IMPLEMENTATION ASSESSMENT TOOL METHODOLOGY MANUALThe Carter Center began development of the access to information legislation Implementation Assessment Tool (IAT), which serves the dual purpose of diagnosing the extent to which the public administration is capacitated to respond to requests and to provide information, as well as providing an implementation roadmap for the government. The IAT is designed to assess the specific activities/inputs that the public administration has engaged – or in some cases failed to achieve – in furtherance of a well-implemented law. It is deliberately designed not to focus on the sufficiency of the legal framework, the user side of the equation, or the overall effectiveness of the access to information regime. The IAT is constructed to serve as an input for each public agency in which it is applied, and not as a comparative index across countries.The Carter Center will begin piloting the tool in selected countries, adapting the tool based on its initial application. The Center plans to complete the first series of pilots; utilizing Global Integrity's Indaba, an online platform for researchers; engage in a series of additional peer reviews; and make all necessary modifications to the tool in order to begin the final series of pilots. Ultimately, it is our hope that the IAT will serve to encourage and support stakeholders (government, civil society, scholars, donors, etc.) to be more effective at advancing the right of access to information.The Carter CenterTCC_a20ba368-8970-11e1-8f62-242071d0e070Ministries of FinanceMinistries of EducationMinistries of HealthMinistries of JusticeMinistries of AgricultureCustoms Agencies_a20ba66a-8970-11e1-8f62-242071d0e070This document is a draft instructional manual meant to provide a better understanding of the tool’s antecedents and methodology and will be modified from the knowledge gained through the different pilots._a20ba746-8970-11e1-8f62-242071d0e070BenchmarksEstablish a comprehensive set of access to information implementation benchmarks_a20ba7f0-8970-11e1-8f62-242071d0e0701Functions -- All access to information regimes rely on the public agencies’ capacity to fulfill three main functions: 1) receiving and responding to requests; 2) automatically publishing certain information; and 3) records management. There are a number of initiatives/efforts that are specific to these functions, such as creating storage for archives, while others apply to more than one of these functions. For those initiatives/efforts that apply more broadly, for example the designation of an information officer, we have created the category “cross-cutting functions.”RequestsReceive and respond to requests _a20ba8a4-8970-11e1-8f62-242071d0e0701.1PublicationAutomatically publish information _a20ba962-8970-11e1-8f62-242071d0e0701.2Records ManagementManage records_a20baa34-8970-11e1-8f62-242071d0e0701.3Cross-Cutting Functions_a20bab60-8970-11e1-8f62-242071d0e0701.4ImplementationIdentify the extent to which a Ministry/agency has implemented its law_a20bac28-8970-11e1-8f62-242071d0e0702Components -- There are a number of verifiable components that government needs to have in order to successfully implement a comprehensive access to information law. These elements are assessed by a set of indicators which can be observed through different data-points or sources of information. The following elements are the bone and marrow of successful access to information implementation:LeadershipEngage high level leadership in the development and oversight of implementation_a20bacfa-8970-11e1-8f62-242071d0e0702.iHigh-Level LeadershipEngagement of high level leadership in the development and oversight of implementation is critical for its overall success. Motivated leaders committed to the implementation of the access to information legislation will assure that necessary policies and procedures are in place, systems developed and resources applied.RulesLay out the way in which public officials will handle their various access to information regime functions._a20badfe-8970-11e1-8f62-242071d0e0702.iiPublic OfficialsRules serve to ordain or lay out the way in which public officials will handle their various access to information regime functions. They may provide binding instructions, mandated actions, or standard operating procedures to advance implementation of the access to information law. Rules in themselves require a process of drafting and ordinance and imply both a negative and a positive concept: negative in the sense that it prevents failure or negligence from taking place, and a positive one, because it provides an orientation and clear guidance.SystemsApply of rules and procedures._a20baeda-8970-11e1-8f62-242071d0e0702.iiiSystems are the processes, both formal and informal, by which an agency functions. They are a crucial component when talking about improving access to information implementation because they determine the way the agency acts and reacts on every action or aspect related to ATI. Systems are the application of rules and procedures.ResourcesAcquire or specially allocate resources in order to ensure ATI implementation._a20bafc0-8970-11e1-8f62-242071d0e0702.ivTrained PersonnelResponsible OfficersIt is no secret to anyone that implementing access to information legislation requires considerable resources: human, financial and infrastructure. These resources are often found within government’s pre-existing structure, but in some cases they need to be acquired or specially allocated in order to ensure ATI implementation. Trained personnel, infrastructure, technology and responsible officers are some of the resources that an agency needs to fully and effectively implement access to information legislation.MonitoringMonitor access to information functions._a20bb0b0-8970-11e1-8f62-242071d0e0702.vMonitoring the agency’s access to information functions is a critical, but often overlooked, component of the access to information implementation plumbing. Monitoring allows agencies to identify advances and deficits and to make necessary modifications or corrections. Moreover, monitoring also provides leaders with the necessary information to make better decisions pertaining to the establishment of rules, the allocation of resources and the system adjustments required to improve the implementation of the access to information legislation.RoadmapProvide a roadmap for improvements_a20bb1aa-8970-11e1-8f62-242071d0e0703Key Elements -- This section describes some of the key elements, identified through years of experience and through expert consultation, necessary for supporting successful implementation. When properly combined these elements provide government with the necessary capacity to successfully perform all access to information duties and obligations.ATI Policies, Regulations and Rules/GuidelinesSet policies, regulations, and guidelines._a20bb2ae-8970-11e1-8f62-242071d0e0703.iEvery public agency establishes its goals and prioritizes its objectives regarding specific issues by setting what is defined as policies. Those policies are different from what one will call regulations, which provide the procedures to operate within the scope of action dictated by the legal system for the public administration. On a different level, one can also find a set of rules or guidelines that are created within each agency to orientate pubic officials on specific programmatic action. When developing the indicators and for the purpose of avoiding any confusion, we use the following definitions: * Policy: Formal statement of intention establishing goals and priorities. * Regulations: Formal set of binding operating procedures. * Rules/Guidelines: Specific written set of criteria to guide public officials on programmatic action. For example, the Ministry of Housing might have a policy to provide the public with online and in site access to complete information pertaining to all housing projects being developed in the country. To comply with this policy, the Ministry will develop binding regulations, including regulations on how often they will post information on the projects, means for providing the information, and costs for accessing the information. But in order for the public official to apply these regulations, detailed guidelines and procedures will need to be developed, such as the need to track requests, how request may be made, and how to collect fees.Implementation PlanProvide a roadmap and work frame for each agency to address all issues pertaining to the fulfillment of access to information duties and obligations._a20bb3c6-8970-11e1-8f62-242071d0e0703.iiThe implementation plan serves as a general management tool on access to information and is designed to assist agencies in detailing necessary activities/efforts, identifying responsible persons and setting timelines. The implementation plan provides a roadmap and work frame for each agency to address all issues pertaining to the fulfillment of access to information duties and obligations. Implementation plans vary from agency to agency and from government to government, but they are intended to be derailed and yet flexible; reflecting the degree of complexity and/or sensitivity associated with the particularities of access to information regimes.Designated Information Officer and Human ResourcesFormally designate an experienced information officer and provide the necessary human and physical resources._a20bb4e8-8970-11e1-8f62-242071d0e0703.iiiDesignated Information Officer (DIO)The designated information officer (DIO) promotes good access to information practices amongst public officials and is responsible for overseeing the application of the access to information law in each public agency. Although not all access to information laws provide for a formal designated information officer, the DIO is recognized in the IAT as a best practice. It is not necessary that this be the public officer’s only responsibility, but some official should be clearly identified as the responsible agent. Formally designating an experienced information officer is of the outmost importance, as it promotes accountability and a liaison for the public. To be able to fulfill all responsibilities pertaining to the job, the DIO needs to be provided with the necessary human and physical resources, which will vary depending on the needs of the Ministry/agency.Capacity BuildingConduct training for all personnel with access to information responsibilities, improve infrastructure, and monitor performance._a20bb60a-8970-11e1-8f62-242071d0e0703.ivIn order to increase the public administration’s capacity to receive and respond to requests for information, to proactively disclose information to the public and to manage and protect all public records, each ministry or agency needs to conduct trainings for all personnel with access to information responsibilities, as well as improve its infrastructure and monitor its performance to allow for improvements in all related processes.BudgetEnsure that costs associated with meeting access to information obligations are covered within the agency’s annual budget._a20bb75e-8970-11e1-8f62-242071d0e0703.vAccess to information legislation represents a considerable cost for government, as it demands personnel, resources and actions in order to properly fulfill all ATI obligations and duties. Every agency needs to assess its specific budgetary needs to fulfill all ATI obligations and duties determining the cost of personnel, infrastructure, equipment, training, internal and external awareness raising campaigns, etc. Such allocation needs to be done systematically in order to ensure that all costs and amounts associated with meeting access to information obligations are covered within the agency’s annual budget.Infrastructure[Provide] physical assets that allow the agency to fully perform its work [with respect to] access to information._a20bb89e-8970-11e1-8f62-242071d0e0703.viIn an age of technology the benefits of systems in handling information is undisputed, as they allow for central access, easy backup, central distribution of information, easy record-keeping, easy cost tracking and budgetary allocation, as well as better customer trait identification. They also decrease the chances of losing information and help balance the risk of human mistakes or negligence. They provide space for effective planning, which helps minimize other problems by allowing public officials to think ahead about how to address access to information challenges and allow for changes to be made in order to improve record management. Infrastructure represents other physical assets that allow the agency to fully perform its work, which in terms of access to information, demands physical space for receiving and responding to requests, record keeping facilities, archives, equipment, etc.DisseminationGenerate general awareness among public officials and within its society of the right of access to information._a20bb9e8-8970-11e1-8f62-242071d0e0703.viiPublic OfficialsSocietyInternal and external dissemination -- Access to information is not only about fulfilling requests for information, but more importantly it implies an effort on the part of government to generate general awareness among public officials and within its society of the right of access to information. There are two types of awareness raising campaigns that need to be developed for improving access to information implementation: 1) Internal dissemination, which focuses on making sure that all public officials are aware of their obligations and duties derived from the access to information legislation; and 2) External awareness raising campaign focusing on the public.ScholarshipContribute to scholarship on implementation and to the understanding of implementation successes and challenges_a20bbb78-8970-11e1-8f62-242071d0e0704_a20bbce0-8970-11e1-8f62-242071d0e0702012-04-18http://www.cartercenter.org/resources/pdfs/peace/americas/IAT/IAT-methodology-manual.pdfOwenAmburOwen.Ambur@verizon.net