mation systems from various agencies for data sharing. whole-of-government perspective. Figure 3.3   Basic Structure of CMIS Ministry of Ministry of Health Institution Supreme Court Ministries Statistics Korea the Interior and Welfare FRR Minwon24 Portal site KOSIS Health Insurance (www.efamily. (www.minwon. …… (www.kostat.go.kr) (www.nhis.or.kr) scourt.go.kr) go.kr) Administrative Information Sharing System Administrative Health Data base FRR RR Statistics Data Insurance Physical Central Computing National Computing and Information Service Centers Computing location Center (Real-time back-up system between main center and backup center) Center Civil Management Information System 33 enable citizens to report various events such as births, accurate data input, all citizens had an opportunity for marriages, or deaths and to improve the convenience three months to check and verify previously-entered for people. Currently, the RR provides core informa- data by comparing their own RR Record Card data tion for common use and reference among administra- against previously handwritten data. By 1991, the RR tive agencies through the AISS. system rolled out to 3,700 community service centers nationwide to store the RR database (19 million items of household data, 51 million items of individual data). Resident Registration Information System Figure 3.4 shows the basic structure of the present In 1987, the Korean government initiated the NBIS architecture of processing and storing of the RR database projects to computerize five national key computer net- and transmission through the networks. When a citizen works: administration, defense, public security, finance reports a new birth or move-in through the Internet, a and banking, and education and research. The admin- mobile phone, a kiosk, or in person, a community ser- istrative network covered six databases closely related vice officer registers it in the RR database operated in real to CRVS: resident registration, real estate registration, time by a city, county, or district office center. Then it is automobile registration, population statistics, employ- transmitted through the exclusive government commu- ment, and customs. The RR information system, which nications network to the RR computing and Informa- began to be developed in 1987 alongside the NBIS, tion Center located at the first NCIS and is backed up was put into operation in 1991. In 1990, to ensure automatically at the second NCIS center on a daily basis. Figure 3.4   Basic Architecture of RR Information Systems 2nd NCIS center 1st NCIS center 1st, 2nd NCIS centers, Residents (backup) (RR computing) Health center, etc. 31 agencies Integrated DB Integrated DB 70 tasks: Mutual Info backup sharing • Family In person relationship • Immigration Exclusive government Internet • Passport communications network • Tax • Welfare • Education •… Internet RR DB Internet City/county/district Community service center (Real time processing (FRR, RR Data entry) of changes in data ) 34 The Case Study of Korea The RR information system consists of two lay- tasks), such as the Ministry of Foreign Affairs, National ers: the Central Information System and the Informa- Tax Service, and Statistics Korea, as part of the admin- tion Systems for the city, county, or district. The Cen- istrative information sharing system. tral Information System links to the metropolitan city or province or the city, county, or district to inform civil servants conducting tasks such as the provision of Minwon24 Portal RR data, civil registration vital statistics, confirmation The Minwon24 Portal system (http://www.minwon. of RR certificate card issuance, authenticity verifica- go.kr), an upgraded G4C system, is a comprehen- tion of copies and abstracts, and other similar tasks. sive electronic civil service window that continually The city, county, or district information systems link processes various civil petitions through the Internet. to the community service center to inform tasks such (See the website first screen in Figure 3.5) Citizens can as handling move-in reports, and viewing and distrib- apply and receive civil documentation online anytime uting RR record cards, RR certificate cards, and birth and anywhere through the Internet-based Minwon24 reports. system without having to visit the relevant agencies The central and city, county, or district informa- (civil petition processing without visiting, Article 9 of tion systems are in charge of handling birth reports and the Electronic Government Act). According to current move-in reports, viewing and distributing RR Record Internet guidelines for civil petitions set out by indi- Cards, and issuing and renewing RR Certificates online vidual laws, civil petitions made through the Internet, through civil petitioners, the Minwon24 portal, and such as a relocation report for the RR and land regis- kiosks. Both central and local RR information systems ters, can be issued immediately through the Internet or are linked with 31 central government agencies (70 mobile app or sent via post mail. Figure 3.5   The First Screen of the Minwon24 Portal Website Source: Minwon24 Portal (http://www.minwon.go.kr), 2016. Civil Management Information System 35 Figure 3.6    Yearly Usage of Minwon24 It allows registration of civil petitions, issues civil doc- Portal Services (unit: millions) umentations, provides comprehensive information for 140 families regarding various issues like health insurance, 131.9 125.1 and offers basic services such as civil petition process- 120 115.4 ing, a work management operation window, and online 102.5 100 payment (Table 3.4). 88.7 83.3 Minwon24 provides a number of civil ser- 80 vices through its connection to the RR database 68.3 68.7 64.4 63.1 62.3 63.4 via the administrative information sharing system. 60 50.1 57.5 The standard RR database is the central element of 39.4 40 Minwon24. The RR Record Card has the highest 28.2 21.1 number of issuance requests at 38.5 percent. Other 20 16.2 7.2 10.6 11.0 3.9 5.3 6.0 documents issued or inspected include building reg- – istrations, land registrations, land registration maps, 2009 2010 2011 2012 2013 2014 and proof of local tax payments (see the top five on- Viewing Issuance Application Total line services in Figure 3.7). Source: Ministry of the Interior, 2015. Thanks to its user convenience, the number of Administrative Information Sharing System cases handled by the Minwon24 portal increased from (AISS) 83 million in 2009 to 113.2 million in 2014, with Wide expansion of administrative information sharing civil petitions making up the highest number of cases and its full utilization among institutions are signifi- (Figure 3.6). cant characteristics of the e-government of Korea. The Minwon24 provides guidance for accessing var- AISS confirms and verifies a civil applicant’s identity ious civil services at the front office through a menu and information using data related to RR, automobiles, leading to different sections, including civil service real estate, and taxes that are mediated between infor- guides and petitions, verification services, useful infor- mation-holding and information-utilizing institutions mation, user guides, and an individualized “My Page.” through the PISC (Figure 3.8). Table 3.4   Main Menu Contents of Minwon24 Portal Website Main Menu Sub Menu Services Civil application guidance Package service guidance of civil application for livelihood; search 5,000 types of civil applications by institution, sector, index and theme Civil application request 1,200 types of issuance and inspection; requests of 3,000 types of civil applications Confirmation service Confirmation of RR and householder; confirmation and inspection of authenticity of submitted documents Lifestyle information Customized examination of information useful for everyday life without having to visit corresponding institutions User guidance Minwon24’s customer service center and site use; samples offered for preparation of applications; glossary of administration jargon My page Recent details of application and civil application stored basket; confirmation of inspection of refund information; search function of real-time information. Source: Ministry of the Interior, 2015. 36 The Case Study of Korea Figure 3.7    Top Five Online Services via Different types of information sharing include: Minwon24 Portal Website simple transmission (one-to-one); distribution (one-to- (unit: thousands, percentage) many); collection (many-to-one); collection and distri- bution (many-to-many); and customized distribution Local tax payment Issuance and certification formats as shown in Figure 23. For example, the type of inspection (1,796; 6.8) Others information sharing between the user (Statistics Korea) of certified (1,373; 5.2) copy of land and the owners (13 ministries and agencies) belongs to registration map the type 3 information sharing (collection) in Figure 3.9. (2,072; 7.8) Issuing RR record card Data-owning and data-using institutions share (10,162; 38.5) information on FRR and RR through the PISC uti- lizing an encrypted format whereby a personal infor- Issuance and mation manager keeps RINs safe by taking encryption inspection measures under Article 24-2 of the Personal Informa- of certified tion Protection Act so that they may not be lost, stolen, copy of land Request and inspection registration map of certified copy of building leaked, falsified, or damaged. The NHIS, for example, (3,512; 13.3) registration (7,500; 28.4) uses encrypted RR data for confirmation of insurance policy holders, delivery of notices, and applications for Source: The Ministry of the Interior, 2015. health services (Figure 3.10). Figure 3.8   Structure of Administrative Information Sharing System Data-using institution Data-holding institution Information sharing system (618 institutions) (32 institutions) Information request Information Information provided (148 kinds) and utilization • transmission • RR • distribution • National election Administrative • collection • Legislation institutions • collection and distribution • International trade Front office • customization • Census Public service • Etc. institutions • Information reference • Civil petition e-document Educational • Inspection of required institutions document(s) Back office • Inspection of multiple task documents on single screen Financial institutions • Trace management • Information encryption and cryptography • Privacy protection Civil Management Information System 37 Figure 3.9   Basic Models of Information Sharing User Owner User Owner User Owner User Owner User Owner Sharing Sharing Sharing Sharing Sharing Transfer Distribute Collect Collect & Distribute Customise Source: Hwang, 2015. Figure 3.10   Basic Structures of Information Sharing MOI PISC NHI (National RR System) (Administrative Information sharing System) (Health insurance) One-day status change of RR data • Confirmation of policy holders (birth, death, marriage, divorce, Transmission of encrypted data • Delivery of notice, bill migration, changed names) • Applications for health services Residents, Health insurance recipients The verification procedures and accompanying information. FRR verification, eligibility for NHI, and documents required in receiving civil services have been receipts for NHI premium payments ranked within the reduced greatly by a variety of CRVS information-shar- 10 most viewed information types, proving the high ing methods. The number of types of information demand for the CRVS information. shared increased from 71 in 2008 to 147 in 2014, while Continued efforts to expand inter-agency infor- work types increased from 2,142 to 2,494. The range of mation sharing have improved customer convenience as public organizations that are allowed access to the AISS well as inter-departmental cooperation. At the same time, has also expanded from originally only including cen- maintaining information security, personal information tral institutions to subsequently include local govern- protection, and appropriate restriction of state authority ment agencies, financial institutions, and educational on information accumulation are some other important institutions (Figure 3.11).12 mandates that the government should observe. The number of views of information shared jumped from 27 million in 2008 to 213 million in 12 The change in numbers of central government agencies and 2015 (Figure 3.12). RR record cards, used for resi- local governments is the result of reorganization of adminis- dent identity verification, constitute the most viewed trative organizations and integration of local governments. 38 The Case Study of Korea Data-Using Institutions Figure 3.11    Annual Records Viewing of Figure 3.12    through AISS Shared Information (unit: data-using (unit: millions) institutions and their ratio) 70 Educational Central 60 institution administration (186; 30) (50; 30) 50 40 Financial institution 30 (18; 3) Local 20 Public government institution (243; 39) 10 (121; 20) Source: The Ministry of the Interior, 2015. – 2008 2009 2010 2011 2012 2013 2014 Certified and copies of RR record cards FRR information Government Information and Communication Certification of land registration & land register Others Certification of building registration Total Networks Source: The Ministry of the Interior, 2015. After the establishment of public administration net- works for the national key databases, including RR and real estate in National Basic Information system for exclusive use by central and local government projects (1987–1995), the government began to con- agencies (Figure 3.13). K-Net is the government-only struct a backbone network with high volume (K-Net) communication network separated from commercial Figure 3.13   Concept Map of Government Information & Communication Networks 1nd NCIS Center 2st NCIS Center Internet Physical separation Business Backbone Business Physical separation Internet Network Network node Network Network Internet Network Business Network Internet Network Internet Business Core Business Internet Network Network node Network Network Internet Network Business Network Internet Network Internet Physical separation Business Access Business Physical separation Internet Network Network node Network Network local Central local Central local Central local Central governments government governments government governments government governments government Source: National Computing and Information Service (http://korea.ncis.go.kr/eng/key/key_04.jsp), 2016. Civil Management Information System 39 networks. Cybersecurity of the network is guaranteed K-Net consists of the three layers of backbone, by separating it into two networks, building dual and core, and access nodes, and offers a safe, secure, and binary communications equipment and transmis- scalable communications service to central and local sion channels, and establishing a 24/7 monitoring government agencies and public institutions, It ensures system. For example, information on RINs is stored quality service to citizens by applying service level agree- and transmitted in an encrypted form in all sections ments with vendors regarding communications quality. between two networks supported by two firewalls. However, in view of the physical separation of K-Net In addition, it has adopted new technologies such and the Internet, every official has to have two personal as Internet Protocol Television (IPTV) and Internet computers on his or her desk, one for the exclusive in- Protocol version 6 (IPv6). ternal network and the other for Internet usage, which causes some inconvenience. 4 STATUTES AND REGULATIONS Governance Structure The CRVS statutes of Korea consist of four levels: the constitution and acts (National Assembly); enforcement decrees (presidential decrees); enforcement rules or regulations (ministerial decrees); and municipal ordinances and rules (local governments). This chapter primarily addresses crucial act-level stipulations that describe the structure, functions, and work processes of organizations in relation to the development, operation, and maintenance of CRVS and CMIS systems.13 Acts related to CRVS and CMIS largely consist of three areas. First, acts related to the institutionalization of CRVS that were enacted in the 1960s and subsequently amended several times stipulate institutions, processes, and processes of CRVS as a key tool for building national fundamentals of social and econom- ic development. They are the Family Relationship Registration Act, the Resident Registration Act, and the Statistics Act. Second, several acts were enacted after the 1980s to promote CMIS development and utilization as a critical part of national informatization and electronic government. They are the Framework Act on Na- tional Informatization, the Electronic Government Act, the Software Industry Pro- motion Act, and the Official Information Disclosure Act. In addition, in order to exploit emerging technologies for government innovation, the Korean government in 2014 put into force the Act on Promotion of the Provision, and in 2015, the Use of Public Data and Act on the Development of Cloud Computing and Protection of its Users. Third, the Korean government enacted two basic acts related to privacy protection and cybersecurity. This third area of legislation helped lead to increased social awareness and concerns. They are the Personal Information Protection Act 13 Refer to the icon ‘Law Search’ of the Korea Legislation Research Institute’s website for retriev- ing acts introduced in this report. http://www.klri.re.kr/eng/category/main.do 42 The Case Study of Korea and the Act on Promotion of Information and Com- and the movement of the population through the reg- munications Network Utilization and information istration of residents residing in each city, county, or Protection. district. The RR Act stipulates the preparation, issu- ance, and correction of RR Registration Cards, change of RIN, issuance and reissuance of the RR Certificate CRVS related Acts Card, and establishment of an electronic information center for RR. It also permits any person to inspect The acts pertaining to CRVS include the Act on the a RR Record card and to obtain a certified copy or Registration of Family Relationship, the Resident Reg- abstract of such record card through electronic infor- istration Act, and the Statistics Act. mation data. The heads of city, county, or district offices are responsible for carrying out delegated RR tasks, including recording movement of population, improv- Act on the Registration of Family Relationship ing the convenience of public services, and appropri- The Act on the Registration of Family Relationship, ately processing administrative work. The head of the made up of 124 articles, defines and regulates the reg- household must report changes in RR information as istration and verification work processes pertaining they occur, including corrections to RR, such as expiry to changes in family relations such as birth, marriage, or non-resident registration, within 14 days of the death, and other events. The Act stipulates preparation occurrence. of family relations registers and processing of registra- tion, records of registers, reports of birth, recognition, adoption, dissolution of adoptive relations, marriage, Statistics Act divorce, parental authority and guardianship, death and The Statistics Act stipulates that the Korean Commis- disappearance, and acquisition and loss of nationality. sioner of Statistics must designate VS as a designated Furthermore, it describes in detail the change of name statistics repository (Articles 17, 20). If needed, the and surname, the origin of surname, the establishment ministry can request cooperation from heads of organi- and rectification of the family relation register, and zations that contribute to the compilation of necessary other subjects. The Chief Justice of the Supreme Court VS statistics. Similarly, the heads of the central govern- delegates the actual tasks of the FRR to city mayors or ment agencies and local governments can request VS heads of community service centers. The heads of these reports they need from their subordinate organizations local governments handle the FRR tasks according to or heads of local government under the jurisdiction of the computing and information processes of the Judi- the Enforcement Decree of Statistics Act, Article 30. cial Archives Center. However, when an administrative The Regulation for Population Change Survey (425th agency in the executive branch needs to work with FRR Decree of the Ministry of Strategy and Finance (MOSF), data, the agency must discuss its needs with the head of 2015) defines the items of the PCS specifically cited as the National Court Administration. designated statistics by the Statistics Act (Article 17). This act aims to address factors behind population sizes and structural changes. Primary items include subject Resident Registration Act of investigation (Article 2), categories of investigation The Resident Registration Act, enacted in 1962, fur- (Article 3), survey items (Article 4), deadline for data thers the livelihoods of residents, and makes the pro- submission (Article 6), and other relevant data. cessing of their administrative affairs more convenient It is important to note that the acts related to by clearly ascertaining the residential status of residents CRVS usually include several articles to facilitate the Statutes and Regulations 43 shared use of CRVS data among administrative agen- and privacy, to expand disclosure and sharing of cies for their accurate and consistent management. For administrative information, to prevent duplicative example, the heads of city, county, or district offices investment, and to improve interoperability (E-Gov- have responsibilities to coordinate FRR with RR in- ernment Act, Article 4). It stipulates the electronic formation stored in their respective databases (RR Act, processing of civil petitions, electronic public service Article 15). The Korean Commissioner of Statistics can delivery (front office), electronic administrative man- request that the Minister of the National Court Ad- agement (back office), shared use of administrative ministration provide digital data on the registration of information, information technology architecture, family relations and that the Minister of Public Safety and efficient management of information resources, as and Security and the Commissioner of the National well as the stability of information systems. The act Police Agency provide information on criminal justice pursues the maximization of the benefits of an e-gov- related to statistics on the causes of death (Statistics Act, ernment project in terms of business process reengi- Article 24-2). neering. Each administrative agency has to redesign its pre-existing organization, including placement of workers, work processes and other tasks, in a manner CMIS related Acts compatible with the implementation of the informa- tion and communications technologies (E-Govern- Acts pertaining to CMIS include the Frameworks Act ment Act, Article 48). In particular, the act allows and and the Electronic Government Act. promotes shared use of administrative information, as listed in Table 4.1, through the AISS. Administrative information related to national security of the nation, Framework Act classified as confidential under any Act or subordinate The Framework Act on National Informatization stipu- statute, can be excluded from information subject to lates the formulation of basic and implementation plans such sharing. for national informatization, establishment of NIA, As a legal measure to facilitate information shar- promotion of public and community informatization, ing, the E-Government Act includes articles to enforce support for informatization of the private sector, and the right to view and the obligation to gather consent standardization of networks. In addition, through the from the owner of the information to safeguard person- revision of the Act in 2013, the government included al privacy in cases of administrative use or sharing of proactive measures for tackling social issues, such as information (Table 4.2). Owners now have the right to preventing and alleviating Internet addiction, narrow- ing the digital divide, and guaranteeing web access by persons with disabilities and elderly persons. Administrative Information Table 4.1    Subject to Sharing (E-Government Act, Article 38) Electronic Government Act Administrative information necessary to process civil petitions, and 1.  The Electronic Government Act provides that its basic so forth Administrative information that can be used as reference to carry 2.  goals are to digitize public services, to improve citizen out administrative affairs, such as statistical, bibliographic, or policy convenience, to innovate administrative affairs, and to information Administrative information deemed essential by an administrative 3.  improve their productivity and efficiency. These goals agency to carry out its official duties prescribed by any Act or are designed to ensure the security and reliability of subordinate statute information systems, to protect personal information Source: Korea Legislation Research Institute (http://www.klri.re.kr/), 2014 44 The Case Study of Korea Table 4.2    Rights and Obligations frequently coped with opposition of NGOs in intro- of Information Owners ducing electronic NID certificate cards and in expand- (E-Government Act Article ing information sharing among administrative agencies 42, 43) and public institutions. For this reason, the Personal Information Protection Act replicates eight strict data Right Nature of Rights protection principles established by the Organization Prior consent of Purpose of sharing the information, the for Economic Cooperation for Development (Table owners of information administrative information subject to sharing and the scope of sharing, the name of the 4.3).14 The government also must take legal, insti- agency using the shared information tutional, managerial, and technological measures to Owners of Agency that used the information, the address concerns of the civil society regarding leaks, information to purpose of sharing the information, the types request access of information shared, the time of sharing, breaches, and abuses of personal information. legal grounds for sharing the administrative There are two acts that address privacy issues: the information Personal Information Protection Act (PIPA), which is enforced in the public sector, and the Act on Promo- tion of Information and Communications Network view the activities of information sharing after execut- Utilization and Information Protection (ICNUIPA), ing such activities. A government that wants to move which is enforced in the private sector. fragmented government ministries and agencies with a “silo mentality” into using more shared and linked systems has to enact these kinds of legal measures to Personal Information Protection Act (PIPA) overcome obstacles to information sharing. The PIPA prohibits all acquisition of the RIN by pri- vate companies, except financial companies that need to collect the RIN as part of the Act on Real Name Acts related to Privacy Protection and Cybersecurity 14 Refer to OECD Guidelines Governing the Protection of Privacy and Transborder Flows of Personal Data retrieved Due to massive leaks and abuses of RINs and other from https://www.oecd.org/sti/ieconomy/2013-oecd-priva- personal data in the past, the Korean government has cy-guidelines.pdf. OECD Guidelines and Personal Information Protection Act Table 4.3    OECD Guidelines Personal Information Protection Act (Article 3) Collection limitation Collects lawfully and legitimately, and limit the collection to the minimum extent to achieve clear purpose Data quality Guarantees that the information is kept accurate, complete and up-to-date to the extent necessary for the purpose Purpose specification Makes clear the purpose of managing personal information Use limitation Manages within the appropriate and extent necessary, and not use it for other intentions Security safeguards Manages safely in consideration of the risk that the rights of a subject of information may be infringed Openness Discloses to the general public matters concerning the management of information Individual participation Guarantees the rights of a subject of information such as to request an inspection, and so forth Accountability Endeavors to gain the trust of a subject of information by fulfilling his/her responsibilities and obligations conferred/ imposed by or under this act Source: Kwon, 2015. Statutes and Regulations 45 Financial Transactions and Confidentiality, to pre- Act on the Development of Cloud vent abuse and leak of RR information such as the Computing and Protection of its Users RIN. The ICNUIPA also restricts the use of the RIN The Act on the Development of Cloud Computing (Clause 2 of Article 22). Service providers of informa- and Protection of its Users (CCPU Act) was enacted tion communications cannot collect or use the RIN in 2015 to contribute to the improvement of citizens’ of their subscribers, except when (i) designated as the lives and the development of the national economy by institution to verify the identity of a person by the developing and promoting the usage of cloud comput- Korea Communications Commission; or (ii) allowed ing and by creating an environment for the safe use by the authority and legal statutes to collect and use of cloud computing services. The Act includes several subscribers’ RIN. Moreover, they must provide an Articles to protect user information from outside intru- alternate means of identity verification without using sions and from leakages or abuses by cloud comput- the RIN. ing service providers stipulated in the PIP Act and the ICNUIP Act. For example, no cloud computing service provider is required to provide any user information to Act on Promotion of Information and a third party to be used for any purpose other than for Communications Network Utilization and the purpose of providing services without the relevant Information Protection (ICNUIPA) user’s consent, unless it is required by the court order The Act on Promotion of Information and Commu- to submit or a warrant issued by a judge (Article 27). nications Network Utilization and Information Pro- In contrast to Acts related to personal informa- tection (ICNUIPA) was enacted in 2001 to address tion protection and cybersecurity, the Official Infor- the issue of Personal privacy protection in the private mation Disclosure Act and Act on the Promotion of sector. ICNUIPA restricts the use of RIN (Clause 2 the Provision and Use of Public Data address disclosure of Article 22). Service providers of information com- and provision of all administrative information and munications cannot collect or use the RIN of their public data with designation of classified information subscribers, except when (i) designated as the insti- and data as exceptions. Specifically, the negative system tution to verify the identity of a person by the Korea that permits disclosure of a list of all non-disclosed and Communications Commission; or (ii) allowed by classified information as administrative information, the authorities or by legal statutes to collect and use applies to the list of information disclosure (Article 9). a subscriber’s RIN. Moreover, they must provide an Information that can lead to an invasion of privacy or alternate means of identity verification without using freedom of speech when disclosed, such as name and the RIN. RIN, is classified as non-disclosable. 5 CRITICAL SUCCESS FACTORS Strong Political Will and Leadership In a presidential system where the president, as the head of government, leads an executive branch in policy formulation as well as policy implementation and service delivery, strong political will and continued engagement of the president are the most important factors for the success of a CRVS agenda. In Korea, the enactment of the RR Act and the development projects of the RR database, online service (G4C and Minwon24), AISS, and NCIS, have all been undertaken as part of pres- idential agendas since the 1960s. Presidents of Korea have mobilized organizational, human, and financial resources throughout the entire government in order to attain administrative goals related to CRVS. They have institutionalized various advisory committees under their jurisdiction to facilitate their agenda by exploiting skilled expertise in the private sector. For example, in 1987 the Chief of Staff to the President became the Chairman of the Computer Network Steering Committee for the RR database de- velopment project, one of six Administrative Networks projects. Presidential com- mittees have become a common organizational design for e-government projects since the 2000s (Table 5.1). Since 2014, the Government 3.0 Committee, which is in charge of developing personalized services to citizens as part of the presidential agenda, has been undertaking the task of innovating CMIS depending on easy accessible applications loaded onto mobile phones. One important rule worthy of note for organizing these high-level committees is that more than half of the com- mittee members conventionally consisted of private sector actors, such as university professors, researchers, and business consultants, in order to utilize their profession- alism and technical expertise. 48 The Case Study of Korea Advisory Committees Related to CMIS Agendas Table 5.1    Category Upper Governance (Chairman) National Basic Information Systems Computer Network Steering Committee (Chief Presidential Secretary) (1987–1991) High-Speed Network Informatization Promotion Committee (Prime Minister) (1995–2008) E-Government Presidential E-Government Special Committee (Cabinet minister level civilian) (2001–2007) Informatization Strategy Committee (Prime Minister) (2009–2012) Government 3.0 Government 3.0 Committee (Cabinet minister level civilian) (2014–) Inter-Ministerial Collaboration and Presidential E-Government Committee began to initi- Resource Sharing ate the AISS, several government agencies raised con- cerns about the possibility of abuse and leaks of per- While the CRVS system requires a high degree of sonal information and the accountability that follows information sharing and collaboration between gov- such incidents. The committee developed appropriate ernment agencies, in several countries, it represents legal, organizational, financial, and technical measures a typical area of fragmented smokestack processes. A to address these concerns with the supporting partici- fragmented CRVS system makes life inconvenient for pation of three ministries, the MOSF, the MOI, and people and creates inconsistencies and inadequacies in the Ministry of Information and Communications public administration. Several factors in political, orga- (MIC). Since the 1990s, collaboration between these nizational, economic, and technical dimensions restrict three ministries, each of which has their own strengths information sharing and collaboration among govern- and weaknesses in policy capacity and resource mobi- ment agencies (Table 5.2). lization, has worked as a key factor in the success of The supra-ministerial governance initiated by CRVS and CMIS as well as of e-government as a whole. the political leadership can facilitate to a considerable (See Figure 5.1). Political leadership also plays an im- degree the tackling of these factors, most of which work portant role in promoting long-lasting collaboration at the ministerial level (Song and Oh, 2012). When the between ministries. Table 5.2   Barriers to Information Sharing Category Obstacles Political • Absence of strategy and vision from leader • Poor information security; infringement and abuse of personal data • Ambiguity of law and system (uncertain responsibility of task distribution) Organizational • Lack of awareness of convenience and other benefits • Lack of credibility or trust between departments • Insufficient system of professional workers and task distribution Economic • Lack of budget promoting and sharing Technological • Lack of compatibility between components of information systems • Lack of standards in data-sharing procedures Source: Song and Oh, 2012. Critical Success Factors 49 Figure 5.1   Standard E-Government Governance of Korea (2001~2007) Presidential Office (Chief of Staff) (Senior Secretary for Policy & Planning) Key players of Presidential E-Government Special Committee E-Government (Vice Minister level) Public institutions National (KISDI, KISA, etc.) Computerization Agency Finance and E-Government & Technical Support & Ministries Performance Local government ICT Fund Ministries monitoring (MOSF) (MOI) (MSIP) G4C TF NAFIS (D-Brain) NEIS TF TFs (Assistant Minister TFs TF (MOSF) (MOE) for Planning, MOI) SI company SI company SI company SI company SI company Source: National Computing and Information Service (http://korea.ncis.go.kr/eng/key/key_04.jsp), 2016. Consistent and Timely Strategic Planning thus automatization within government offices as well as remote operations became possible. Then, during Strategic planning with clear goals and priorities is cru- the second phase, (1995–2005) the High-Speed Broad- cial to the successful implementation of a CRVS infor- band project, which was begun in 1995 and was com- mation system. Until the 1980s, the computing capacity pleted in 2014, equipped the whole country with high- of the Korean government was far behind that of many speed Internet. advanced countries like the United States or the United The third stage (2001–2007) included two ma- Kingdom.15 In order to catch up with these countries jor e-government developments. The first e-Government within a short period, the Korean government initiated agenda involved portal development of the Government several master plans which were implemented through- for Citizens project (G4C) that was linked to five core out four strategically planned stages since the 1970s national DBs on residential information, real estate, (Table 5.3)16 (Song and Cho, 2007; Song, 2010). The automobiles, and so forth. This effectively reduced the first stage (1978–1986) focused on the computeriza- number of required physical visits to government offices tion of internal work, such as human resources, payroll, pensions, and immigration, on a batch-processing basis. The second stage (1987–2005) can be sub-divided into 15 In 1986, the level of South Korea’s informatization index (100) in areas such as information equipment, information two phases. In the first phase (1987–1996), a wide-area utilization and informatization investment was just one- service of CRVS was begun through a public infor- eighth of the USA (730) and one-fourth or one-fifth of Japan mation-sharing network. During this period, national (460), Germany (430), United Kingdom (490) and France basic information systems concerning civil services, (493). Refer to NIA (1990). real estate, education, and research was completed, and 16 Refer to the above Table 7 and Figure 9. 50 The Case Study of Korea Table 5.3   History of CRVS and CMIS Related Master Plans Stage CRVS Projects CRVS Project Details First Stage Administrative • Computerization of administrative tasks such as human resources, wages, and pensions for (Foundation Building) computerization each department (1978–1986) • Issuance of abstracts of manual RR by visiting community offices Second Stage National Basic • First phase (1987–1991): administrative DBs built for RR, economic statistics, etc.; RR (Database Information System computerization (70 mil citizens) with abolition of paper work Development) (1987–1996) • Second phase (1992–1996): EDI customs, post office, welfare for a total of seven priority agendas of pursuit High-speed network • Nation-wide high-speed networks in major areas (1995-2005) • High speed internet access for all schools nationwide; management of grades and life records linked to RR Third Stage (Online e-Government • First phase (2001–2002): G4C (online issuance of RR) Service) (2001–2007) • Second phase (2003–2007): AISS, NCIS; FRR database development and web-based VS service linked to FRR Fourth Stage (Service Smart e-government • E-government enhancement and maintenance (2008–2012) Enhancement) (2008-present) • Customized service (2013-present): hospital-based birth/death reports; big data analysis for population census; CRVS cloud computing and eliminated a lot of documentation related to public the other. Strategic plans for CMIS have been key tools services that was previously required. The second e-Gov- for attaining those goals. ernment agenda implemented 31 projects, ranging from digitization of all document processing, and informa- tization of national and local government finances, to Human Capacity with Skilled Expertise sharing of administrative information. The AISS project involved online verification by means of shared informa- Korea has managed to implement an effective CRVS tion provided through the administrative DBs of mul- system despite having a relatively small number of civil tiple administration agencies compared to paper docu- servants. Korea has a very small government, with a ments submitted in person or by mail. The fourth stage, ratio of civil servants to the economically active pop- which is still in progress (2008-present), involves upgrad- ulation of 10 percent, half that of other OECD coun- ing Korea’s e-government information system. This phase tries (OECD, 2015) (Figure 5.2). The total number of aims to facilitate information sharing through integrated civil servants is approximately 1 million in 2015, most and connected information systems and through stable of whom belong to the executive branch consisting of operations of the NCIS. Efforts are also being made to state civil servants (education: 347 thousand persons, provide customized CRVS services using technologies 34.4 percent; security: 149 thousand persons, 14.7 per- such as mobile, Internet of Things, and cloud computing. cent; general administration: 95 thousand persons, In every stage of the strategic plans, the govern- 9.4 percent) and local civil servants (363 thousand per- ment set up government-wide master plans that match sons, 29.3 percent). (See Figure 5.3). Due to e-govern- social needs with technological advances in timely and ment services like Minwon24, the number of persons proper ways. They have aimed at enhancing the efficien- allocated to front-office registration work for family cy of government administration and providing quality relationship and residency remains relatively few. services to citizens on the one hand, and advancing in- In the central government, civil servants working dustrial promotion and technological development on for technical services, such as computing (2,883 persons, Critical Success Factors 51 Figure 5.2   Public Sector Employment as a Percentage of the Labor 40 35 30 25 20 % 15 10 5 0 NOR DNK SWE LUX HUN EST SVK POL GBR SVN BEL OECD CAN FRA GRC IRL CHE ITA AUS PRT ESP TUR NZL MEX CHL JPN KOR CZE DEU LVA UKR ZAF BRA COL 2003 2009 Source: OECD, 2015. 3.0 percent) and communications (474 persons, higher decision-making responsibilities. These small 0.5 percent) account for a relatively small portion numbers in lower-positioned technical-service groups of the civil servants working for the general service are insufficient even for system maintenance and up- (94,595 persons, 100 percent) (Ministry of Personnel grade. Furthermore, there is little recruitment of local Management, 2015). In addition, these technical ser- civil servants to join technical service groups. vice groups are mostly placed in mid-to-low-level posi- The Korean government uses a system of per- tions with little influence on the policy-making process. sonnel recruitment based on merit-based general exam- When promoted, civil servants for technical services inations and periodical rotation from one job to anoth- usually move to general administrative positions with er within a specific ministry. The system often reveals Figure 5.3   Components of Total Civil Servants by Government Level State (general administraton), 9.36% Local education State (postal), State (education) administraton, 6.74% 3.11% 34.37% State (postal), Constitutional 3.11% court, 0.03% Assembly, 0.40% State (security), Election commission, Local, 29.23% 14.73% 0.28% Source: The Ministry of Interior, 2015. 52 The Case Study of Korea Table 5.4    Traditional Budgeting In summary, the Korean government, with a shortage and Multi-Year Financial of civil servants specializing in information technology Investment and other technical fields, relies on various public insti- tutions and on private companies. Traditional Budget High-value Category Formulation Investment Duration Annual expense Multi-year investment Flexible Financial Investment Unit of Result of outcome by Government-wide result appraisal programs Benefit/cost Financial cost/benefit Non-financial and Budgeting for CMIS and E-Government financial cost/benefit Projects Focus Restraints within Innovative change of task In most countries, government projects are constrained current task flows flow by a rigid annual budget system controlled by the bud- Source: OECD, 2004 get review of the National Assembly and auditing of the audit authority. Since investing in a CRVS infor- serious weaknesses in the accumulation of knowledge mation system requires significant changes and inno- and experience in specialized policy areas and in the vation in current structures and working processes, tra- facilitation of widespread collaboration between minis- ditional budget approaches, that include annual cost, tries (Song and Oh, 2012). The participation of outside project-based results, financial cost-to-benefit ratio, specialists with a neutral stance independent of interests and steady workflows, cannot suffice. CRVS systems of specific agencies has contributed to filling that kind instead can benefit from innovative budget structures of technical and collaborative vacuum in national agen- involving multi-year investments, government-wide das like e-government. In addition, the lack of technical results, financial and non-financial benefit-cost ratios, capacity among civil servants is largely supplemented innovative workflow adjustments, and more (Table with skilled expertise from various public institutions 5.4). This kind of budgeting system requires strong, such as NIA and KISA. Utilization of entrusted man- steadfast political resolve. agement from public institutions and private compa- The budget allocation system for digitization nies has been a firm practice for e-government in Korea and e-government in Korea underwent several chang- (E-Government Act, Article 64-2). Outsourcing is a es, as shown in Table 5.4. Most of all, the “invest first, trusted management strategy used by private compa- settle later” method was used initially for the RR da- nies, widely exploited in the field of information system tabase development (1987–1991) project, whereby the development as well as in operation and maintenance. implementation plan was established and financed by History of Resource Procurement Methods Table 5.5    Category Budgeting Method Contents National Basic Information System “Invest first, settle later” • Execution of project through financing of bank funds (1987–1991) • Adjustments at the end of the project E-Government Informatization Promotion Fund • Fund from compensation for spectrum allocation (2001–2004) • Information investment by (former) MIC E-Government General government budget • E-government support budget: execution by MOI within (2005-present) boundaries, as allocated by MOSF Source: Song and Cho, 2007. Critical Success Factors 53 the financial sector, which the government later reim- is the only value and on the extent to which import- bursed. This type of strategy represents an exceptional ant impacts can be monetized (Weimer and Vining, case of flexible appropriation of financial resources. 2005). Monetization of important impacts on society Subsequently, the Informatization Promotion should include long-term, intangible benefits and costs Fund was created in 1996 from the proceeds of tele- as well as short-term, tangible benefits and costs. BCA communications spectrum allocations stock sales and is usually weak in calculating public values other than dividends of public institutions (that is, Korea Tele- efficiency, such as distributional equity. In an e-gov- com), and was used to finance e-government projects. ernment project, typical tangible costs include system The combination of the “invest first, settle later” ap- development and maintenance costs and labor train- proach and the IPF represented flexible multi-year ing costs. Short-term benefits include a reduction of budgeting methods that enabled a swift response to the cost of civil petitions and documentations, lower rapid technological advances, and bypassed budget transportation costs, and reduced time and cost of civil restraints imposed by budget authorities, audit au- servant issuance tasks. Less tangible benefits include thorities, and parliament. This strategy contributed savings from internal process innovation, employee to fast and strong implementation of informatization capacity growth, customer satisfaction, and long-term projects. financial achievements. When efficiency is the only rel- After 2005, the government relocated the In- evant goal, government has to choose the best feasible formatization Promotion Fund into the Information alternative that maximizes net benefits. Technology Promotion Fund in order to finance ICT The Korean government operates a preliminary research and development initiatives and projects. feasibility survey as a BCA tool. The Ministry of Strate- Meanwhile, the Ministry of Strategy and Finance now gy and Finance has to conduct a preliminary feasibility appropriates the budget for e-government projects survey in advance for every large-scale informatization from the general budget account of the Korean gov- and e-government project where the total project cost ernment. MOSF allocates the budget for e-government is 50 billion Korean won (KRW) or more, with at least projects in a lump sum to the MOI, and allows the 30 billion KRW of it being subsidized by the State (Na- MOI discretionary authority to deliberate and allocate tional Finance Act, Article 38). Benefit-cost estimation this budget based on government-wide integration and is the basic component of this feasibility survey. connectivity for individual e-government projects. This CRVS is a key part of the national agenda that lays kind of flexible financing strategy could be appropriate the foundation for nation building and economic devel- for developing countries facing difficulties in securing opment, and thus cannot be justified from the simple financial resources for e-government projects. If a flex- efficiency perspective of a BCA. Nevertheless, to secure ible financing model, such as the Informatization Pro- a high priority status in competing government policies, motion Fund above, is not available, various public-pri- information system development of the CRVS should vate partnership models that obtain financing from the first of all be economically valid. Economic validity en- private sector may be considered. ables the government to anticipate political feasibility. For this reason, the government undertook BCA for all eleven e-government projects before launching them in Benefit-Cost Analysis 2001. For example, budgets invested in the G4C proj- Benefit-cost analysis (BCA) assesses the economic valid- ect, the predecessor to Minwon24, amounted to about ity of a public project by comparing investment costs 3.3 billion KRW. Estimated direct and indirect benefits, and expected benefits. Its appropriateness as a basis including the sum of the effect of reduction in paper for decision-making depends on whether efficiency documentation and lower transportation and time costs 54 The Case Study of Korea for customers,17 amounted to 1,113.6 billion KRW. The and exploit the technical expertise and flexibility of the estimated benefits significantly outweighed the invest- private sector. The Korean government has another ment costs (E-Government Task Force, 2002). Another important policy goal of promoting software industry BCA case is the National Education Information System through e-government outsourcing (Software Industry project (NEIS) that was begun during the same period as Promotion Act, Article 1). Potential partnerships cover the G4C. NEIS got its economic justification from the areas such as financial investment, telecommunications results of BCA with an estimated benefit that was three infrastructure buildup, front-office services, e-govern- to seven times greater than the investment cost (Bene- ment software development, and capacity building of fit-cost ratio=3.0–7.0) (Song and Lee, 2007). civil servants and citizens. Outsourcing is a type of PPP, but is different from PPP in various aspects (Table 5.6). While PPP Public-Private Partnership focuses on governance management, where public and private partners are engaged in joint decision-making Overview and production through shared responsibility and risks, Governments can choose to deliver public goods directly outsourcing focuses more on contract management, through public employees and state owned enterprises where the government (principal) specifies the problem, (the make decision), or indirectly by means of private solution, and product, and where the company (agent), companies and non-profit organizations (the buy deci- selected through a competitive tendering procedure, sion) (Skelcher, 2005). The public private partnership provides the product based on detailed contract terms. (PPP), a form of the buy decision, is a kind of collab- orative governance between public and private sector 17 This was calculated from two-way transportation costs x actors who pursue well-defined public goods through number of issuances x ratio of administrative institute sub- the appropriate sharing of resources, costs, risks, and mission) and the conversion cost of time spent by petitioners rewards. It aims to reduce costs, enhance administra- (average transportation time + average civil petition pro- tive efficiency, focus on core competency within the cessing time x number of issuance x average wage x ratio of organization through outsourcing peripheral functions, administrative institute submission). Comparison between Partnership and Outsourcing Table 5.6    Category Partnership Outsourcing Basic principle • Government and company engage in joint processes • Government defines problems/goals/ solutions/products, of developing common goals, efforts, products, and division of responsibility, and selects company that is able to sharing responsibility and risks effectively produce efficiently • Process management rules of partners to create • Project management principles of government to set clear interaction, commitments, and division of benefits goals, well-defined final product specifications, rules of • Maximizes both interests; transaction costs mainly tendering, selection, delivery, and inspection incurred in organizing and managing process and • Maximizes parties’ own profit; transaction costs mainly exchange of information incurred in monitoring agent and tendering procedure Strength and • Transfers and imports external capital, technology, and • Utilizes external technological and human resources, and weakness professional knowledge to internal civil servants pursues small government through concentration on core • Potential mismatch of culture and expectation competency between partners, and difficulty of change of priority • Weak control over project priorities and methods due to lack due to contract terms and conditions of skilled expertise, communication gap between parties, and rigid contract terms resulting in eventual efficiency reduction Source: UN, 2008; Klijn and Teisman, 2007. Critical Success Factors 55 Among a variety of partnership models, the first Outsourcing Policy model includes BOT (Build-Operate-Transfer) and Among the four PPP models discussed above, the BOOT (Build-Own-Operate-Transfer) (UNESCO, Korean government has relied heavily on outsourcing in 2005; World Bank IDP, 2009). In the BOT, the pri- e-government projects since 1980s. The Act on Admin- vate partner builds a facility or system to the standards istrative Digitalization and E-Government (Article 14) and specifications agreed to by the government, oper- in 2002 stipulated a compulsory outsourcing princi- ates it for a specified time-period under a contract, and ple by stipulating that “agencies have to outsource the then transfers the ownership to the government. In the development and operation of e-government projects” BOOT, the private partner owns the project, invests re- (outsourcing by default policy). The Electronic Govern- sources, undertakes its development, operates it for the ment Act, fully revised in 2008, stipulates that govern- specified duration, and then transfers the ownership to ment agencies make it a rule to entrust all or parts of the the government. There are some variants like DBOOT business concerning the management and supervision (Design-Build-Own-Operate-Transfer), and DBFOT of the following three projects to a person equipped (Design-Build-Finance-Operate-Transfer). The govern- with expertise and technical capacity (Article 64-2). ment mostly pays the private partner on a unit basis in this first type. 1. Projects that significantly affect the efficiency in In a second model, the government can contract public services with a private partner to provide a specified service or 2. Projects that require special management due to a to operate, maintain, and upgrade a facility or system high level of difficulty providing a service (service contracts). This service 3. Other cases necessary to entrust the management is usually a peripheral service, not a core one. While of e-government projects due to a lack of experi- the ownership of the facility or system belongs to the ence and expertise in their organizations government, the private partner gains revenues or fees from the government in return for providing a service. Outsourcing is the final step of entrustment of In a third model, the government can choose a e-government projects from a public institution to a lease option. The private partner invests resources, and company. The Government can choose entrustment operates, repairs, and maintains a facility, equipment, of all of the business of a project by handing over the or service to specified standards and outputs agreed to entire project from concept definition to development, by the government, and then receives all the revenues, deployment, maintenance, and upgrade (total out- fees or charges from service users. Ownership belongs sourcing, using a turnkey-base contract). Alternatively, to the private partner. it can choose entrustment of only parts of the business Finally, outsourcing covers a wide range of activ- by selecting or commissioning some part of the project ities from routinized and well-defined types of service (selective outsourcing, using a separate or split-order- to more complex ones that require highly skilled exper- ing contract).The Korean government has entrustment tise. Outsourcing is often used for tasks such as run- chains of e-government project outsourcing, consist- ning a Q&A help desk, managing customer relation- ing of central government ministries (MOSF, MOI, ships on a daily basis, designing and managing portal MOHW, and so forth) at the top level, the NIA, NHI, websites, and conducting training programs for capac- HIRA, Public Procurement Service (PPS), and so forth ity building. Complex tasks needing technical capacity at the middle level, and vendors in the private sector such as information strategy planning and sophisticat- at the bottom level (Figure 5.4). This well-institution- ed software development are also important objects of alized entrustment system enables government at all outsourcing. levels to employ outsourcing in e-government projects. 56 The Case Study of Korea Figure 5.4   Entrustment Chains of CMIS Projects in Korea MOSF Supreme Court Entrustment Stat Korea MOI MOHW Entrustment NIA NHI, HIRA Central Computing Center Public Procurement Service Outsourcing Vendors The Public Procurement Service (PPS) (http:// The project managers must demonstrate that they have www.pps.go.kr) outsources e-government projects, en- the professional skills capable of managing e-govern- trusted by central government ministries and agencies, to ment projects, a plan for conducting the business, a private companies through the competitive procurement record of past management of e-government projects, process. PPS operates the Korea Online E-Procurement and then must meet detailed criteria for the selection, System (KONEPS) (http://www.g2b.go.kr) that is a single including the calculation of fees for the outsourcing. window service for public procurement for all public insti- NIA, Social Security Information Service (SSIS), Korea tutions. It handles the entire online procurement process- Education and Research Information Service (KERIS), es starting from the invitation for bids, through bidding and so forth, have the primary responsibility for this and contracting, and continuing to contractor payment. e-government project management. It also provides integrated bid information for businesses. The MOI and NIA operate sophisticated manu- als that describe procedures and methodologies to man- age e-government projects according to their life cycles Project Management (Figure 5.5). The first stage starts with project iden- Project management refers to the systematic manage- tification that focuses on the analysis of the political ment of the core components of a project life cycle, atmosphere, supply-market capacity, and social needs. from concept definition, to strategic planning, business Second, in the project development and assessment process reengineering, development, and operation and stage, government and/or its entrusted institutions car- maintenance of information systems. In Korea, non- ry out a feasibility study for framing the detailed proj- governmental public institutions, supervising corpora- ect plan, estimating budget allocation, and identifying tions, and software business operators who have been potential risk factors. Third, the contract management entrusted by the central government ministries are all stage includes developing critical components such qualified to serve as an e-government project manager. as definition of rules and responsibilities, service level Critical Success Factors 57 Figure 5.5   Typical Life Cycle of Outsourcing Management Development Contract Project Operation Identification and assessment management management and maintenance • Environment analysis • Feasibility study • Request for • Progress management • Operation & • Supplier market • Risk assessment Qualifications(RFQ) • Change management maintenance analysis • Framing project plan • Request for • Quality/risk • Performance • Needs assessment • Budget allocation Proposal (RFP) management monitoring • Competitive bidding • Audit • Feedback • Developer selection • Property transfer • Upgrade • Contract agreements (SLA), key performance indicators (KPI), accustomed to closed and red-taped work processes and and procedures to follow, such as examination of Re- silo-oriented legacy systems. Civil servants tend to be quest for Qualifications (RFQ) and Request for Pro- negative and even resistant to outsourcing of e-govern- posal (RFP),18 competitive bidding, vendor selection, ment if it appears to threaten their interests, such as and contracting. Fourth, the project management stage promotion and job rotation. Therefore, senior officials, consists of management activities of progress, human including the top decision maker, must actively support resources, finance, conflict resolution, risk, change, the positive atmosphere of disseminating outsourcing quality, audit, property, and transfer. The fifth and final into e-government projects. stage includes operation, maintenance, performance Second, a well-prepared plan is a key to maxi- monitoring, and upgrades. mize the benefits by minimizing various organizational, financial, human, and technological risks. It includes basic strategic tools to retain specialized human re- Key Considerations for Successful PPPs sources within the public sector that address contract In spite of well-prepared procedures and methodologies and project management in a proper way. The NIA, as for contract and project management, numerous fac- an entrusted e-government project manager, has exer- tors, both tangible and intangible, interact to affect the cised the role properly since its institutionalization in performance of a project. Although a project appears to 1987. In order to create user-friendly documentation be successful in terms of project management, problems and good RFPs, the government has to be ready to uti- that were not anticipated at the design stage may later lize in the plan outside consultants who possess relevant constrain the successful operation of the project. A vol- experiences and skills. atile political arena may regard the project as a failure if Third, a vendor must be selected. Usually a ven- poor accessibility and low usage of users become a social dor who is recognized as capable of performing the issue. There are a number of success and risk factors to contract and tenders the lowest price in a competitive take into consideration from the Korean experiences. bidding market becomes the successful tenderer (Act First, the active commitment of the top decision maker and civil servants is important. As e-government, as a 18 An RFQ is a request for companies to submit their qualifi- reform agenda streamlines the internal work processes cations to be considered as a qualified partner for a project, and provides more efficient, transparent, and inte- while an RFP is a request for companies to submit their pro- grated services to citizens, its outsourcing often causes posal for a project including key items such as best price, resistance from civil servants and stakeholders who are experiences and skilled expertise. 58 The Case Study of Korea on Contracts to Which the State is a Party, Article 10). manager has to ensure that there is a SLA defining the However, since the lowest bid is not always the best expected levels of services,19 in order to control possible choice for determining a tenderer for an e-government opportunistic behaviors of vendors and avoid depen- project with a high degree of technological difficulty, a dency of the government and its affiliates on the vendor. vendor whose tender is the most favorable to the gov- The project manager tends either, to exert bureaucratic ernment according to the criteria specified for evalu- superiority over a specific vendor, or to take a risk of ation in the tender notice or tender guidance should excessive dependence on the vendor. A project manager become the successful tenderer. In addition, the Korean should not regard the outsourcer just as an agent, but government requires ministries entering into a contract as a partner to work with. Vendor management must to pay at an appropriate price level, rather than just the include the establishment of a sound partnership, with lowest price, to ensure the development of the software shared risks and rewards for both partners. industry and the quality of the software business (Soft- ware Industry Promotion Act Article 22). Generally, in the competitive bidding of e-government projects, while the price ratio is 10~20 percent, technology and other factors are 80~90 percent. 19 SLA is a standardized service contract where a principal (gov- Finally, vendor management is central to the suc- ernment) and an agent (vendor) agree on the scope, quality, cessful outsourcing of project management. The project and responsibilities of a service. 6 LESSONS AND POLICY IMPLICATIONS Legal and Institutional Arrangements Korea has enacted several laws on CRVS and CMIS in order to meet the expecta- tions of citizens as well as to keep up with institutional and technological changes occurring since the 1960s. The enactment of the RR Act and the Statistics Act in 1962, along with the launch of the first Economic Development Plan, was a start- ing point. Thus, the present legal system is made up of the historical accumulations of developments during the past half century. These laws and regulations enhance the accuracy and consistency of CRVS data and promote the efficient and inte- grated management of CMIS. Developing countries, however, do not necessarily have to follow this legal system of Korea. Rather, an enforceable single law that identifies the key elements of CRVS, CMIS, and personal information protection and that stipulates them together into a harmonized manner may suffice. In cir- cumstances where developing countries have a weak legislative capacity due to an unstable political environment, it is recommended that they design a framework of CRVS and CMIS into an integrated format. In this case, a draft of civil registration law can include four crucial parts as below: 1. Civil registration: births, deaths, marriages, divorces, residency and migration; national identity management (registration record card, identification num- ber, identification card) and population change survey 2. Database development and e-government services: digitization of CRVS data, development and operation of e-government service of CRVS, information sharing among public agencies 3. Personal information protection and cybersecurity: collection and use of CR, restrictions on collection, use, and transfer of CR, restriction on management of identification numbers 60 The Case Study of Korea 4. Incentive compatible mechanism: imposition of There is a fundamental difference between the ap- carrots (rewards) and sticks (penalties) on civil proach of government agencies and that of private com- servants and customers with their own duties and panies in collecting personal information. Private com- responsibilities panies proactively collect customer information to stay competitive, whereas the government enforces people to submit CRVS data to meet adequate legal requirements. Incentive System For example, the government ensures the accuracy of birth and death reports by charging a fine of less than 50 The Korean government employs various incentive sys- thousand KRW if parents do not submit the reports to tems to secure the compliance of civil officers and cit- corresponding institutions within a month. In addition, izens in implementing CRVS and CMIS policies. For the law imposes severe penalties for illegal generation example, legal regulations stipulate that civil petitioners and use of the RIN. Civil servants may be imprisoned or who request paper documents for FRR and RR verifi- enforced to pay a fine for wrongful manipulation of the cations pay a small fee. City, county, or district offices FRR, RR, and their systems. Other stipulations impose and community service centers have been charging this various penalties and fines to ensure the reliability and fee to help cover the cost of managing and issuing paper accuracy of CRVS management (Table 6.1). documents. The change in the fee system encountered resistance when electronic issuance of the RR certificate verification commenced because there was no efficient Capacity Development of Civil Servants way to collect the small fee electronically other than and Users waiving the fee for civil petitioners. The government guaranteed other sources of income for some of these A well-developed education and training program for offices. A proper incentive system for administrative promoting digital literacy and processing capacity is one agencies needs to be developed during the digitization of the most important success factors in CVRS. Once of CRVS. the CRVS information system has been deployed, both Table 6.1   Penalties and Fines for Personal Information Privacy Violations Category Object Main Contents Family relationship Civil servant • Providing FRR information to others for external use /reasons registration Citizen • Not reported within 30 days of birth • Viewing and issuing of others’ FRR information • Fake reports or fake witnesses Resident Citizen • Illegal manufacture and usage of RIN registration • Using RR certificate card as means to fulfill unlawful obligations • Double reporting to RR reporting office • Distributor of fake RIN generating program • Illegal use of others’ RR certificate cards Electronic Citizen • Activities related to data forgery, modification, damage and leaks government • Illegal forgery, modification or damage to AISS Civil servant • Lack of prior consent of information agent for information sharing • Violation of information owner’s right to view during information sharing Entrusted manager • Leaking secrets related to commissioned tasks of e-government Lessons and Policy Implications 61 civil servants and citizens have to be proactive through identity verification methods. The MOI, Korean Com- ongoing operation and maintenance of the system. In munications Commission (KCC), and the Ministry of order to utilize the CMIS, they are required to have Science, ICT and Future Planning (MSIP) recently took proper expertise to access the system and use it in their legal, managerial, and technical measures to prohibit the businesses. Well-trained front-office civil servants are use of the RIN on the Internet. Legal measures refer to able to understand and use the CMIS in their internal amendments of various related legislation, while mana- business and in their service to citizens. Without com- gerial measures refer to policy and execution procedures pulsory enforcement, officials can tend to resist using and processes of the administrative agencies in charge the CMIS if it is unfamiliar to them. For instance, of managing CRVS personal information. Technical when Korea initially deployed its computerized CRVS measures refer to the development of various technical system, many civil servants would regress back to the devices for the protection of personal information. traditional manual work practices. Technical measures that can prevent security The government provides those officials involved breaches from the outside through the Internet, such in policy formulation, implementation, and service de- as the hacking of the internal CRVS database and ad- livery—depending on the e-government systems in- ministrative network, are critical to the functioning volved—with several education and training programs of the CRVS. Core components include a dual layer at each rank of the civil service. Examples are the Na- of firewalls between the Internet and the internal net- tional Human Resources Development Institute under work, implementation for the servers in the demilita- the Ministry of Personnel, and the Local Government rized zone, and encryption applied to all the sections Officials Development Institute under the MOI. For of the network. The Korean government implements instance, in response to the demand for diverse training technical measures for upgrading the separation of the programs, the MOI provides regular programs for civil administrative network from the general Internet net- servants in charge of the Minwon24 portal service. work (network isolation), and enhancing information security technology (intrusion detection management system, de-identification technology, and privacy im- Personal Information Protection and pact assessment). Cybersecurity Concerns about the abuse and leak of personal information as well as information security may inten- The biggest issue now concerning the CRVS system in sify with the implementation of new information tech- Korea is the possibility of abuse and leak of personal nology such as cloud computing, Internet of Things information20 regarding the FRR, RIN, and RR certif- and big data analytics. The government has begun icate cards. Any information systems inevitably cause to employ technical measures such as anonymization public concern about information security and personal and de-identification of shared information and open privacy. The CRVS information system in Korea uses the government data. Governments should try to balance RIN as a medium both to ascertain the identity of the individual and to provide basic information derived from other information services. Since the RIN has become 20 The Personal Information Protection Act defines personal information as ‘“information of a living person such as full the most frequently utilized method of identity verifica- name, RIN, images, etc., that can be used to identify the tion for online transactions through the Internet in both individual” (Article 1 of the Personal Information Protection public and private sectors, the government has been Act). This includes information that cannot be used on its making efforts to strengthen the protection of personal own to identify a person, but can be easily combined with information alongside the development of alternative other information for identification. 62 The Case Study of Korea trade-offs between privacy protection and open gov- The N-Type growth model of CMIS shows the ernment. Open government data and disclosure of continuous efforts of the Korean government for over administrative information greatly enhance citizens’ a half century to innovate administrative work process- trust in the transparency of public administration and es by utilizing technologies step-by-step. (See Figure evidence-based policy decision making. The Korean 3.1 above). Over this period, for example, the software government is addressing increasing social demand for paradigm has shifted from proprietary software in the freedom of information and open government data 1970s to open source software in the 2010s (WEF, through the implementation of the Official Informa- 2013). Now, any nation can take advantage of good tion Disclosure Act of 1998 and the Act on Promotion opportunities to expand and enhance services and put of the Provision and Use of Public Data of 2014. smart government at the fingertips of citizens by adopt- ing new technologies, including mobile phones, social media, cloud computing, and the Internet of Things. Technological Factors The government needs to enact the integration of rapid- ly evolving ICTs into existing on- and offline adminis- Recent developments in ICTs have laid the foundation trative work processes. At the same time, it must address for more revolutionary changes in government oper- problems that arise from the combination of new and ation. While ICTs are not a panacea for resolving all existing technologies. For example, in 2015, Korea en- public administration problems, they provide a new acted the Cloud Computing Development Act, which is opportunity for tackling the untamed problems that bringing about a fundamental change in the entire com- have remained unsolved. puting environment of central and local governments. 7 CONCLUDING REMARKS A civil registration and vital statistics (CRVS) system draws on many sectors of government, including statistics, health, civil registry, finance, and plan- ning. This system plays a significant role in public administration not only by providing individuals with legal identity and civil status, but also by generating information that can be used for planning, monitoring, and developing diverse government services. The data is also essential for identifying and monitoring key health issues in the population. However, in developing countries, citizens usually have a low awareness of the significance of the CRVS system, so that the usage and participation rates of CRVS systems remain very low despite the government’s ef- forts to promote CRVS systems. A key challenge is how to overcome practices, tra- dition, or customs that seemingly reject the very act of registration of a vital event, such as in the case of indigenous peoples’ preferences to have babies delivered at home or to make arrangements for their deceased based on religious reasons. Most low- and middle-income countries with paper-based records of birth and death events have difficult in retrieving and sharing information between government agencies for better policy-making. The CRVS case study of Korea shows a number of important implications for developing countries that are striving to develop their own CRVS system. First, The Korean government may not have designed an ideal type of CRVS at the outset, but it has transformed and continuously upgraded the system to make it more efficient and customer-oriented.. Even today, the government is making efforts to provide customized CRVS service using state-of-the-art technologies such as mobile devices, Internet of Things, and cloud computing. The government is also trying to make the legal and institutional rearrangements timely and consistent with these technological advances. An example of a key success factor is that politi- cal and administrative leadership play key roles in the establishment, consolidation, and management of a CRVS system for national goals aimed at economic develop- ment and improvement of citizens’ way of life. 64 The Case Study of Korea Second, creation and inducement of demand for Finally, for a well-functioning CRVS system, there CRVS functions through raising public awareness of should be clear rules and regulations on rights, duties, ensuing benefits is also an important prerequisite. In and responsibilities of citizens as well as of civil servants. order for a CR system to work, there needs to be an in- Clear legal responsibilities imposed on public agencies centive system that gives an individual a good reason to can ensure consistent and reliable CRVS data produced register. When it is used as a mechanism that provides and disseminated in a timely manner. Policy-makers various welfare services and other services, citizens will have to pay attention to and support the necessary leg- be more favorably inclined towards using it. As with the islation and timely amendments to require civil servants case of other countries that have a high utilization rate to react responsibly to citizens’ needs. Legal statements of a CRVS system, Korea started its system for purpos- are necessary to promote the right of citizens to know es of public control and management, but over time, and access administrative information, and to keep the came to use it as a medium for providing services and confidentiality of personal information from being mis- improving the quality of life of citizens. Third, a silo used or abused. The right to access includes a fee system mentality in government bureaucracy prohibits coor- where registration of births and deaths is free of charge dination and collaboration between public agencies, and does not pose an additional monetary burden to and between public and private sector actors. In order low-income families. Strict legal and institutional frame- to overcome this problem, the Korean government has works can help the government maintain the integrity developed strategic master plans with long-term vision and consistency of CRVS data and prevent fraudulent and missions designed by presidential advisory commit- registration of vital events. A secure and reliable cyber- tees consisting of outside experts and inter-ministerial security environment is a factor critical to the success- task forces. It is thus recommended that for a well-de- ful operation of the CRVS system. At the same time, an signed CRVS system to work, governments concerned increasing civic consciousness expects the government should first build a proper coordination and collabo- to disclose administrative information and open public ration system for the strategic planning of the CRVS data. There are, however, very often conflicts between across sectors, agencies, or stakeholders. these values in terms of priority and importance, and Fourth, many developing countries find that the Korea is no exception on this issue. Thus, the govern- CRVS system requires substantial initial investments in ment has to keep a balance in safeguarding people’s right human and technological resources that they cannot af- to information, and the need for protection of personal ford. Capacity building is, however, critical for a success- information and classified data for national security. ful CRVS system. Building up human resources capacity There are many considerations for the efficient includes the provision of education and training oppor- establishment of a CRVS system. It is crucial that all par- tunities for CRVS staff, such as government officials in ties embarking on this initiative are strongly committed charge of registration procedures, healthcare staff in- to long-term and sustainable CRVS development. This volved in recording vital events, and team leaders tasked means there should be reviews of short- and long-term with promoting CRVS to the public. In the process of goals, appraisals of methods and mechanisms used, re- statistical capacity building, more systematic collection flections of personnel involved, capacity building, and of administrative data will improve government per- other enhancement efforts along the way to make sure formance and encourage evidence-based policymaking. the CRVS project stays on track. It is equally critical The recommendation here is for governments to allocate that there is close collaboration between stakeholders. adequate resources to building the capacities of human The Sustainable Development Goals (SDGs) resources capable of planning and utilizing procedures initiated by the United Nations call for promises to that result in quality CRVS data collection and analysis. “Leave No One Behind” and “Get Everyone in the Concluding Remarks 65 Picture”, which are in turn commitments that highlight these policies. Accordingly, this report presents a case the need for inclusive and accountable CRVS systems study on Korea’s experience with regard to CRVS sys- in all nations. For these goals to succeed, governments tem developments. The descriptions and recommenda- must first realize that CRVS is fundamental for provid- tions hopefully provide a good guideline for developing ing data to create the most suitable policies for nation countries that are striving to implement and enhance building and to monitor targets set when formulating their national CRVS systems. BIBLIOGRAPHY E-government Task Force. 2002. Electronic government White Paper, Spe- cial Committee on e-Government Hwang, J. S., 2015. “Administrative Information Sharing Systems and Data Center Consolidation.” Presentation at 2015 Global Knowledge Forum on Strengthening Civil Registration and Vital Statistics (CRVS) and National Identity Management Systems, The World Bank/Korea Eximbank Joint Consulting. Index Mundi, Available from http://www.indexmundi.com Klijn, Erik-Hans and Geert R. Teisman. 2007, “Managing Public-Private Partnerships: Influencing Processes and Institutional Context of Public-Pri- vate Partnerships,” in Mark Bevir, ed. Public Governance, Vol.3, SAGE Pub- lications, London, UK, 117–138. Korea Mobile Certification. Personal Identification Method. (n.d.) Retrieved January 14, 2016, Retrieved from http://www.kmcert.com. Korea Legislation Research Institute. 2014. Statutes of the Republic of Korea, http://www.klri.re.kr Korean Statistical Information Service. (n.d.) Retrieved July 10, 2016, Retrieved from http://kosis.kr Kwon, H. Y. 2015. “Privacy Issues in National ID and Bio Information.” Presentation given on December 7, 2015. Global Knowledge Forum on Strengthening Civil Registration and Vital Statistics (CRVS) and National Identity Management Systems, The World Bank/Korea EximBank Joint Consulting. Lee, J. Y. 2015. “Vital Statistics System in Korea.” Presentation given on December 7th 2015. Global Knowledge Forum on Strengthening Civil Reg- istration and Vital Statistics (CRVS) and National Identity Management Systems, The World Bank/Korea EximBank Joint Consulting. Ministry of the Interior. 1999. Current RR certificate card [Photograph]. Retrieved from http://image.google.com Ministry of the Interior. 2015. 2015 Government Administration Statistical Yearbook. 68 The Case Study of Korea Ministry of the Interior and Personal Informa- Number Alternative Research Center: Korea tion Protection Commission, 2015, 2014 Per- Society for Regulatory Studies. sonal Information Protection Survey Sim, W. M. 2015. “Resident Registration Num- Ministry of Personnel Management. 2015, 2015 ber Collected Prohibition Policy,” Issue Report, Personnel Statistical Yearbook. No. 271. National Assembly Research Service. Ministry of Strategy and Finance and Korea Skelcher, Chris. 2005. “Public-Private Partner- Institute of Public Finance. 2015. Internal Paper ships and Hybridity,” in Ewan Ferlie, Laurence E. Minwon24 Portal, Available from http://www. Lynn, Jr. and Christopher Pollitt, eds. The Oxford minwon.go.kr Handbook of Public Management, Oxford Uni- National Computing and Information Service. versity Press, Oxford, UK, 2005, 347–370. 2015. Internal paper. Song, H. J. and Cho, T., 2007. “Electronic National Computing and Information Service. Government of Korea: Performance and Tasks,” (n.d.) Retrieved August 7, 2016, Retrieved from Informatization Policy, 14(4), Winter, pp.20~37. http://korea.ncis.go.kr/eng/key/key_04.jsp. Song, H. J. and Lee, O.H. 2007. NEIS system National Health Insurance Service, (n.d). (Educational Informatization) Performance Anal- Retrieved August 17, 2016, Retrieved from ysis. Korea Information Society Development http://www.nhis.or.kr/static/html/wbd/g/a/ Institute wbdga0401.html. Song, H. J. et al. 2007. A Study of Resident Reg- Park, J. H. 2015. “Integration of CRVS and istration Institutional Development. Ministry of National ID to Health Management Infor- Government Administration and Home Affairs mation System.” Presentation at 2015 Global (MOGAHA). Knowledge Forum on Strengthening Civil Song, H. J. and Oh, C.H. 2012. ICT for Devel- Registration and Vital Statistics (CRVS) and opment: Institution Building (Issue 1). United National Identity Management Systems, Nations Asian and Pacific Training Center for The World Bank/Korea Eximbank Joint Information and Communication Technology Consulting. for Development (UN-APCICT) and Minis- OECD. 2004. The e-Government Imperative. try of Strategy and Finance, Knowledge Sharing OECD e-Government Studies, OECD, Paris. Series, Republic of Korea. OECD. 2013. OECD Guidelines Govern- Song, H. J.. 2010. “Building e-Governance ing the Protection of Privacy and Transborder through Reform: The Korea Experience.” Journal Flows of Personal Data. Available from: http:// of E-Governance, 33 (1): pp. 49–60. Retrieved www.oecd.org/sti/ieconomy/2013-oecd-priva- from http://dl.acm.org/citation.cfm?id=1839204. cy-guidelines.pdf. Statistics Korea. 2014. Task Guide on Popula- Privacy Security Portal (including Resident tion Change Survey. Registration Number Clean Center) Available Statistics Korea. 2015. Task Guide on Popula- (Korean) Retrieved January 14, 2016. Retrieved tion Change Survey. from http://www.privacy.go.kr Statistics Korea, Vital Statistics Division, 2016, Shin, Y. J. 2015. “Current Situation on Resi- Internal paper. dent Registration Numbers Use and Alternatives Statistics Korea, Korea’s Population Census, to Public Institutions.” Resident Registration Retrieved January 14, 2016 Available from Number Protection and Alternative Means Pol- http://www.census.go.kr/cui/cuiKorView. icy Debate Proceedings, Resident Registration do?q_menu=1&q_sub=3. Bibliography 69 Statute of the Republic of Korea. Available (English http://www.un.org/en/development/desa/pol- keyword search) from http://elaw.klri.re.kr icy/ untaskteam-undf/UNTT_MonitoringRe- Sustainable Development Goals. https://sustain- port_WEB.pdf. abledevelopment.un.org/?menu=1300. Weimer, David L. and Aidan R. Vining. 2005. UN ESCAP, 2014, “Get Every One in the Pic- Policy Analysis: Concepts and Practice, Fourth ture: Why is Civil Registration So Important Edition, Prentice-Hall, Upper Saddle River, for Statistics?” Stats Brief, November, No.02, New Jersey. Retrieved from: http://www.unescap.org/sites/ World Bank DataBank. World Develop- default/files/ Stats_Brief_CRVS_Nov 2014_ ment Indicators. Available from: http:// Issue_02_0.pdf. http://databank.worldbank.org /data/reports. UNESCO, 2005, E-Government Toolkit for aspx?source=2&country=KOR&series&period= Developing Countries, UNESCO, New Delhi. World Bank and World Health Organization. United Nations Department of Economic and 2014. Global CRVS Scaling Up Investment Social Affairs. 2015. Civil Registration Systems. Plan 2015–2024. http://www.worldbank.org/ Retrieved from: http://unstats.un.org/unsd/ en/topic/health/publication/global-civil-regis- Demographic/sources/ civilreg/default.htm. tration-vital-statistics-scaling-up-investment. United Nations System Task Team, 2013, World Economic Forum. 2013, Intellectual Report on Statistics and Indicators for the Post- Property Rights in the Global Creative Econ- 2015 Development Agenda, Retrieved from omy, Swiss. 1818 H Street, NW Washington, DC 20433