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1
FREEDOM OF INFORMATION FRAMEWORKS:USING ACTIONABLE INDICATORS TO EVALUATE DESIGN AND PERFORMANCE
Presentation at the First Global Conference on Transparency Research, Rutgers University, Newark, NJ
By Stephanie E. TrapnellMay 19, 2011
THE WORLD BANK
2
Outline
Actionable Governance Indicators (AGI)
Freedom of Information Legal framework indicators Draft implementation indicators
Annex: Public Accountability Mechanisms (PAM)
3
Measurement and Actionability
Actionable Governance Indicators
Data: for whom?4
Policymakers
Agency
Citizens
Oversight Committees
Managers and examiners need productivity data to improve performance
Policymakers need data on design features and capacities to make strategic decisions
Citizens and “Info”mediaries (NGOs, Media) want to know the impact of the FOI system on the behavior of officials.
Oversight committees often require data on productivity, impact, and citizen engagement.
5
What makes an AGI?
Specific object of measurement: moving from governance concepts (transparency) to governance systems (access to information).
Governance concepts
Governance systems
Corruption
Rule of Law
Social accountability
VoiceAccess to Information
Public financial management
Oversight institutions
Efficiency of courts
Budgeting
Financial disclosure
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Actionability, i.e., establish link between actions and indicator values
• Integrate FOI-related objectives into agency’s overall strategic planning
Did the agency's strategic planning
process incorporate FOI-specific goals, objectives,
and outcomes?
• Select methods for dissemination based on current or future resources
How does the agency proactively disclose
information? (agency website, media, printed
materials, other)
• Identify bottleneck areas and find ways to improve efficiency
What was the average turnaround time for
providing information when requested?
7
What do AGIs measure?
Institutional
Arrangements
Organizational
Capacities
Governance system performa
nce
Design (or rules of the game) provides the parameters and guidelines for implementation
Resources that underpin the performance of tasks and functions
Capability of system to perform required tasks within the existing institutional arrangements and using available capacities
Immediate
Impacts
Intermediate outcomes
Changes in the behavior of citizens, public officials, or governments that can be traced back to the performance of governance systems.
8
Utilizing Actionability
Determinants of performance: design + capacities
Quality and productivity of performance
Behavioral changes reflected in
immediate impacts:
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Freedom of InformationPublic Accountability Mechanisms, 2010https://www.agidata.org/pam
Legal Framework indicators
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Freedom of Information AGIs
Legal framework Categories1. Legal framework2. Coverage of information3. Procedures for accessing information4. Exemptions to disclosure requirements5. Enforcement mechanism6. Deadlines for release of information7. Sanctions for non-compliance8. Proactive disclosure (2012 only)
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● Countries in the PAM dataset● PAM countries with right to information● PAM countries with specific ATI/RTI law
Access to Information Laws in PAM Data Set
12
Draft as of May 19, 2011
Implementation Indicators
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Timing of Data Collection
Institutional Arrangements
Organizational Capacities
Governance
system performance
Baseline assessment every 2-3 years
Annual stocktakingPeriodic evaluation (annually, quarterly, etc)
14
Measurement of FOI Systems
Section 1. Management and Accountability
1.1 Facilities
1.2 Records management
1.3 Human resources
1.4 Financial management
1.5 Policy management
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Measurement of FOI Systems
Section 2. Implementation
2.1 Public awareness
2.2 Responsiveness
2.3 Appeals
2.4 Proactive disclosure
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Responsiveness indicators
Institutional Arrangements
Is there a policy requiring timely responses to information requests?
Is there a policy requiring explanation of refusal to provide information?
Capacities
Are RTI personnel aware of procedures for responding to requests?
17
Performance
What was the nature of information requested in the last fiscal year? Please provide a breakdown of types that constituted 15% or more of requests
What was the percentage of requests responded to?
What was the average turnaround time for providing information when requested?
What was the percentage of requests refused with no reason provided?
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Formulating goals, considering impacts
For any given freedom of information system, any or all of the following goals are possible:
improve efficiency of the public sector enhance credibility of government regularly and reliably provide government documents to
public educate public on significance of transparent government facilitate appropriate/relevant use of information in the
lives of individuals
In specific contexts, these goals may be refined or expanded as necessary.
19
Considering immediate impacts
D.1 Public engagement
What is the level of knowledge exhibited by the public? [Accessible through public surveys]
What is the perception of the transparency of government? [Accessible through public surveys]
What is number of information requests received by all covered entities?
What is the number of information requests received per specific entities? (e.g., Ministry of Health, Ministry of Education, Treasury, etc.)
What is the percentage of requests for each category of requester background? (e.g., age, sex, ethnicity, organization, domicile, etc?)
What is the percentage of requests for each category of information requested? (financial disclosure, agency statistics, policy actions, etc)
What is the number of appeals filed?
What is the number of hits on agency website that hosts RTI policies, procedures, or proactively disclosed information?
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D.2 Government commitment
What is the percentage of agencies penalized for disregarding FOI requirements?
What is the percentage of agencies that were forced to disclose information (whether by judiciary or information commissioner)?
Was there a national campaign to foster public awareness about RTI laws and policies?
How many FOI laws did the government overturn or nullify?
Immediate impacts continued
21
Next steps
Pilot FOI implementation indicators in 5-10 countries in spring 2011 (looking for volunteers!)
Roll out FOI implementation indicators/data in summer 2011
Update FOI legal framework indicators in 2012
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For more information please contact:Stephanie E. Trapnell, [email protected] Recanatini, [email protected]
Thank you!
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The PAM Initiative brings forward detailed and regularly updated data on efforts to enhance the transparency and accountability systems in a sample of 88 countries worldwide.
https://www.agidata.org/pam
Public Accountability Mechanisms
24
5 areas of inquiry/ 2 stages
Income and asset
disclosure
Freedom of information
Conflict of interest
Immunity protections
Ethics training
Legal framework
(in law)
Implementation(in
practice)
25
PAM Dataset regional coverage
Sout
h As
ia
Euro
pe &
Cen
tral A
sia
Middle
East &
Nor
th A
frica
East A
sia &
Pac
ific
Latin
Am
erica
& Car
ibbe
an
Sub-
Saha
ran
Afric
a0%
10%20%30%40%50%60%70%
63%
35%
10%
44%
16%
58%
Public Accountability Mechanism Sample,
as % of Region in world
26
Low Income (N=27)
Lower Middle Income (N=25)
Upper Middle Income (N=20)
High Income (N=16)
0%
5%
10%
15%
20%
25%
30%
35%
31%28%
23%
18%
Income Level by groups (WB Classifi-cation),
as % of Region in PAM sample
PAM Dataset income classifications
27
Library of laws
Contributors List
Country profiles & links
Descriptive
statistics
AGI data
Methodology
paper and
sources
Products available on PAM website
https://www.agidata.org/pam
28
Website features: Country Profiles
29
Website features: Descriptive Statistics