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. Trapnell May 19, 2011 THE WORLD BANK 1

Outline Actionable Governance Indicators (AGI) Freedom of Information Legal framework indicators Draft implementation indicators Annex: Public Accountability Mechanisms (PAM) 2

Measurement and Actionability Actionable Governance Indicators 3

Data: for whom? 4 PolicymakersAgencyCitizensOversight Committees Managers and examiners need productivity data to improve performance Policymakers need data on design features and capacities to make strategic decisions Citizens and Infomediaries (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.

What makes an AGI? Specific object of measurement: moving from governance concepts (transparency) to governance systems (access to information). Governance conceptsGovernance systems Corruption Rule of Law Social accountability Voice Access to Information Public financial management Oversight institutions Efficiency of courts Budgeting Financial disclosure 5

Actionability, i.e., establish link between actions and indicator values Integrate FOI-related objectives into agencys 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? 6

What do AGIs measure? Institutional Arrangements Organizational Capacities Governance system performance 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 7 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.

Utilizing Actionability 8 Determinants of performance: design + capacities Quality and productivity of performance Behavioral changes reflected in immediate impacts:

Freedom of Information Public Accountability Mechanisms, Legal Framework indicators 9

Freedom of Information AGIs Legal framework Categories 1. Legal framework 2. Coverage of information 3. Procedures for accessing information 4. Exemptions to disclosure requirements 5. Enforcement mechanism 6. Deadlines for release of information 7. Sanctions for non-compliance 8. Proactive disclosure (2012 only) 10

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 11

Draft as of May 19, 2011 Implementation Indicators 12

Timing of Data Collection Institutional Arrangements Organizational Capacities Governance system performance Baseline assessment every 2- 3 years Annual stocktaking Periodic evaluation (annually, quarterly, etc) 13

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 14

Measurement of FOI Systems Section 2. Implementation 2.1 Public awareness 2.2 Responsiveness 2.3 Appeals 2.4 Proactive disclosure 15

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? 16

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? 17

Formulating goals, considering impacts 18 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.

Considering immediate impacts D.1Public 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? 19

D.2Government 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 20

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

For more information please contact: Stephanie E. Trapnell, Francesca Recanatini, Thank you! 22

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. Public Accountability Mechanisms 23

5 areas of inquiry/ 2 stages Income and asset disclosure Freedom of information Conflict of interest Immunity protections Ethics training Legal framework (in law) Legal framework (in law) Implementation (in practice) Implementation (in practice) 24

PAM Dataset regional coverage 25

PAM Dataset income classifications 26

Library of laws Contributors List Country profiles & links Descriptive statistics AGI data Methodology paper and sources Products available on PAM website 27

Website features: Country Profiles 28

Website features: Descriptive Statistics 29