he application of the Carter Center’s access by providing specific recommendations for the to information legislation Implementation public entities in which the methodology was Assessment Tool (IAT) would not have applied. been possible without the efforts of many The Carter Center is most grateful to the talented and dedicated individuals. The research government counterparts. We would like to thank team in Paraguay was led by Ezequiel Santagada. Lea Gimenez, Minister of Finance; and José Molinas, Mr. Santagada, a well-known expert on freedom of Minister of Planning for Economic and Social information in Paraguay, conducted the interviews, Development. We also thank Elida Acosta, Director input the indicators into the Indaba platform, an of Access to Public Information (Ministry of Justice). online system for data collection and management, We are grateful to the National Transparency and facilitated the focal group meeting in July 2017. Team—Equipo Nacional de Transparencia—to Jose Maria Costa engaged as the blind-peer María del Carmen Benítez, Director for Anticorrup- reviewer, helping to validate each of the findings tion (Ministry of Finance); and Federico Sosa, and to ensure accuracy. The knowledge and Director General of Open Government (Ministry of expertise of the researcher and reviewer helped to Planning for Economic and Social Development), for assure the reliability and completeness of the IAT their encouragement and facilitation of the findings. application of the indicators and their ongoing Laura Neuman, director of the Carter Center’s commitment to advance implementation of the right Global Access to Information Program, is to information. responsible for developing the IAT methodology We thank the many public servants who met with and indicators, reviewing the indicators and the researcher and the civil society leaders who findings for accuracy and coherence, and drafting/ participated in the focal group review. Their editing this report. The Carter Center is privileged to enthusiasm for a meaningful right of access to have committed staff who worked to finalize the information is inspiring. IAT and assure its successful application in We would also like to acknowledge the Paraguay, including program assistant Elizabeth participants to the workshop on “Transparency and McGlamry, who provided the layout for the report Access to Public Information to Strengthen the and assisted with administrative and logistical Development Agenda” organized by the aspects. Government of Paraguay, with the support from the This Country Report was funded under the World Bank and the Global Initiative for Fiscal World Bank’s Programmatic Advisory Services for Transparency (GIFT), that took place on June 1-2, Strengthening Transparency Systems to Improve 2017 in Asunción, Paraguay. The discussion and Accountability in Paraguay’s Public Administration. exchanges held during the workshop were useful to The findings of this assessment tool are expected to improve the quality of the analysis and to finalize support the development of recommendations to the assessment. move this agenda forward in Paraguay. The The Carter Center is grateful to The World Bank Paraguay IAT report, therefore, is somewhat for the technical and financial support, as well as for different to other country reports in the IAT series, serving as the interlocutor with the government of Paraguay. The Bank’s team was led by Marco Larizza, Senior Public Sector Specialist and included Daniela Felcman, Public Sector Specialist; Eduardo Estrada, Governance Specialist; Silvana Kostenbaum, Public Sector Specialist; Laura Aguirre, Research Analyst; and Alina Koenig, Consultant. As well, we note the distinguished group of peer reviewers who provided comments on the draft report, which included Patricia Miranda, Senior Counsel in The World Bank; Saki Kumagai, Governance Specialist in The World Bank; and Juan Pablo Guerrero, Network Director of the Global Initiative for Fiscal Transparency. The findings of the IAT serve to demonstrate areas of progress in addition to identifying where implementation has been lagging. We are hopeful that these findings assist to focus efforts and resources to ensure full and effective implementation, thus advancing the opportunities of the citizens of Paraguay to enjoy the myriad benefits of the right of access to information. The findings, interpretations, and conclusions expressed herein are those of the authors, and do not necessarily reflect the views of The World Bank or the Government of Paraguay. The Carter Center remains responsible for any errors or omissions. expectations. Notably, in the short term, putting access to information laws into effect may even lead to a decrease in confidence in governments and in he right of access to information is a the increased perception of corruption by citizens powerful tool in the fight against as previously hidden information finally comes to corruption and in achieving good light. Likewise, unintended consequences, contrary governance and development. It serves to the spirit of the reforms of access to public both government and its citizens by increasing information, may appear when such confidence, through enhanced transparency and transformations touch interests that struggle to accountability. It supports government to improve maintain the status quo, causing changes in the public administration efficiencies and effectiveness behavior of the actors (such as avoiding registering and to be more responsive to citizen needs. some decisions by fear of being made public). In the Moreover, increased information enables citizens to medium and long term, the evidence shows that participate more fully in public life, understand the implementation of the laws of right of access to policies, and help determine priorities. Citizens also public information is often accompanied by can use information to exercise their fundamental challenges that hinder the realization of the human rights and to hold their government expected benefits. Even some of the oldest and accountable for responding to their needs and most effective regimes encounter serious obstacles providing high-quality service delivery. at some point in their implementation. The laws that regulate the right of access to Access to Information reforms are generally long public information have existed for some years, -term processes and require time, resources, and with a significant increase in the number of laws on political support for their implementation. These access to public information beginning in the institutional reforms go beyond a single mid-1990s, from 19 laws in 1995 to 111 in 2016. administration and are accompanied by a process Rapid increase in the approval of laws on access to of profound cultural and social change within the public information has been due to a series of countries. Therefore, it is not unusual that, in the factors, including an evolution in the concept of initial stages of implementation, as is the case in transparency, pressure of international Paraguay, governments will face challenges in the non-governmental organizations and actors, fine-tuning of processes and procedures, and in mobilization of civil society, and political their performance, as reflected in the diagnostic transitions. The evolution of information and tools’ findings. communication technologies also has had a significant influence as it amplified he ability to process and share information, thus increasing the availability of information in the hands of citizens Since 1999, The Carter Center has been a leader on and expectations about their rights to access the issue of passage, implementation, government information. enforcement, and use of access to information Implementation of access to information laws, regimes. The Center has observed the difficulties however, remains critical to meeting these citizen that governments face in fully and effectively implementing access to information laws and the and with the support of the Ministry of Justice, the negative consequences that a lack of norms and agencies were to develop necessary regulations and standardized measures for evaluating their efforts tools, particularly technological, to make the law has had on progress. The Carter Center operational. Paraguay’s public administration has hypothesized that without suitable implementation continued efforts to implement and operationalize there would not be satisfactory compliance, thus this relatively new law. limiting the benefits of the right to information. Most recently, the Government of Paraguay, To advan ce govern men ts’ eff ective with the support of the World Bank and other implementation of access to information laws, the international cooperation actors, has proposed to Carter Center’s Global Access to Information move forward with transparency and accountabil- Program developed and piloted the access to ity reforms, including Open Data and Access to information legislation Implementation Assessment Information. Assessments were undertaken and Tool (IAT). The IAT is the first diagnostic tool of its reports prepared with the intent to provide insights kind to assess the specific activities/inputs that the into the current state of transparency and access to public administration has engaged—or in some information and to serve as a roadmap for cases failed to achieve—in furtherance of a well- improvement and progress. In collaboration with implemented law. It is deliberately designed not to the National Transparency Team (an focus on the sufficiency of the legal framework, the inter-governmental body under the leadership of user side of the equation, or the overall effective- the Ministry of Finance) and the World Bank, The ness of the access to information regime, instead it Carter Center was engaged to apply the access to looks at the internal “plumbing” of the administra- information Implementation Assessment Tool in tion’s implementation. eight public authorities: The IAT is not an overall evaluation of the current public administration of Paraguay or of the • Ministry of Education previous ones, but seeks to identify spaces where • Ministry of Finance the implementation of the access to information law • Ministry of Health can be improved. The objective of the IAT is to • Ministry of Justice analyze each public administrative entity • Municipality of Encarnación individually, rather than the government in gen- • Municipality of Luque eral, with the objective of providing key stakehold- • National Electricity Administration ers with the necessary information to easily identify • Sanitation Services Enterprise of Paraguay the scope and quality of the law’s implementation. It then identifies areas where additional emphasis or modified approaches are needed, such that the The objectives of the Implementation Assessment public administration can overcome the challenges Tool are to: and make positive advances in its implementation efforts. Moreover, the IAT is not intended to be 1. Establish a comprehensive set of access to used as a comparison instrument/index with other information implementation benchmarks; countries. 2. Identify the extent (and in some cases the In September 2014, Paraguay became the 100th quality) to which a ministry/agency has country in the world to have an access to implemented its law; information law, and a year later in 2015, the law 3. Provide a roadmap for improvements, went into full effect. Over the course of that year, based on the tool’s findings; and agencies in Paraguay, the right to information often 4. C on t ri b ut e to sch ol a rsh ip on has been prioritized through strong leadership, by implementation and to the understanding the inclusion of the value of transparency and access of implementation successes and to information in their strategic plans, and by challenges. naming an officer in charge of access to information The IAT uses a series of indicators to assess the duties. The eight agencies largely have adopted the extent to which the agency is capacitated and general policies and guidelines issued by the prepared to provide information and respond to Ministry of Justice, and the online Unified Public requests, proactively disclose information, and Information Portal (Portal) for making and assure quality records management. The tool is responding to requests. designed as a matrix, with indicators related to Nevertheless, monitoring of implementation government functions/responsibilities on the x-axis efforts, which is critical for improvements, as well as and baskets of components/elements, such as for proper reporting on progress, is still an area of leadership, rules, systems, resources and monitoring weakness in all of the agencies studied. Moreover, on the y-axis. there is identified a need for additional investment in The indicators engage both quantitative and capacity building. Most of the information officers qualitative assessments of the comprehensiveness have received basic awareness-raising, but it is and quality of a ministries’/agencies’ access to necessary to supplement it with specialized training information implementation. The IAT uses a to properly discharge their responsibilities, and the "stoplight method" for scoring, including green, remainder of the agency officials are largely unaware yellow, red, and black and white stripes for those of the law’s mandates. Regarding the proactive rare cases in which the indicator is not applicable. disclosure element, it could benefit from Local access to information experts are utilized as improvements in its implementation; and most of the the researchers and blind peer reviewers. The agencies lacked proper records management policies researcher collects data through desk research, on and practices. -site visits, and interviews and then inputs it into Based on the work of the researcher, the Indaba, an online software platform that allows The comments from the civil society representatives Carter Center to review the data and sources. The during the focal group, priorities identified by the data is then reviewed by a blind-peer reviewer and, assessed agencies, and the Center’s international subsequently, the preliminary findings are validated experience, in addition to the specific agency through focal group review and, finally, by the recommendations, the following represents our key agencies themselves. In addition to quantitative findings and general recommendations. data, narrative reports are drafted that provide supplementary qualitative information and 1. Th e successf ul implemen tation and accompanying explanations for the measurements. operationalization of an access to information law requires not only political will, but also suffi- cient resources. It is imperative that the Para- guayan State and public institutions allocate, in practice, the resources necessary to implement Through the application of the IAT in Paraguay, one the provisions established in the Access to Public can know whether the agencies have made Information law. important progress in implementing and 2. As neither Law 5282/14 nor its Regulatory De- operationalizing the law. In the case of the assessed cree 4064/15 contain legal provisions related to records management, it is essential to develop information requests, but to proactively disclose and disseminate such rules as soon as possible information, and to facilitate the Ministry of and to begin development of a more modern Justice’s monitoring functions. records management system. 3. It is fundamental and a priority to strengthen the As expected, while there are some consistent areas of Ministry of Justice’s Directorate of Access to progress among the agencies and subnational Information. governments assessed, there also are several 4. It is essential for public agencies to develop and variations with regard to the challenges and formalize internal procedures. Law 5282/14 and potential matters for consideration and Decree 4064/15 establishes the basic rights, advancement. This report concludes with several obligations, procedures for the citizen requests, short and medium-term recommendations for each and deadlines. However, each institution should agency. design specific procedures that inform and Nearly two years since the Access to Public support implementation and operationalization Information and Transparency Law took effect in of that law within their agency. Paraguay, clear advances across all eight ministries 5. Awareness of the principles of the right of access and agencies assessed are observable, however, to information and the means by which to important steps remain to assure the effective exercise the right is critical both internally within implementation of the access to public information the agency as well as externally for the public. law. Through successfully implementing the access While a general campaign, led by the Ministry of to information and transparency law, Paraguay’s Justice, would be beneficial in raising general public administration will benefit from increased awareness, each agency also should undertake efficiencies and citizen trust, and the people of internal and public awareness activities. Paraguay will be able to more fully exercise their 6. Sufficient training and support should be fundamental right of access to information. provided to the professionals responsible for receiving and responding to requests, proactive disclosure, and records management. 7. Both the work of the access to information offices and operationalization efforts should be analyzed and evaluated annually. Moreover, the development and disclosure of complete annual reports with statistics related to receiving and responding to requests is recommended. Good practice shows that sharing these annual reports with the public allows citizen’s to better gauge the agency’s advancements and to advocate for any necessary changes. 8. Noting that the implementation and operationalization of the access to information law depends largely on the online portal administered by the National Secretariat of Information and Communication Technologies (SENATICs), it is important that measures are adopted for an adequate and continual maintenance of the Portal, not only to process he right of access to information is a non-governmental organizations and actors has powerful tool in the fight against played an important role in the expansion of this corruption and in achieving good type of legislation.2 For example, in Latin America, governance and development goals. It the Organization of American States (OAS) has serves both government and its citizens by supported the development and adoption of laws on increasing citizen confidence as governments the right of access to public information in the become more transparent and accountable. It countries of the region. On the other hand, the enables citizens to participate more fully in public growth of information and communication life, understand public policies, and help determine technologies also has had a significant influence on public priorities. Citizens also can use the the progress of this agenda. The ability to process information to exercise their fundamental human and share information massively has increased the rights and to hold their government accountable for availability of information in the hands of citizens as responding to their needs and providing well as heightening their expectations about their high-quality service delivery. rights to access government information. Finally, The advent of laws regulating the right of access other internal factors, such as pressure from civil to public information has existed for many years. society groups or political transitions, have Between 1766 (when the first law on access to prompted countries to move forward in the information recognized as such was approved in approval of these laws.3 Sweden) and 1983, ten countries passed laws on However, in the short term, the implementation access to public information (beyond Sweden, of access to information regimes may face some including Finland, the United States, Norway, challenges, and even lead to an increase in the lack Denmark, Holland, France, New Zealand, Australia of trust in governments and in the perception of and Canada). In Latin America, for its part, corruption by citizens as previously hidden Colombia was the first country to adopt the right of information finally comes to light. For example, in access to public information, more than 30 years India, a series of high profile corruption scandals ago, in 1985. After that first wave of legislation, as of that were exposed through requests for access to the mid-1990s, there was a significant increase in the public information and widely publicized in the number of laws on access to public information media created a strong perception of corruption in globally, going from 19 laws in 1995 to 111 in 2016.1 the government. 4 Moreover, unintended A number of factors may account for this rapid consequences, contrary to the spirit of the reforms of increase in the passage of laws for access to public access to public information, may appear when information. Along with the evolution of the concept these transformations touch interests that struggle to of transparency as a critical element of good maintain the status quo, causing changes in the governance, pressure from international 1 http://www.rti-rating.org/country-data/ 3 Lemieux, Victoria and Stephanie Trapnell. 2016. Public access to information 2 Dokeniya,Anupama. 2013. Implementing Right to Information: Lessons for development: a guide to effective implementation of right to information from Experience. World Bank, Washington, DC. https:// laws. Directions in Development. World Bank Group. Washington, D.C. openknowledge.worldbank.org/handle/10986/16520 http://documents.worldbank.org/curated/en/983941467996646873/Public- access-to-information-for-development-a-guide-to-effective-implementation-of -right-to-information-laws 4 Dokeniya, Anupama. 2013. 5 https://opendatastudy.files.wordpress.com/2014/08/worthy-and-hazell-foi- in-the-uk.pdf behavior of the actors (such as avoiding registering some decisions for fear of making them public).5 Also in the medium and long term, the evidence shows that the implementation of right of access to public information laws is often accompanied by challenges that hinder the realization of the expected benefits. Even some of the oldest and most effective regimes face obstacles at some point in their implementation, as analyzed in a case study of several countries conducted by the World Bank. For example, in the United States, a country with a law that is more than 60 years old, the legislation continues to evolve and is revised approximately every 10 years and, although its system is considered functional, there remain a number of weaknesses, such as responding to requests and the appeals mechanisms. Other systems, such as Mexico, the United Kingdom, and India, are considered strong and yet still present challenges in their implementation: India faces difficulties due to the low capacities of the public sector; the United Kingdom has suffered strong opposition to the regime from political officials; and Mexico has recently experienced threats to the robustness of its Although more than 5 billion people around the system.6,7 globe are afforded some statutory rights to Access to information reforms are long-term information; many of these countries are failing to processes and require time, resources, and political fully implement their access to information laws, and support for their implementation. These institutional there remains a dearth of information about the reforms go beyond a single administration and often extent and quality of legislative implementation. must be accompanied by a process of profound Notably, there are few evaluative tools by which to cultural and social change within the countries. measure implementation progress. With an Therefore, it not unusual that in the initial stages of insufficient focus on implementation, the community implementation, as in the case of Paraguay, of practice is failing to adequately identify and governments will face challenges in the fine-tuning analyze the structures and procedures that produce of processes and procedures, which is reflected in the successful transparency regimes; governments lack performance in this diagnostic instruments’ findings. the necessary diagnostic information to improve their practices to meet citizen demands and promote 6 Lemieux, Victoria and Stephanie Trapnell. 2016. Public access to information greater transparency and accountability. for development: a guide to effective implementation of right to information laws. Directions in Development. World Bank Group. Washington, D.C. Since 1999, The Carter Center has been http://documents.worldbank.org/curated/en/983941467996646873/Public- supporting the passage, implementation, access-to-information-for-development-a-guide-to-effective-implementation- of-right-to-information-laws enforcement, and use of access to information 7 http://rendiciondecuentas.org.mx/demoler-al-ifai/ regimes. The Center has witnessed firsthand the difficulties that governments face in fully and community of practice. Since finalizing the IAT effectively implementing access to information laws methodology and indicators, it has been used in a and the negative effects of a lack of standardized number of additional countries to assess agencies at measures for developing implementation plans and the national level and now, for the first time with the evaluating their efforts. To fill this gap, the Carter Paraguay assessment, at the sub-national level. Center’s Global Access to Information Program The objectives of the access to information developed and piloted the access to information legislation Implementation Assessment Tool are to: legislation Implementation Assessment Tool (IAT). The IAT is the first diagnostic tool of its kind to • Establish a comprehensive set of access to assess the specific activities/inputs that the public information implementation benchmarks. administration has engaged—or in some cases failed • Identify the extent (and in some cases the to achieve—in furtherance of a well-implemented quality) to which a ministry/agency has law. The diagnostic tool is deliberately designed not implemented its law. to focus on the sufficiency of the legal framework, • Provide a roadmap for improvements, based the user side of the equation, or the overall on the tool’s findings. effectiveness of the access to information regime, • Contribute to scholarship on implementation instead it looks at the internal “plumbing” of the and to the understanding of implementation administration’s implementation. The IAT does not successes and challenges. serve as a comparative index across countries, but rather is constructed as an input for each public The hypothesis underpinning the IAT is that if agency in which it is applied. Moreover, the findings there is a relatively well drafted access to information of the IAT provide a more surgical tool for civil law that meets existing international norms and there society to monitor government’s implementation is effective implementation of the statute, then practice and progress. The tool’s framing question is compliance will be improved. While governments "To what extent is the agency capacitated and and civil society organizations have made important prepared to provide information and respond to efforts to review access to information laws, requests?" including the Global Right to Information Rating and Beginning in 2009/2010, The Carter Center's studies to test government compliance with its access Global Access to Information Program developed the to information law exist, there have been very few IAT methodology, including a set of indicators and a attempts to fully consider and quantify agency scoring system. Over the course of almost four years, implementation. In other words, while studies have the IAT was tested in three pilot phases in 11 focused on the outcome of implementation, i.e. countries (Mexico, South Africa, Bangladesh, Chile, whether people can receive the information Indonesia, Uganda, Scotland, Jordan, Georgia, requested consistent with the statutory provisions Guatemala, and the United States) and 65 agencies. and proactive disclosure that meets the legislated These pilot phases consisted of application and mandate, the review of the inputs has been missing. review of more than 8,000 indicators. Each pilot The IAT is not an overall evaluation of the current phase concluded with a review meeting of the public administration of Paraguay or of the previous researchers as well as a number of blind peer ones, but rather an assessment that seeks to identify reviewers, government representatives, and access to spaces where the implementation of the law on information experts. The final piloting concluded in access to information can be improved. Experience April 2014, and the IAT was shared with the has demonstrated that governments are not monolithic and that not all parts of government are The findings from the assessment are not as successful (or unsuccessful) as others. Thus, it is intended to be used as a comparison instrument misleading to characterize a government as with other countries. For the IAT to meet its stated succeeding or failing in implementation. The IAT goals and to be accepted and used by targets assessments to individual public governments—a critical outcome as they are the administrative bodies rather than to the government primary data source and the main target audience— as a whole. The Carter Center’s IAT focuses exclu- the Center chose not to develop the findings as an sively on the central theme of government’s efforts index or ranking of countries. Our methodologies toward implementation —the “plumbing”— were established with this philosophy in mind. providing critical data and knowledge as well as spurring additional areas for research. The IAT looks at “the boring bits,”8 the ingredients necessary to ensure the effectiveness of implementation and the desired outcomes. The findings from the assessment provide key stakeholders the data necessary to easily identify the extent and quality of access to information implementation in each government agency. It also signals places where there is a need for additional input or focus, so that the public administration may overcome challenges and positively advance their implementation efforts. 8Professor Alan Doig coined this term in his paper “Getting the Boring Bits Right First” when discussing capacity building for anti-corruption agencies. he IAT is intended to assess the specific properly managing information, adequately activities/inputs that the public handling requests for information, and efficiently administration has engaged in furtherance making information available to the public. These of a well-implemented access to information functions and elements serve as the framework for regime. A series of indicators is used to assess the the IAT. extent to which the agency is capacitated and prepared to provide information and respond to requests, proactively disclose information, and assure quality records management. Because the IAT All access to information regimes rely on the public is not designed to measure outputs/compliance, its agencies’ capacity to fulfill three main functions: methodology does not include the systematic filling 1) receiving and responding to requests, of requests for information. However, the IAT 2) proactively disclosing certain information, and findings are validated and the user’s perspective of 3) managing records. There are a number of the implementation of the right of access to initiatives/efforts specific to these functions, while information is taken into consideration through a others apply to more than one of the functions. For focal group. those actions that apply more broadly—for example, Moreover, the IAT is constructed as an instrument the designation of a responsible officer or the to be carried out in collaboration with the public agency’s strategic plan—we created the category authorities, and its success does not depend on the “fundamental functions.” public agency or its staff being blinded to its application. On the contrary, it is crucial for the relevant government agencies to be receptive to the tool’s application and participate in the assessment To successfully implement an access to information process, as gathering many of the key data points law, public agencies need to fulfill several verifiable requires interviews and access to documents and components. These components are assessed by a set information in the ministries’/ agencies’ possession. of indicators that can be observed through different The scoring, however, is determined solely by the data points or sources of information. The researcher and blind peer reviewer, in consultation components are the bone and marrow of access to with and oversight from The Carter Center. information implementation, and include leadership, rules, procedures, resources, and monitoring. The IAT is designed as a matrix, with indicators related to government functions/responsibilities on The key elements are those actions that have been the x-axis and baskets of components/elements on identified as necessary for supporting successful the y-axis. Regardless of the type of information an implementation, and each element is accompanied agency possesses, there are universal components by an indicator. When properly combined, these that allow public officials to fulfill their functions of elements provide government with the capacity to The stoplight colors signify the following: • Green: The administration has done well and has met the defined good practice. • Yellow: There has been some activity/ engagement, but the administration does not meet the defined good practice. • Red: The administration has either not engaged or done very little to advance on this part of its implementation. • Black and white stripes: For those rare cases where the indicator is not applicable. successfully perform all access to information duties and obligations. The elements that comprise the Data are acquired through desk research, on-site assessment, among others, include whether the visits, and interviews and then input into Indaba, an agency has established, reviewed, and revised access online software platform that allows The Carter to information policies and guidelines; the issuance Center to manage the researchers and review the of plans/instructions for the implementation and inputs. Over the course of two months, the local institutionalization of the access to information researcher collects both quantitative and qualitative regime; the identification of responsible officers for data from the agencies. Interviews are conducted overseeing the application of the law; sufficient with key personnel of each assessed agency. For training and capacity-building; determination of example, a person with responsibility over policy, necessary financial resources; infrastructure; the information officer, and the records manager awareness-raising within the agency and for the may be interviewed to collect all the necessary data public; and monitoring. for the various indicators. In the case of Paraguay, the local researcher collected data over the period of April and May of 2017. After the data is initially reviewed by the Carter Center for accuracy and completeness, it is sent to a blind peer reviewer. Finally, following the Carter The IAT indicators engage both quantitative and Center analysis of the data, the preliminary findings qualitative assessments of the comprehensiveness are validated through focal group review and by and quality of a ministries’/agencies’ access to representatives of the assessed agencies. In addition information implementation. The indicators are to quantitative and qualitative data, a series of scored on a "stoplight method," with a scale that narrative reports provides supplementary includes green, yellow, red, and black and white information and accompanying explanations for the stripes. In using the stoplight method, the extent and measurements. quality of implementation is easily displayed, while dissuading the potential for indexing/ranking countries. Initially, the potential for assessing only national level executive branch ministries was discussed. The IAT utilizes two types of indicators: 1) However, with the support and encouragement of self-reporting indicators that are addressed through the ENT and the World Bank, it was agreed to an interview (questionnaire) with the head of the include state-owned enterprises and subnational agency/ministry, general director, public officials governments. As with the earlier pilot phase criteria, tasked to oversee access to information functions and the ministries and agencies assessed were chosen duties, or other relevant public officers;9 and 2) docu- based on the relevance of the information they hold, ment-based indicators that require desk research or their importance to the citizens of Paraguay, the onsite verification of different documents and/or institutional role in supporting access to information, sources of information. While the IAT has tried to as well as their willingness to participate in this limit the number of questions that rely solely on exercise. For example, the Ministry of Justice, which interviews, as they have the greatest potential for served as one of the agencies assessed, is responsible bias, in practice the researchers often use interviews for supporting the implementation of the access to (sometimes coupled with secondary data) as their information law and the Ministry of Finance plays a primary data source. role in assuring sufficient resources for institutionalizing the right of access to information. In addition to key government ministries and agencies, and for the first time, subnational The Government of Paraguay is determined to governments were included in the assessment. Local undergo a package of reforms related to Open Data governments, such as municipalities, often hold and Access to Information. With the support from information that it is even more important for the World Bank, there is progress on reports on the citizens, and they are the government entities closest state of transparency and accountability in the to the citizens. The municipalities selected to be country that will serve as a roadmap for assessed were chosen based on their population size, improvement and progress. These efforts are existing efforts to advance implementation of the complementary to the implementation of Paraguay’s access to information law, and willingness to engage Open Government Partnership’s third National in this project. Action Plan, which included a commitment to Ultimately, the ministries, agencies, and “perform activities that promote, disseminate and municipalities selected for this initial exercise facilitate the exercise of the right of access to included: information law and open government with civil society and public officials,” including full and • Ministry of Education effective implementation of the law. In this context, • Ministry of Finance and in collaboration with the National Transparency • Ministry of Health Team (ENT), an inter-governmental body under the • Ministry of Justice leadership of the Ministry of Finance, and the World • Municipality of Encarnación Bank, The Carter Center was engaged to apply the • Municipality of Luque access to information implementation assessment • National Electricity Administration tool to a sample of eight public authorities. • Sanitation Services Enterprise of Paraguay Following the selection of the agencies and municipalities to be assessed, the Ministry of Finance 9As these indicators have the greatest potential for bias, we have limited their use in the IAT, and they will rarely serve as the preferred data point. and the ENT sent a formal letter requesting their engagement with the IAT. The local researcher was then in contact with the relevant agency personnel to schedule a site visit and interview. At the conclusion of the assessment, as discussed in further detail below, the preliminary findings were validated by a group of civil society representatives with experience seeking public information. The participants of the focal group were selected by the local researcher with approval by the Carter Center. The focal group reviewed the findings and was asked to consider whether these results were consistent with their realities as the demand-side/users of the access to information law. On May 31, 2017, The Carter Center presented the assessment findings to key representatives of the eight assessed agencies and municipalities to gather their comments on the validity of the findings and recommendations for priority actions. Finally, from June 1-2, the IAT findings were shared with the ENT, the Ministry of Finance, and other relevant agencies at a workshop organized by the Government of Paraguay with the support from the World Bank and the Global Initiative for Fiscal Transparency (GIFT). promote the approval of the law, as a result of opposing demonstrations by some sectors of the local press. fter 35 years of authoritarian rule, in 1989, In 2007, the Institute of Law and Economics General Alfredo Stroessner’s regime was (IDEA), one of the organizations that comprised the toppled. He was succeeded by General GIAI, began to use strategic litigation to lay the legal Andrés Rodríguez, who had been groundwork for a future law on access to politically close to the previous dictator and part of information. In all cases that went to the courts, his trusted circle. Nevertheless, the period of IDEA invoked the doctrine of the Claude Reyes vs. Rodriguez’s presidency was characterized as a time Chile case, whereby the Inter-American Court of of expansion of broad civil liberties. A new Human Rights had ruled that persons have a Constitution was promulgated and ratified in 1992, fundamental right to public information and that a whose article 28 recognizes "the right of persons to law should be established to facilitate that right. receive information that is truthful, responsible and Slowly, the courts began to rule in favor of the fair" and it established that "public sources of applicants for public information. That was true for information are free for all." This constitutional all cases, except that of Mr. Daniel Vargas Telles, provision also mandated that "the law shall regulate who in 2008 went to the Supreme Court. After the modalities, terms and sanctions, so as to make several years of Amicus Curiae interventions from this right effective." groups such as the Open Society Institute - Justice However, it was not until 2001 that this right was Initiative, the Regional Alliance for Free Expression first regulated by law. But, the new statute was and Information, and local organizations, the Supreme Court ruled in October 2013 recognizing quickly hailed as a "gag law," since it established broad and discretionary exceptions, enabled the the right of Mr. Vargas Telles to public information.11 Government to charge for giving information, and, The media coverage of this decision had no though judicial action against negative state precedent in recent Paraguayan judicial history. Its decisions was provided, the enforcement process impact was such that it enabled the necessary would be long, costly, and could only occur in the political climate to allow for the adoption of a law on nation's capital, Asunción. This initial access to access to public information.12 In 2014, Paraguay information law was quickly repealed, largely due to became the 100th country to establish a statutory pressure exerted by the media. right to information.13 Quickly, the Cartes Administration endorsed the In 2005, several civil society organizations (CSOs) came together to create the Group to Promote Access discourse of transparency. Indeed, the enactment of to Information (with the Spanish acronym of GIAI), the law was held with a ceremony in the Presidential with the aim of drafting their own version of the law Palace with the presence of the heads of the Congress and advocating its adoption in Congress. In 2006, the and the Judiciary and with the representatives of the Paraguayan Congress rejected these efforts to CSOs that for years had advocated for the law’s section was primarily drafted by researcher Ezequiel Santagada. 10 This 12Acceso a la información es un derecho humano fundamental, October 11The full case and proceedings are found at http://www.pj.gov.py/ 16, 2013 in Diario ABC Color, http://www.abc.com.py/edicion-impresa/ contenido/945-informacion-publica/945 politica/acceso-a-la-informacion-es-un-derecho-humano-fundamental- 628834.html 13 Paraguay is 100th nation to pass FOI law, but struggle for openness goes on, September 19, 2014, The Guardian, http://www.theguardian.com/ public-leaders-network/2014/sep/19/paraguay-freedom-information- law-transparency passage. The Act officially came into force in oversight agencies, departmental and municipal September 2015, with the year in between to provide governments, and public universities. Requests can time for developing necessary regulations and tools, be made without stating a reason or justification. particularly technological, to make the law Importantly, it includes the principle of maximum operational. Thus, at the time of its entry into force, disclosure, by which it is presumed that all the Unified Public Information Portal (the Portal), an information held by the State is public, unless it is online platform through which requests can be qualified as secret or reserved expressly by law (law submitted and requests provided, had already been 5282/14 does not list exceptions), and the burden of developed. proof lies with the State. All requests are entirely The advent of the Open Government Partnership free, not even the cost of reproduction can be charged further supported the advancement of the right to to the requester of information. information in Paraguay. Paraguay joined the Open Applicants who are denied information or Government Partnership (OGP) in 2011. Included in aggrieved may seek reconsideration within the its second National Action Plan (2014-2016) was the requested agency, where it exists, or go directly to commitment to enact and effectively implement an the court for summary judgement using the free access to public information law. In fact, the procedure for constitutional protections. The law inclusion of this commitment was the relevant CSO’s establishes specific and minimum duties of proactive condition to participating in the OGP process. For the disclosure for all public institutions in general and third National Action Plan (2016-2018), commitments for each of the powers of the State; the regulation were included calling for greater compliance with the mandates that these obligations must be met through legal obligations of transparency and progress in the agency websites. The preferred delivery of use of information to facilitate access to other rights, information is electronic and in open data format. such as health and education. While non-compliance with the transparency The implementation of the law and the obligations is considered serious misconduct, this increasingly pro-transparency discourse have law does not establish sanctions. The law does facilitated the discovery of several cases of include fines for non-compliance with judicial mismanagement of public money, which has resulted decisions, but the procedure for the application of in the investigation and claims against some such fines is not clear. An oversight body was not legislators and changes in the Office of the created (i.e. there is no Information Commission), Comptroller-General and the National University of although the Ministry of Justice has powers of Asunción.14 coordination to encourage effective implementation. In terms of law 5282/14, all public institutions should be part of the Portal, which is the principal Law 5282/14 "Citizen Access to Public Information means through which requests are made and and Government Transparency" and its Decree responses issued. The Portal is meant to include all Regulation 4064/15 apply to all state bodies, the Executive Branch, the two chambers of the including the three branches of government, National Congress, and auditing and oversight 14Tres años, muchos pendientes, August 15, 2016 in Diario ABC Color, bodies; except the General Comptroller of the http://www.abc.com.py/especiales/fin-de-semana/tres-anos-muchos -pendientes-1508561.html Republic which has its own online applications resources on the payment of civil servants’ wages system, as well as the Judiciary. The Ministry of and other remunerations was introduced in Justice is the agency responsible for encouraging and Congress. This law 5189/14, approved before the overseeing compliance with the mandate to engage access to public information act, contains provisions the Portal. The deadline for every public agency/ related to proactive disclosure and sanctions for local government to join the Portal was March 2016. failure to meet the transparency provisions. The However, as of April 2017, only seven out of 17 main obligations of this active transparency law were departmental governments and twelve out of 255 subsumed in the Access to Information Law, but municipal governments had joined the platform. without the penalties or fines for non-compliance. Training of public officials on the access to The Secretariat of Public Administration is information law and its implementation has been responsible for enforcing law 5189/14 and regularly concentrated at the central government level. The conducts monitoring on the degree of compliance Ministry of Justice, in coordination with CSO such as with the law’s proactive transparency provisions. members of the GIAI, was responsible for the first While the Access to Public Information Act 5282/14 stage of training. The Ministry of Justice also has has a broader spectrum of proactive disclosure produced a manual for receiving and responding to obligations, compliance with the law regarding requests, which contains guidelines for action and is transparency of public salaries and compensation is a a basic guide for public officials responsible for reasonable indicator of the degree of compliance applying the law 5282/14. with the access to information obligations. In other Regarding resources for operationalizing the words, if an agency is not in compliance with the access to information law, while Article 31 of the law more minimal requirements of 5189/14, then they mandates that public institutions "must provide certainly would not have met the additional within its annual budget the resources necessary to obligations of the access to information act. implement the provisions," specific budget According to a report by the Secretariat of Public provisions for access to information implementation Administration,16 as of January 2017, only 17.1 have not been made in most public institutions. percent of all the Paraguayan public institutions had Rather, in some cases, agencies have relied on fully met the obligations of the more limited law support from the United States Agency for 5189/14, and most of those that had complied were International Development (USAID) and entities at the central government level. The report stated such as the World Bank, the Inter-American that 71.6 percent of the agencies had partial Development Bank, and the European Union, among compliance and the rest, largely local governments others, to advance implementation of the law. and the public universities, did not fulfill any of the proactive transparency obligations. The legislature has shown high levels of compliance with all the obligations of proactive disclosure/active transparency and has made a Following the Supreme Court’s Vargas Telles strong investment in technology for this purpose. For decision, and in response to his request for access to example, as of the beginning of 2017, all legislative salary and compensation information for officials in sessions are broadcast via internet, recorded, and the Municipality of San Lorenzo, a bill related to the searchable by topic to be viewed from anywhere. provision of information on the use of public Moreover, the legislative information system allows 15 See: www.informacionpublica.paraguay.gov.py https://www.sfp.gov.py/sfp/archivos/documentos/ 15 Resumen_enero_2017__p43jkzcn.pdf one to search the status of all draft laws and provides government level. The biggest challenge for both a quite complete legislative digest. implementation and compliance lies in the The Judiciary also has demonstrated a reasonable departmental and municipal governments. degree of compliance. It is progressively placing more information about the appeals court’s rulings on the internet for public review and has published a significant number of Supreme Court judgements The only statistics that exist related to the use of the and supporting documents. Additionally, sometime right to information law/number of requests comes in 2017, the Judiciary is expected to enact a specific from the Portal. As of mid-April 2017, 4,209 requests regulatory provision to guide access to the had been made, with 3,338 (almost 80 percent) information in the justice sector, both the corresponding to requests from the central agencies administration of justice and its jurisdictional and Asuncion. There is no information regarding the purview. number of requests made in person or using means Regarding responsiveness to specific requests, outside of the Portal. according to statistics generated by the Portal, This chart reflects the number of requests made slightly more than 80 percent of requests have been through the Unified Public Information Portal. There answered.17 However, by reviewing the responses by are three explanations for the pattern of requests to the public institutions, it is clear that many are centralized agencies rather than local governments, unsatisfactory as they are vague or incomplete. as seen in the figure above. The first is that requests Nevertheless, in less than two years of entry into made from departments in the interior and force of the law, progress is visible at the central municipal governments are not accounted for 17http://informacionpublica.paraguay.gov.py/portal/#!/estadisticas/ 18This chart has been adapted from the data found at the Unified Pu- tortas blic Information Portal website: http:// informacionpublica.paraguay.gov.py/portal/#!/estadisticas/multibar because these local governments have not yet referral to the appropriate body. connected with the Portal. The second is that in many of these departments and municipalities there may be an absence of an access to information office, and therefore, there are few or no activities to disseminate or encourage use of the law. Finally, the Within Title II of the Act, under the name of third potential explanation is that without access to "enforcement authority," Article 6 states that "public the online portal for making requests, interested agencies shall establish an Office of Access to Public persons would need to travel long distances to make Information, which will receive requests, as well as requests for information in person at the agency. The guide and assist the applicant." However, this is not time and costs may serve as deterrents to submitting the same as enforcement. In Paraguay, there is no requests for information to local governments. guarantor or Information Commission to support Notably, internet access may not be a great compliance and receive complaints from aggrieved constraint to the use of the Portal, as approximately requesters. 50 percent of the population has access via In addition to lacking effective enforcement smartphones and this is expected to reach nearly 60 provisions, the law does not adequately establish percent in 2017.19 The use of the law by indigenous responses for misconduct. The law seems to presume communities is unknown as there is no information good faith and reasonableness of officials, with the on the matter; but it is likely to be very low as these existing sanctions only applied after the conclusion communities live primarily in the country’s interior, of an administrative inquiry – and most likely a where their local governments have done less to judicial review. This means that it could take years implement the law or to connect with the Portal. before an official would be sanctioned for failing to Similarly, without statistics from the Portal, the comply with the law. Since the law’s entry into force, background or profession of the requester is not there have been no known sanctions levied. known. However, there is a pervading perception The Act contains some provisions which establish that journalists are exercising their rights to guidelines for appealing negative decisions, such as information more frequently than other professions/ denials of information or any other perceived breach. people, and in more than one high-impact media Initially, however, the law was not sufficiently clear story, it was a journalist’s use of the access to as to the appeal procedures to be followed. This information act that obligated the disclosure. loophole was addressed by the Supreme Court in As of April 2017, there have been on average September of 2015, establishing the procedure for approximately eight applications per day through channeling a claim to the judiciary using the process the Unified Access to Information Portal. However, for violation of constitutional rights, which is a free this statistic does not include requests made directly and expeditious trial (one to three months), although to agencies that are not yet linked to the Portal. a lawyer is still needed. Another advantage of using Overall, the Ministry of Justice receives the most the same procedure as for a violation of requests. However, that statistic may be misleading constitutional rights is that when a trial judge rules as there is a provision in the regulatory decree that in favor of the applicant's information, the sentence establishes that if a requester is unsure where to is immediate compliance, even if the public submit their application – or the relevant agency is institution appeals the ruling. To date, there have not connected to the Portal – they may send their been at least 15 cases taken to the courts, with the request to the Ministry of Justice for processing/ majority finding in favor of the applicant. 19Penetración de internet en el país llega al 48%. April 16 2017, in Diario La Nación. http://www.lanacion.com.py/2016/06/23/penetracion-de-internet-en- el-pais-llega-al-48/ n July 2017, a focal group was convened in mation provided satisfies the applicant’s request/ Asunción, Paraguay, comprised of seven key information needs. civil society activists with long experience Following the open discussion, the indicators and working in the field of access to information. findings across the eight ministries, agencies, and The participants of the focal group were selected by departments were shared with the participants. The the local researcher, with Carter Center agreement, facilitator posed several questions to lead the plenary and represented CSOs that are actively working on discussion, including: the issue of access to information and that have experience in making requests. Participating in the • Do these results reflect your experiences in focal group meeting were representatives from gathering information from these public IDEA, Seeds for Democracy, Center for Judicial agencies? Studies and the Center for Environmental and Social • Do you know any specific cases that Studies (CEAMSO), Technology and Community contradict these results (totally or partially)? (TEDIC). The Public Policy Center of the Catholic • In general, what is your experience/opinion University, Decidamos, Paraguayan Journalists regarding the implementation of the access Forum (FOPEP), and Fundación Libre were invited, to public information law in these but did not send representatives. ministries/agencies/departments? The focal group was charged with considering • In your opinion, what other relevant factors the IAT findings and reflecting on whether these should be considered? results are consistent with their realities as requesters • What do you consider to be priority areas for and access to information advocates. The meeting advancing implementation in the future? took place in the offices of IDEA, an organization that is part of the GIAI. The participants indicated that the IAT results The meeting began with an open discussion reflected their experiences in requesting access to regarding the state of access to information in information and seeking proactively disclosed Paraguay. The CSO representatives noted that, in information from these agencies, and considered the general, the agencies have not been fully responsive findings to be consistent with their knowledge and to requests for information. The participants stated realities. It was agreed that the ministries and that sometimes it is necessary to use social networks agencies attempt to respond to requests, but that too or social media to put pressure on the agencies. often the officials lack knowledge and training or Ultimately, the agencies will succumb and respond material resources are missing. For instance, it was to their requests, although sometimes beyond the noted that, in line with the results of the IAT, many statutory time period. Such was the case with the of the access to information offices are lacking both Ministries of Health and Education, per the focal sufficient funds and staffing, particularly in the group representatives. The participants in the focal interior of the country. However, there are group also pointed out that there is room to improve exceptions. It was mentioned that one of these the quality of the responses provided by the little-known exceptions is the Municipality of San information offices and to ensure that the infor- Pedro de Ycuamandiyu, in the Department of San Pedro, where at the entrance of the office there is a large poster raising awareness about the existence of the access to information municipal office. An important observation from focal group participants is that, with few exceptions, there is not much involvement of the highest authorities in the implementation of the right of access to information. Implementation is left to the mid-level officials, who often do not have the seniority to advance full and effective implementation. All the CSO representatives present recognized the value of the IAT as an objective reference to validate their diagnosis. Although, it was mentioned that the results for ANDE in records management came as a pleasant surprise. Participants stressed that there is the need to consider the sustainability of the access to public information regime in Paraguay, in the event of a decrease in international cooperation or support. To date the international community, in particular USAID, has funded many of the implementation efforts. The focal group members suggested that to ensure sustainability and maximum impact, there should be an emphasis on fully implementing the proactive disclosure provisions and increased investments in efforts to optimize records management in the future. The findings below indicate the extent and quality of implementation of access to information legislation. The letters (A, B, C, and D) correspond to the response that the local researcher provided for each indicator, which was then “scored” with a color, as described below. This qualification is then revised and validated by the blind peer reviewer and the Carter Center team. n September of 2014, Paraguay became the the agency mandated to support implementation 100th country in the world to have an access to and operationalization of the law, could undertake information law and a year later in 2015, the law additional awareness campaigns. As of the date of went into full effect. Nearly two years since the preparation of this report, most of the agencies have Access to Public Information and Transparency Law not disseminated the responsible information took effect, full and effective implementation officer’s name and contact information, thus limiting remains a challenge. Though the government has the public’s ability to contact the agent in charge of made many advances, across all eight ministries, assisting with a public information request. agencies, and municipalities assessed, there remains Additionally, in some agencies a need for more staff room to improve. as well as for more support and training was identified. Throughout the agencies, there have been scant efforts to sensitize the public officials within the agency, beyond the specific access to information officers, of the basic principles of access to In terms of fundamental government functions, the information. Moreover, although the law provides eight agencies assessed have made strides to for budgetary allocations, the agencies had not implement the access to information law. Many of identified specific resources to be allocated for the agencies include the values of transparency and effective implementation. freedom of information in their strategic plans, thus Lastly, the findings indicate that the agencies demonstrating the priority placed on the issue. have not sufficiently monitored their efforts or Moreover, by adopting the decree of the Ministry of progress, nor have they issued annual reports that Justice that defines policies and guidelines for access detail the monitoring results and recommendations. to information, these agencies have shown a While some of the agencies conduct performance commitment to implementing this law. The signs of evaluations of the designated staff responsible for positive leadership, as well as the presence of access to information, there is no obvious monitoring information officers within these agencies, are of the agency’s overall performance or internal indicators that these agencies are making progress. audits conducted. In seven out of eight of the agencies assessed there is clear leadership and commitment to advancing implementation of the access to information law. Moreover, the leadership and enthusiasm of the information officers was seen as playing a critical role in the agencies where there has been progress. In November 2015, the Ministry of Justice issued One of the findings from the assessment relates to Decree 4064/15 to regulate the access to information a lack of procedures for raising public awareness of law. The Decree provides general policy and the law. While each agency has a duty to make the guidelines for all public entities related to their public aware that information is available and how access to information functions. The eight agencies to request/find information, including use of the assessed in the IAT have largely adopted this Portal, it would be useful if the Ministry of Justice, as centrally-issued decree and are using it to guide their and detailed procedures to properly implement this operationalization of the law. However, many of the function. The agencies should consider identifying assessed entities still need to develop specific and tasking a specific person or officers responsible procedures to put these general guidelines into full for proactive disclosure and conduct specialized effect. Some practices for fulfilling their access to trainings for those individuals. Additionally, information functions have begun to develop, but agencies should consider proactively disclosing these new procedures are often not captured in documents in other ways, beyond just posting it on writing. their websites. Overall, receiving and responding to requests is a strength throughout the assessed agencies. Most of the agencies have in place procedures for receiving requests, tracking, and responding to applications Records management is the backbone of any for information. Yet, these procedures are largely transparency regime. As such, developing clear dependent on the use of the Portal. The Portal is policies and guidelines for managing paper and used to make requests online, transfer requests, and digital records is a priority. In the agencies assessed, receive the agency’s response. There were fewer many had designated staff responsible for records- clear procedures for receiving and responding to management duties, but they lacked specialized requests when received through means other than training and support to fulfill their responsibilities. the online Portal. While the agency is mandated to Almost none of the agencies has developed or manually input requests into the Portal when adopted guidelines and procedures for paper or received through other means, these procedures digital records management. Some of the agencies were lacking. assessed stated that they are in the process of The use of the Portal for tracking responses and developing the guidelines and procedures, but they transfers is a great step forward, but should be remained unfinalized and unimplemented. closely monitored. Problematically, the Portal does To properly handle records and documents, these not always work, which creates an accessibility issue, agencies need to develop or finalize their guidelines and there are few instructions for properly and procedures, particularly related to digital engaging/using the Portal. records and to the security classification of Finally, it is important that agencies put a greater documents. Key records management staff should focus on the quality of their responses to requests. receive specialized training, and all staff should receive basic records sensitization training. Based on the work of the researcher, both through The IAT assessment demonstrates that while there interviews and primary data sources, as well as their has certainly been an increase in proactive knowledge of the reality in which the access to disclosure, this remains one of the areas of least information law is being implemented and the progress. While some of the agencies have guidelines comments from the civil society representatives for proactive disclosure and have informally during the focal group, our principal findings and assigned proactive disclosure tasks and general recommendations, in addition to those responsibilities to staff, the guidelines lack key outlined above and the specific recommendations for components for proper proactive disclosure of agencies below, are: information, and the agencies need to develop clear 1. The successful implementation and operationali- additional coordination efforts should be zation of an access to information law requires explored, including the potential for a specific not only political will, but also sufficient agency responsible for oversight and/or an resources.20 It is imperative that the Paraguayan Information Commission tasked with oversight State and public institutions allocate, in practice, and compliance. the resources necessary to implement the 4. It is essential for public agencies to develop and provisions established in the Access to Public formalize internal procedures for right of access Information Law. to information implementation. Law 5282/14 2. Records are the backbone of an access to and Decree 4064/15 establish the basic rights, information regime and good records obligations, procedures for the citizen requests, management allows the system to flourish. As and deadlines. However, each institution needs neither Law 5282/14 nor its Regulatory Decree to design specific procedures that inform and 4064/15 contain legal provisions related to support implementation and operationalization records management, it is essential to develop of the law, including establishing responsible and disseminate such rules as soon as possible. officials and actions, timelines, and internal Considering the access to information law and procedures/standard operating procedures for the existing general archives law, in the receiving and responding to requests and for short-term the Ministry of Justice in coordination fulfilling its active transparency obligations. with the National Archives might consider While the agency officials have demonstrated a seeking a regulation established by Executive disposition toward openness and good will, over Decree, which could be instituted to begin time that cannot substitute for clear and concrete developing a more modern records management guidelines and procedures. As institutions differ system. in size, capacity, substance, and need, each 3. It is fundamental and a priority to strengthen the should have its own specific procedures, Ministry of Justice’s Directorate of Access to formalized in writing and adapted to each Information. With its limited budget and small institutional reality. staff, the Directorate faces significant challenges 5. Awareness of the principles of the right of access to reasonably fulfilling its coordination role to information and the means by which to among all the public institutions. Moreover, it exercise the right is critical both internally within would be beneficial to include the ministry with the agency as well as externally for the public. If responsibility for the implementation of the agency personnel are not aware of the basic access to information law as a member of the principles underlying access to information, such National Transparency Team,21 an institutional as that all persons have a right to information, group conformed to promote government maximum disclosure, and the importance of transparency. Its inclusion will allow for better records management, the public officers may not coordination and improved implementation of make constructive efforts to meet the law’s the access to information law across a spectrum mandate, to proactively disclosure information of government entities. In the medium term, that they hold/manage, to protect and retain 20 The prioritization of this policy is the measure by which senior officials in 21The ENT was created through Executive Decree with the objective to in- the government express their support for the right to information. Such sig- crease transparency and combat corruption. The National Transparency nals thus impact the strength of the strategic and operational ledership of Team is comprised of the institutions that constitute the National Economic senior public officials engaged in the management of the public sector. This Team (EEN) and the National Anti-Corruption Secretariat (SENAC). The encompasses political will and support for the reform, which are expressed in ENT brings together the economic sector of Paraguay and the Executive a practical and tangible support for the implementation of access to informa- branch to fight against corruption through social and economic development tion laws. Indeed, political support is one of the primary drivers of sustaina- initiatives. http://www.senac.gov.py/archivos/documentos/a%20plan% ble and effective implementation (Dokeniva 2013, Trapnell and Lemieux 20Nacional_4s3cxq3n.pdf 2014). records, and/or to support the information Assessment (ODRA), which notes that SENATICs officers when documents are requested. Similarly, has a limited operational capacity and requires the agencies have a duty to assist requesters and more resources to fulfill its functions effectively. to make their constituencies aware of the right to Furthermore, it is necessary that the Ministry of information and how to make requests and find Justice’s Directorate of Access to Information can proactively disclosed information. While a automatically access the statistics generated by general campaign, led by the Ministry of Justice, the Portal, with the aim of facilitating the would be beneficial in raising general awareness, Ministry’s monitoring functions. At present, each agency also should undertake public and statistics can be downloaded manually from the internal awareness activities. Portal. In addition, the Portal is being used only 6. Sufficient training and support should be for receiving and responding to requests. The use provided to the professionals responsible for of the Portal should be extended to meet its receiving and responding to requests, proactive statutory obligations to proactively disclose disclosure, and records management. For those information. Finally, the Portal should function public officials principally responsible for access on all search engines and include clear to information and/or records management, instructions to facilitate the requesters’ use of the ongoing specialized training should be provided. online tool. 7. Based on the mandate in Article 90 of the Civil Service Law 1626/00 and the provisions that regulate this law, the agency’s access to information offices and operationalization efforts should be analyzed and evaluated periodically, such as annually. Monitoring of the implementation of the right to information law will allow for improvements and sharing lessons learned across agencies. Moreover, annual reports complete with statistics related to receiving and responding to requests and proactive disclosure should be developed and shared with the public to allow citizens to better gauge the agency’s advancements and to advocate for any necessary changes in the implementation or execution of the access to information law. 8. Noting that the implementation and operationalization of the access to information law depends largely on the Portal, the National Secretariat of Information and Communication Technologies (SENATICs) should be strengthened to ensure that relevant professionals are dedicated to the operation, maintenance, and constant upkeep and updating of the Portal. This recommendation is in line with the finding from the World Bank’s Open Data Readiness This section presents the IAT findings by ministry/agency followed by specific recommendations. The findings below indicate the extent and quality of implementation of access to information legislation, where green means the Ministry has done well and has met the defined good practice; yellow means there has been some activity/engagement, but does not meet the defined good practice; and red means the Ministry has either not engaged or done very little to advance on this part of its implementation. The black and white stripes mean that the indicator is not applicable in this Ministry. USAID’s support to the ministry has played a vital role in its success at sharing information proactively, however, without established and institutionalized guidelines and procedures, these he Ministry of Education has received advances may not be sustainable when the funding significant support from international ends. Therefore, dedicated resources should be cooperation in advancing the right of access identified and made available to assure continued to information. This ministry receives most implementation and operationalization efforts. of the requests for information, and has staff Records managers have been appointed in the members who are dedicated and trained to uphold Ministry of Education, but they have not been their access to information obligations. The access to trained nor have other agency officials been made information officials have proven themselves to be aware of basic records management principles. The committed to the principle of maximum disclosure, Ministry of Education has not prioritized the but they often use informal mechanisms rather than management of records, neither does it have clear guidelines and procedures to carry out their guidelines for managing paper and digital tasks. documents, or formalized standard operating In addition, while one or more public official has procedures, including for security classification, formally been appointed responsible for access to creation and organization of records, retention, or information functions and duties, the person’s name retrieval. has not been made known to the public and so The chart below provides a series of cannot easily be contacted for support or questions. recommended actions for advancing implementation Moreover, other Ministry of Education staff, who are and operationalization of the right of access to not part of the agency’s access to information unit, information in the short- and medium-term. The are not made aware of basic principles of access to assignation of a suggested time period for action information. reflects both the urgency as well as a recognition of As with the other agencies evaluated, the only the amount of time it will take to fully implement form of monitoring undertaken by the agency relates these recommendations. In some cases, less urgent to individual public official’s performance. Neither actions were placed in the immediate section as they the agency nor the internal oversight body/auditors could be accomplished more quickly. review efforts to implement and fulfill the access to information functions and obligations. Statistics related to receiving and responding to requests are not captured, and an annual report with recommendations is not produced. The Ministry of Education has some inconsistencies regarding proactive disclosure. On the one hand, it is one of the leading agencies in terms of amount of information published and disclosed. On the other hand, it fails to meet the minimum obligations of proactive disclosure as established by law, lacks clear guidelines, and has an insufficient number of trained staff to fulfill its obligations.  Increase leadership engagement, including meeting with designated Fundamental Leadership information officers periodically and discussing values and principles of Functions access to information as well as related to records management  Share name and contact information of designated information officer Fundamental Resources Functions  Provide information on how persons can make requests for information, Fundamental Procedures including through the Portal, and how to find proactively disclosed Functions information  Raise awareness among all Ministry of Education staff about the basic Fundamental Resources principles of access to information Functions  Expand guidelines for proactive disclosure to include the development of Proactive Rules a publication scheme Disclosure  Explicitly and formally assign responsibility for proactive disclosure to an Proactive Resources officer and provide specific and sufficient training to assure that he or she Disclosure is fully able to fulfill this responsibility  Develop and implement monitoring systems, including at a minimum: Fundamental Monitoring  Agency review of access to information operationalization Functions,  Capturing statistics related to requests, including number of requests Receiving and received, timeliness, and disposition of the request Responding to  Proactive disclosure advances, such as types of documents shared Requests, and proactively, how often updated etc. Proactive Disclosure  Develop and implement guidelines and procedures for records Records Rules and management, including: Management Procedures  Plans and instructions for implementing a records management system  Creation, organization, storage and retention of paper and digital records  Security classification of records  Processes for retrieving and accessing paper and digital records, including indexes/registries and circulation logs  Provide specialized training for records managers Records Resources Management  Provide basic records management awareness for all staff Records Resources Management  Expand infrastructure to assure sufficient and appropriate space for paper Records Resources and digital records Management  Draft an annual report to share with the public of implementation efforts, Fundamental Monitoring number of requests and disposition, proactive disclosure, and strategic Functions plans for following year The findings below indicate the extent and quality of implementation of access to information legislation, where green means the Ministry has done well and has met the defined good practice; yellow means there has been some activity/engagement, but does not meet the defined good practice; and red means the Ministry has either not engaged or done very little to advance on this part of its implementation. The black and white stripes mean that the indicator is not applicable in this Ministry. However, this obligation could be fulfilled more systematically, bolstering the procedures for the disclosure and updating of information. These procedures could be strengthened by developing he Ministry of Finance exhibited some of written guidelines that include: a publication the best results in terms of implementation scheme; provisions for updating and maintaining and operationalization of the Access to this scheme; guidance for clearly identifying/listing Information law. In the areas of leadership, the types of documents to be proactively disclosed; general guidelines for operationalizing the law, and and how the documents will be disclosed. raising public awareness about the right to The ministry has certain regulations and information and how to access it, the Ministry of procedures for the management of paper records, Finance excelled. Importantly, the Ministry of and, to a lesser extent, digital records. As such, the Finance was one of the few agencies assessed that provisions should include clear procedures for had allocated specific resources to the application of digital records, as well as the classification of the law. It also has institutionalized transparency confidential documents and specialized training for obligations in its organizational structure and records managers. It is also important to highlight manual of duties. This may help to explain its the awareness of basic records-management progress in advancing implementation. principles by all agency staff. The ministry has appointed responsible officers. The chart below provides a series of However, at the time of this assessment, their names recommended actions for advancing implementation and contact information were not available on the and operationalization of the right of access to Ministry of Finance website. This information needs information in the short- and medium-term. The to be made available to the general public. Regarding assignation of a suggested time period for action specific guidelines for responding to requests, the reflects both the urgency as well as a recognition of ministry lacked details on the processing of requests, the amount of time it will take to fully implement as well as reaching a decision on whether to respond these recommendations. In some cases, less urgent to or deny a request. actions were placed in the immediate section as they Moreover, as with the other agencies evaluated, could be accomplished more quickly. the Ministry of Finance lacks internal monitoring mechanisms that evaluate the functions and obligations of their access to information implementation and operationalization, which could serve as periodic evaluations to optimize the impact of their efforts. The monitoring should include agency oversight and annual reporting, including access to information in the periodic audits that are conducted, and capturing of statistics, beyond those from the online platform, related to the number of requests, responses, time period, reasons for denial, and proactive publication of documents. To date, the Ministry of Finance has made progress in the proactive disclosure of information, making many documents available to the public.  Increase leadership engagement related to records management Records Leadership Management  Share name and contact information of designated information officer Fundamental Resources Functions  Expand guidelines and procedures for receiving, processing, and responding Receiving and Rules and to requests Responding to Procedures Requests  Explicitly and formally assign responsibility for proactive disclosure to an Proactive Resources officer and provide specific and sufficient training to assure that he or she is Disclosure fully able to fulfill this responsibility  Develop and implement monitoring systems, including at a minimum: Fundamental Monitoring  Agency review of access to information operationalization Functions,  Capturing statistics related to requests, including number of requests Receiving and received, timeliness, and disposition of the request Responding to  Proactive disclosure advances, such as types of documents shared Requests, and proactively, how often updated etc. Proactive Disclosure  Formalize guidelines and procedures for proactive disclosure, including: Proactive Rules and  Updating publication scheme Disclosure Procedures  Identifying classes of documents for proactive disclosure  Disclosure of documents  Develop and implement guidelines and procedures for records management, Records Rules and including: Management Procedures  Security classification of records  Processes for managing, retrieving and accessing digital records  Provide specialized training for records managers Records Resources Management  Provide basic records management awareness for all staff Records Resources Management  Draft an annual report to share with the public of implementation efforts, Fundamental Monitoring number of requests and disposition, proactive disclosure, and strategic plans Functions for following year The findings below indicate the extent and quality of implementation of access to information legislation, where green means the Ministry has done well and has met the defined good practice; yellow means there has been some activity/engagement, but does not meet the defined good practice; and red means the Ministry has either not engaged or done very little to advance on this part of its implementation. The black and white stripes mean that the indicator is not applicable in this Ministry. management. With the support of international donors, such as USAID and specialized applications such as Akuerapp, the Ministry of Health shares a great quantity of information proactively. But these he Ministry of Health, like the Ministry of efforts lack systematization, and potentially Education, is notable as one of the agencies sustainability, as there are only informal procedures with the greatest support and international used to support proactive disclosure processes and cooperation to advance implementation of no specially trained and dedicated staff. The agency the right of access to information. Its relatively good has not formalized procedures for creating and performance may be tied, at least in part, to the maintaining the publication scheme or for specifying focused assistance from external actors. The Ministry other necessary steps, timelines, and persons is one of the largest public institutions and receives responsible for proactive disclosure, such as placing some of the most requests. Even considering its large documents in the public realm or keeping them size and minimal staffing dedicated to the right of current. access to information, the Ministry of Health While the Ministry of Health was one of the few performs admirably. However, to sustain the agencies assessed that had developed some norms implementation gains, additional staffing and relating to records management and had dedicated increased support and awareness from the agency records management staff, it still lacked guidelines leadership and colleagues, as well as a dedicated for security classification, standard operating budget allocation, will be important. procedures—particularly related to digital records For the most part, the Ministry of Health has management—and general staff that are aware of created guidelines and procedures for receiving and basic records management principles. Moreover, the responding to requests. Regarding processing the storage facilities were not sufficient to ensure proper requests, the internal procedures could be improved organization and preservation of documents. by developing clear timeframes for each step and The chart below provides a series of recommend- coordination within the agency. ed actions for advancing implementation and As with the other institutions assessed, the operationalization of the right of access to Ministry lacks internal oversight mechanisms to information in the short- and medium-term. The evaluate the functions and obligations involved in assignation of a suggested time period for action the implementation and operationalization of access reflects both the urgency as well as a recognition of to information, which might be useful as periodic the amount of time it will take to fully implement evaluations to help optimize the impact of its efforts. these recommendations. In some cases, less urgent Positively, the specific officers tasked with access to actions were placed in the immediate section as they information functions are evaluated based on their could be accomplished more quickly. ATI work. Nevertheless, oversight needs to include supervision of the institution and annual reporting, including access to the information in the periodic audits conducted, and capturing of statistics related to the number of requests received, responses, deadlines, reasons for denial, and proactive publication of records that go beyond those available on the online platform. The main weaknesses in the Ministry of Health’s implementation and operationalization of the law relate to proactive disclosure and records  Increase leadership engagement, including meeting with designated Fundamental Leadership information officers periodically and discussing values and Functions, Records principles of access to information and records management Management  Allocate a specific budget amount for implementation and Fundamental Resources operationalization of the law Functions  Increase staffing to adequately fulfill access to information Fundamental Resources responsibilities and duties Functions  Raise awareness among all staff of Ministry of Health about the basic Fundamental Resources principles of access to information Functions  Explicitly and formally assign responsibility for proactive disclosure Proactive Resources to an officer and provide specific and sufficient training to assure that Disclosure he or she is fully able to fulfill this responsibility  Develop and implement monitoring systems, including at a Fundamental Monitoring minimum: Functions,  Agency review of access to information operationalization Receiving and  Capturing statistics related to requests, including number of re- Responding to quests received, timeliness, and disposition of the request Requests, and  Proactive disclosure advances, such as types of documents shared Proactive proactively, how often updated etc. Disclosure  Clearly establish steps and timelines for processing requests Receiving and Rules Responding to Requests  Formalize procedures for proactive disclosure, including: Proactive Procedures  Creation and updating of a publication scheme Disclosure  Identifying classes of documents for proactive disclosure  Disclosure of documents  Develop and implement guidelines and procedures for records Records Rules and management, including: Management Procedures  Plans and instructions for implementing a records management system  Creation, organization, storage and retention of paper and digital records  Security classification of records  Processes for retrieving and accessing paper and digital records, including indexes/registries and circulation logs  Provide specialized training for records managers Records Resources Management  Provide basic records management awareness for all staff Records Resources Management  Expand infrastructure to assure sufficient and appropriate space for Records Resources paper and digital records Management  Draft an annual report to share with the public of implementation Fundamental Monitoring efforts, number of requests and disposition, proactive disclosure, and Functions strategic plans for following year The findings below indicate the extent and quality of implementation of access to information legislation, where green means the Ministry has done well and has met the defined good practice; yellow means there has been some activity/engagement, but does not meet the defined good practice; and red means the Ministry has either not engaged or done very little to advance on this part of its implementation. The black and white stripes mean that the indicator is not applicable in this Ministry. evaluate its own functions and obligations for access to information. As the main oversight body, it is essential that the Ministry of Justice serve as a model for developing robust and functional systems to s the coordinating body for denote agency and individual access to information implementation, the Ministry of Justice officer performance, specifically with regard to has the most obligations in terms of the agency oversight mechanisms, annual reporting, access to information law. Unlike the periodic audits, and the capturing of statistics. other large service-related agencies though, the Finally, in the areas of records management, only Ministry of Justice does not receive much in having formally assigned a records manager did international cooperation or support to implement the agency meet good practice. For all indicators the law. Moreover, this ministry has had a number of related to leadership, guidelines, and procedures, the key personnel changes over the past years. Only Ministry has not advanced in its management of recently has the Ministry engaged officials who have paper or digital records. begun to improve the institution's performance in The chart below provides a series of the area of access to information. The Ministry of recommended actions for advancing implementation Justice has made strides in raising awareness of and operationalization of the right of access to access to information principles amongst its staff and information in the short- and medium-term. The the general population; however, there are not assignation of a suggested time period for action enough staff nor sufficient resources to meet the reflects both the urgency as well as a recognition of agency’s access to information obligations. Notably, the amount of time it will take to fully implement the agency responsible for the government’s overall these recommendations. In some cases, less urgent access to information implementation itself lacks actions were placed in the immediate section as they instructions to guide its own implementation efforts. could be accomplished more quickly. Requests for information often are directed to the Ministry of Justice, even when they are not the appropriate agency. For requests not responded to in a timely manner or for agencies that are not part of the Portal, the Ministry of Justice is tasked with processing these additional requests. This makes the need for guidelines and procedures even greater. Yet, this Ministry lacks sufficient guidelines for processing and responding to requests, including timelines, transfers, and determining the release of information. The Ministry of Justice has not met many of the basic requirements for effective implementation of their proactive disclosure obligations. The agency does not have formally designated and trained staff and there are no guidelines or procedures for developing a publication scheme. Like the other agencies evaluated, the Ministry of Justice lacks internal monitoring mechanisms to  Allocate a specific budget amount for implementation and Fundamental Resources operationalization of the law Functions  Increase leadership engagement and policy declarations related to Records Leadership records management Management  Develop and disseminate plans/instructions for implementing and Fundamental Rules operationalizing the access to information law Functions  Increase staffing to adequately fulfill access to information Fundamental Resources responsibilities and duties Functions  Formalize procedures for logging, tracking and processing requests Receiving and Procedures Responding to Requests  Expand guidelines for processing and responding to requests to Receiving and Rules include steps for coordination within the agency and processes for Responding to determining release of documents Requests  Develop and implement monitoring systems, including at a Fundamental Monitoring minimum: Functions, Receiving  Agency review of access to information operationalization and Responding to  Performance evaluation for designated information officer(s) Requests, and specific to their access to information functions Proactive Disclosure  Capturing statistics related to requests, including number of requests received, timeliness, and disposition of the request  Proactive disclosure advances, such as types of documents shared proactively, how often updated etc.  Formalize guidelines and procedures for developing and updating Proactive Disclosure Rules and publication scheme Procedures  Develop and implement guidelines and procedures for records man- Records Rules and agement, including: Management Procedures  Plans and instructions for implementing a records management system  Creation, organization, storage and retention of paper and digital records  Security classification of records  Processes for retrieving and accessing paper and digital records  Provide specialized training for records managers Records Resources Management  Provide basic records management awareness for all staff Records Resources Management  Expand infrastructure to assure sufficient and appropriate space for Records Resources paper and digital records Management  Draft an annual report to share with the public of implementation Fundamental Monitoring efforts, number of requests and disposition, proactive disclosure, and Functions strategic plans for following year The findings below indicate the extent and quality of implementation of access to information legislation, where green means the Municipality has done well and has met the defined good practice; yellow means there has been some activity/engagement, but does not meet the defined good practice; and red means the Municipality has either not engaged or done very little to advance on this part of its implementation. The black and white stripes mean that the indicator is not applicable in this Municipality. efforts to capture statistics related to the number of requests received and the responses, proactive disclosure, or records management nor to issue annual reports and recommendations. Additionally, he Municipality of Encarnación is the while records managers have been appointed, they capital of the Department of Itapúa and is have not received sufficient training to meet their the third largest city in Paraguay. While obligations, and neither guidelines nor operating Encarnación has just begun its efforts to procedures exist to allow advancement in the implement Law 5282/14, it has demonstrated records management system. important political commitment to operationalizing The chart below provides a series of the access to information law, including leadership recommended actions for advancing implementation engagement, inclusion of transparency principles in and operationalization of the right of access to their strategic planning, and use of the Portal. The information in the short- and medium-term. The information officer has been formally designated and assignation of a suggested time period for action has a good understanding of the access to reflects both the urgency as well as a recognition of information law, but the officer’s name and contact the amount of time it will take to fully implement information has not been made known to the public, these recommendations. In some cases, less urgent he lacks an office, and there has been no public actions were placed in the immediate section as they outreach. Positively, the municipality has could be accomplished more quickly. undertaken some efforts to raise awareness internally among its staff of the access to information law and its basic principles. While the Encarnación information officer does respond to requests, the systems are not fully standardized or institutionalized. The municipality has adopted some guidelines and the use of the Portal for receiving and responding to some requests, but lacks internal guidelines for processing requests, such as assisting requesters. There are no formal procedures for logging and tracking requests, identifying who in the agency holds the information, searching for documents, and/or determining release, redaction, or denial. There is no staff appointed to fulfill the municipality’s obligations related to proactive disclosure, and there are no guidelines or procedures for developing and maintaining a publication scheme. As such, Encarnación does not fulfill the minimum obligations of proactive disclosure mandated by the access to information law. Like the other public entities assessed, Encarnación lacks systems for monitoring the agency and information officer’s performance. There are no  Allocate a specific budget amount for implementation and Fundamental Resources operationalization of the law Functions  Make all guidelines related to access to information available on the Fundamental Rules website and in municipality offices Functions  Share name and contact information of designated information officer Fundamental Resources Functions  Provide information on how persons can make requests for information, Fundamental Procedures including through the Portal, and to find proactively disclosed Functions information  Identify/create a space for making requests and seeking proactively Fundamental Resources disclosed information Functions  Explicitly and formally assign responsibility for proactive disclosure to an Proactive Resources officer and provide specific and sufficient training to assure that he or she Disclosure is fully able to fulfill this responsibility  Develop and implement monitoring systems, including at a minimum: Fundamental Monitoring  Agency review of access to information operationalization Functions,  Performance evaluation for designated information officer(s) specific Receiving and to their access to information functions Responding to  Capturing statistics related to requests, including number of requests Requests, and received, timeliness, and disposition of the request Proactive Disclo-  Proactive disclosure advances, such as types of documents shared sure proactively, how often updated etc.  Develop and institute guidelines and operating procedures for: Receiving and Procedures  Receiving and processing requests, including determining release Responding to  Tracking requests Requests  Responding to requests  Expand guidelines and procedures for proactive disclosure to include the Proactive Rules and development of a publication scheme Disclosure Procedures  Develop and implement guidelines and procedures for records Records Rules and management, including: Management Procedures  Plans and instructions for implementing a records management system  Creation, organization, storage and retention of paper and digital records  Security classification of records  Processes for retrieving and accessing paper and digital records, including indexes/registries and circulation logs  Provide specialized training for records managers Records Resources Management  Provide basic records management awareness for all staff Records Resources Management  Draft an annual report to share with the public of implementation efforts, Fundamental Monitoring number of requests and disposition, proactive disclosure, and strategic Functions plans for following year The findings below indicate the extent and quality of implementation of access to information legislation, where green means the Municipality has done well and has met the defined good practice; yellow means there has been some activity/engagement, but does not meet the defined good practice; and red means the Municipality has either not engaged or done very little to advance on this part of its implementation. The black and white stripes mean that the indicator is not applicable in this Municipality. this Municipality. Positively in Luque, records managers have been formally designated, though not trained, appropriate infrastructure exists, and there have been efforts to develop an he Municipality of Luque, located 13 implementation plan for improved paper and digital kilometers from the capital city Asunción in records management. However, the leadership has the Department of Central, has made not been sufficiently engaged and procedures for important advances in implementing the security classification, management and organization access to information law. For example, they have of records, and retrieval of documents have not been included principles of transparency in their strategic established. planning, engaged the leadership, and formally The chart below provides a series of appointed an information officer with sufficient time recommended actions for advancing implementation and authority to fulfill his/her access to information and operationalization of the right of access to obligations. However, there have been no budget information in the short- and medium-term. The allocation or public outreach efforts. assignation of a suggested time period for action Notably, Luque has developed some mechanisms reflects both the urgency as well as a recognition of to monitor the agency and information officer’s the amount of time it will take to fully implement performance, but this monitoring has not extended these recommendations. In some cases, less urgent to capturing statistics related to receiving and actions were placed in the immediate section as they responding to requests or proactive disclosure. could be accomplished more quickly. Regarding receiving requests, Luque has adopted guidelines and is engaging the Portal. For processing and responding to requests, the municipality should consider written guidelines and procedures that include coordination within the agency, timeframes, and transfers, as well as identifying who in the agency holds the information, how to conduct a search for information, and the specifics for determining release of the information or issuing a denial. As with the majority of public authorities assessed, Luque lacks implementation and operationalization of guidelines and procedures related to proactive disclosure and records management. While Luque has informally appointed staff responsible for proactive disclosure and fulfills a number of its statutory obligations, the municipality should consider creating a publication scheme, establishing written procedures for placing documents in public realm, and updating and adding document(s) for proactive disclosure. Lastly, records management guidelines and procedures have not advanced sufficiently within  Allocate a specific budget amount for implementation and Fundamental Resources operationalization of the law Functions  Increase leadership engagement and policy declarations related to Records m Leadership records management Management  Develop and disseminate plans/instructions for implementing and Fundamental Rules operationalizing the access to information law Functions  Assure sufficient time/staff and training for responsible information Fundamental Resources officers to fulfill duties related to receiving and responding to Functions requests and proactive disclosure  Raise awareness among all Luque staff of the basic principles of Fundamental Resources access to information Functions  Develop and implement monitoring systems, including at a Fundamental Monitoring minimum: Functions,  Capturing statistics related to requests, including number of Receiving and requests received, timeliness, and disposition of the request Responding to  Proactive disclosure advances, such as types of documents shared Requests, and proactively, how often updated etc. Proactive Disclosure  Expand and formalize guidelines for processing and responding to Receiving and Rules requests Responding to Requests  Formalize guidelines and procedures for developing and updating Proactive Rules and publication scheme Disclosure Procedures  Develop and implement guidelines and procedures for records Records Rules and management, including: Management Procedures  Creation, organization, storage and retention of paper and digital records  Security classification of records  Processes for retrieving and accessing paper and digital records  Provide specialized training for records managers Records Resources Management  Provide basic records management awareness for all staff Records Resources Management  Draft an annual report to share with the public of implementation Fundamental Monitoring efforts, number of requests and disposition, proactive disclosure, and Functions strategic plans for following year The findings below indicate the extent and quality of implementation of access to information legislation, where green means the agency has done well and has met the defined good practice; yellow means there has been some activity/engagement, but does not meet the defined good practice; and red means the agency has either not engaged or done very little to advance on this part of its implementation. The black and white stripes mean that the indicator is not applicable in this agency. took to process and respond to the request and reasons for denial, where appropriate. In terms of records management, ANDE is the only institution assessed that has specific guidelines and procedures for management of paper and digital lthough the state-owned electricity documents, as well as highly-trained personnel. It company has not formally incorporated has developed instructions for records management access to information in its institutional implementation, created infrastructure, and made all policies, ANDE has the resources its staff aware of basic records management necessary to more fully and effectively implement principles. The only area of records management in the law. ANDE has developed a series of guidelines need of additional focus relates to guidelines and and instructions for implementation of the law, and procedures for security classification; for all the other has been one of the leading public institutions with indicators, ANDE has demonstrated good practice. regard to responsiveness. They have a team with The chart below provides a series of support from the agency’s legal counsel and have recommended actions for advancing implementation formally appointed staff with sufficient time and and operationalization of the right of access to authority to be responsible for access to information. information in the short- and medium-term. The As with the other public agencies, the name and assignation of a suggested time period for action contact information for the designated officer has not reflects both the urgency as well as a recognition of been made known to the public nor has there been the amount of time it will take to fully implement public awareness raising about the right of access to these recommendations. In some cases, less urgent information, how to make a request to the agency, actions were placed in the immediate section as they and/or where to find information. could be accomplished more quickly. ANDE has created written guidelines for receiving and responding to requests and for internal review of decisions. But these guidelines have not resulted in the development of specific operating procedures, such as the tracking and logging of requests from receipt to determination, identifying who holds the information, and deciding on release or the means by which the agency will respond to requests. Internal procedures should be improved to assure consistency, to avoid arbitrariness in processing and responding to requests, and to optimize implementation efforts. The agency has not developed systems for monitoring its performance or that of its designated officers. There is no internal oversight undertaken or auditing to identify challenges and provide recommendations for improvement. Notably, ANDE does capture some statistics related to requests, though the agency should supplement their monitoring with information related to how long it  Increase leadership engagement, including: Fundamental Leadership  High-level official meeting with information officers periodically and Functions speaking about the right of access to information in staff meetings  Including transparency and access to information in strategic documents and as a principle policy of ANDE  Allocate a specific budget amount for implementation and operationalization Fundamental Resources of the law, in order to assure continuity and institutionalization of Functions implementation advances  Share name and contact information of designated information officer Fundamental Resources Functions  Engage in public outreach regarding the right to information and how to Fundamental Procedures make requests, including through the Portal, and to find proactively Functions disclosed information  Raise awareness among all ANDE staff about the basic principles of access to Fundamental Resources information Functions  Identify and train staff for proactive disclosure Proactive Resources Disclosure  Develop and implement monitoring systems, including at a minimum: Fundamental Monitoring  Performance evaluation for designated information officer(s) specific to Functions, their access to information functions Receiving and  Agency review of access to information operationalization Responding to  Supplement existing system to capture statistics by including additional Requests, and details related to timeliness and disposition of the request Proactive  Proactive disclosure advances, such as types of documents shared Disclosure proactively, how often updated etc.  Develop and implement operating procedures for: Receiving and Procedures  Tracking requests Responding to  Receiving and processing requests Requests,  Responding to requests Proactive  Proactive disclosure Disclosure  Draft an annual report to share with the public of implementation efforts, Fundamental Monitoring number of requests and disposition, proactive disclosure, and strategic plans Functions for following year  Develop and institute guidelines and procedures for security classification of Records Rules records Management The findings below indicate the extent and quality of implementation of access to information legislation, where green means the agency has done well and has met the defined good practice; yellow means there has been some activity/engagement, but does not meet the defined good practice; and red means the agency has either not engaged or done very little to advance on this part of its implementation. The black and white stripes mean that the indicator is not applicable in this agency. records. There are no procedures for implementing a records-management system, guidelines for security classification, steps for creating a record, methods for organizing and storing records, or plans for retention. Staff have not received any training on SSAP, the state-owned enterprise for basic records management principles, and even the sanitation, lacked leadership and infrastructure for storing paper and digital records is implementation of some of the most basic insufficient. fundamental functions. ESSAP is one of The chart below provides a series of the agencies with the most requests in the Portal to recommended actions for advancing implementation which no response has been provided. While an and operationalization of the right of access to information officer has been designated, there is only information in the short- and medium-term. The one staff member and he works part-time. Moreover, assignation of a suggested time period for action there was insufficient training to meet his obligations reflects both the urgency as well as a recognition of and no public notification of the name and contact the amount of time it will take to fully implement information of the officer or of the basic principles of these recommendations. In some cases, less urgent the right to information. Though the agency had actions were placed in the immediate section as they developed instructions for implementation, these could be accomplished more quickly. had not been shared within the agency and did not necessarily reflect the agency’s policy. To date, ESSAP had made no efforts to inform its staff about the right of access to information and the basic principles of the law. Positively, the agency has adopted a Ministry of Justice manual to guide its efforts related to receiving and responding to requests but has not developed agency specific procedures for receiving and processing requests. For example, ESSAP had no formal process to guide the agents when requests came through any other means than the Portal or the process for placing the request into the Portal, or a procedure to identify who within the agency holds the information requested. ESSAP’s implementation and operationalization of its proactive disclosure and records management obligations are particularly weak. The agency has informally tasked one of its officials with proactive publication but had made no progress on developing guidelines or procedures for advancing on its proactive disclosure obligations. Similarly, while a records manager had been named, the state-owned enterprise had not begun efforts toward management of its paper or digital  Increase leadership engagement, including meeting with designated Fundamental Leadership information officers periodically and discussing values and principles of Functions, access to information and records management Records Management  Allocate a specific budget amount for implementation and operationalization Fundamental Resources of the law Functions  Make all guidelines related to access to information available on ESSAP’s Fundamental Rules website and in central offices Functions  Review implementation/operationalization plans to assure consistency with Fundamental Rules agency access to information policy and internally disseminate the Functions instructions  Provide information on how persons can make requests for information, Fundamental Procedures including through the Portal, and to find proactively disclosed information Functions  Raise awareness among all ESSAP staff of the basic principles of access to Fundamental Rules information Functions  Increase the time allocated by the designated information officer to his access Fundamental Resources to information duties and/or increase staff and assure all receive requisite Functions training  Explicitly and formally assign responsibility for proactive disclosure to an Proactive Resources officer and provide specific and sufficient training to assure that he or she is Disclosure fully able to uphold this responsibility  Develop and implement monitoring systems, including at a minimum: Fundamental Monitoring  Agency review of access to information operationalization Functions,  Performance evaluation for designated information officer(s) specific to Receiving and their access to information functions Responding to  Capturing statistics related to requests, including number of requests Requests, and received, timeliness, and disposition of the request Proactive  Proactive disclosure advances, such as types of documents shared Disclosure proactively, how often updated etc.  Expand and perfect procedures for receiving and processing requests for Receiving and Procedures information Responding to Requests  Develop/adopt and implement guidelines and procedures for proactive Proactive Rules and disclosure, including: Disclosure Procedures  Creation and updating of a publication scheme  Identifying classes of documents for proactive disclosure  Disclosure of documents  Develop and implement guidelines and procedures for records management, Records Rules and including: Management Procedures  Plans and instructions for implementing a records management system  Creation, organization, storage and retention of paper and digital records  Security classification of records  Processes for retrieving and accessing paper and digital records, including indexes/registries and circulation logs  Provide specialized training for records managers Records Resources Management  Provide basic records management awareness for all staff Records Resources Management  Draft an annual report to share with the public of implementation efforts, Fundamental Monitoring number of requests and disposition, proactive disclosure, and strategic plans Functions for following year 2. How do we ensure that the tool also assesses quality of the implementation rather than simply falling into a "check the box” exercise showing he Carter Center designed and created the that an input/activity occurred but not IAT through desk research, consultant demonstrating whether it was done well? support, and periodic peer reviews. As a first step, the Center engaged in From these discussions and considerations considerable research to identify the breadth of emerged the tool’s framing question: To what extent national and subnational implementation plans and is the agency capacitated and prepared to provide to evaluate the commonalities. There are very few information and respond to requests? available national or agency-specific access to Perhaps the most challenging aspect in information implementation plans. Additionally, we developing the IAT was the lack of clearly did an extensive literature review related to access to agreed-upon universal best practices for access to information implementation and public policy and information legislation implementation. This absence administration; again, at the time, there were of consensus signaled the need for an increased relatively few articles or studies. Based on the initial emphasis on vetting determinations on good practice research and our experience, we developed a with expert colleagues from government, civil preliminary draft matrix of similarities and unique/ society, and academia. We also were aware that the innovative approaches to implementation. tool should work equally well when used in a mature Following the research phase, The Carter Center system (where the law has existed for years) as well convened a group of renowned experts to consider as in a country with a newly passed access to the value and efficacy of an implementation information law. This mandate forced us to verify assessment instrument and to provide input into its that each indicator is valid in a variety of disperse basic design. This first meeting considered the key contexts. issues in implementation and prospective indicators With the initial design of the IAT completed, The as well as how to measure them. It was agreed that a Carter Center convened a broader based group of major goal of the IAT was to create a tool that would access to information and transparency experts to be useful for governments—allowing them to assess peer review the first draft indicators, application the breadth and quality of their implementation methodology, and sampling (country and ministry/ efforts—rather than as a more punitive ranking or agency) determinations. After long discussions and “hammer.” The two days of robust discussion considerations, the Center decided to retain the established the importance of the IAT but also initial design to focus on administrative inputs (“the highlighted a number of potential problems and risks plumbing”), rather than assessing the quality of the associated with an implementation assessment. outputs, i.e., compliance with the law/user Underlying both days of discussion were the satisfaction. We also made the decision to include following questions: internal reconsideration but not go further to include indicators related to judicial or quasi-judicial 1. How do we make the study replicable and portable across varying countries? enforcement measures in the implementation • Contrasting development status/income assessment. level Over the course of the next months, the design of • Availability of social scientists/civil society the IAT was modified to allow for assessment on leaders to undertake the study both the x- and y-axis, and a series of indicators were • Existing data sets or studies related to access developed. Finally, to validate the defined indicators to information and measurements/scaling, The Carter Center again • Political will/interest undertook an extensive analysis of existing • Divergent participation in the Open implementation plans and practice. Government Partnership The IAT was applied in seven ministries and/or agencies in each country. For uniformity, we chose to engage the same ministries/agencies in each of the To assure the efficacy and value of the IAT, the countries. Criteria used in determining the specific Center determined to apply the tool in a phased ministries/agencies included: approach in more than 10 countries. Pilot phase I was meant to assess three countries, pilot phase II • Those agencies that held information critical assessed four countries, and pilot phase III an for fundamental human and socioeconomic additional four countries. While the initial intent was rights to assess each country once, considering the • Ministries and agencies that play a role in significant modifications of the indicators following poverty reduction each pilot phase, we decided to include the initial • Ministries and agencies that provide countries in the subsequent pilot phases. Thus, for important services example, in pilot phase III, we applied the revised • Ministries and agencies that are key in the indicators in all 11 countries. overseeing or promoting the overall access to information regime • A mix of ministries and agencies, in particular agencies of varying size and In preparation for selecting the pilot countries to test resources the IAT, The Carter Center created a list of criteria and variables. For the pilot selection, we considered the following conditions: In 2011, The Carter Center completed pilot phase I of • Regional diversity the tool in three countries—Bangladesh, Mexico, and • Variety in length of time that the access to South Africa, followed by an expert review and information law/regulation had been in extensive modifications to the methodology and effect indicators. Pilot phase II was completed in the spring • Distinct legal system/framework (common of 2013 and included application of the indicators in law versus civil) the original three countries as well as in Chile, • Types of civil service (professionalized Indonesia, Scotland, and Uganda. Once again, The versus more partisan) Carter Center conducted a review meeting to refine the tool and methodology. In the fall of 2013, pilot phase III commenced and included four new countries: Georgia, Jordan, Guatemala, and the United States. The researchers in these countries applied all revised IAT indicators and were joined by the researchers from pilot phases I and II who applied all new or modified indicators in their respective countries. Pilot phase I included 72 indicators. During this phase, we were still considering identifying narrowly defined and universally applicable best practices. However, through the review discussion, it became clear that this would be too prescriptive and not capture the nuances of each country context. Moreover, it would not reflect the terminology utilized by leading oversight practitioners, who use online data collection system. During the two-day the term “good practice” rather than best practice. review meeting, following data collection, analysis, The participants recommended, and we concurred, findings, and validations, the experts actively revised that the implementation assessment tool should the indicators, removing any indicator deemed serve to develop and measure “good practice” and in repetitive and making necessary language changes to this way more meaningfully reflect the reality that accommodate a variety of government contexts. One there may be multiple good practices, depending on of the main modifications made for pilot phase II country circumstances and administrative dynamics. was to include indicators that looked more Methodological changes were made following this specifically at implementation in practice, which was phase, including adding a blind–peer review, accomplished through use of four “wild cards.” We assessing a smaller, less-resourced agency, and using also reduced the number of indicators to a more the Indaba platform for data collection. manageable 65 and strengthened the indicators related to records management, with increased focus on electronic records. With the revisions and refinements based on the pilot phase I review, the IAT now included 75 indicators to test in pilot phase I and II countries: Pilot phase III was the final testing of the indicators. Chile, Indonesia, Scotland, and Uganda joined South For this phase, we retained the same methodology Africa, Bangladesh, and Mexico. The local and workflow, including the blind–peer reviewer researchers applied the tool in the original six and the focal groups, but used the modified ministries as well as in a seventh smaller agency, and indicators. As with the other phases, Carter Center in this phase, we engaged the Indaba platform, an staff reviewed each finding, submitted questions to both the researchers and the blind-peer reviewers, and assured the quality and consistency of each finding. At the conclusion of pilot phase III, we held the final expert review to make any necessary, last adjustments to the indicators and presented the IAT to the community of practice. Overall, during the three phases of piloting, the IAT had been applied in six to seven agencies in eleven countries, with many of the countries assessed more than once, resulting in the review of over 8,000 individual indicators. he access to information legislation Implementation Assessment Tool (IAT) is designed as a matrix, with indicators related to baskets of activities (leadership, rules, systems, resources, and monitoring) and government functions/responsibilities (such as responding to requests, automatic publication, etc.). The indicators are scored using the “stoplight method,” with a scale including green, yellow, and red. Green will indicate that the administration has done well, yellow will demonstrate that there has been some activity/engagement but an insufficient amount, and red will show that the administration has either not en- gaged or done very little to advance on this part of its implementation. Black and white stripes are used to reflect that the indicator is not applicable in the agency being tested. There are two types of indicators; 1) self-reporting indicators which are addressed through an interview and 2) indicators which can be verified through desk research or document review. All findings will then go through a validation process and two forms of peer review (blind peer review and focal groups). It is important to note that these indicators have been tested in three pilot phases in more than 10 coun- tries. While these are the final indicators emanating from the pilot testing and reviews, there is a possibility that additional changes/amendments will be made in the future. 5. How often are ATI guidelines revised by an agency 1. Does the agency’s strategic plan incorporate ATI, such as official with authority over policy? by including specific mention of access to information a. ATI guidelines are revised following a change in and/or principles of openness and transparency? policy a. Yes b. ATI guidelines have not been revised following a b. No change in policy 2. How often does an agency official with authority over c. Not applicable, the policy has not been changed or policy participate in meetings with public officials agency does not have authority to revise responsible for ATI activities? 6. Does the agency make all guidelines available for a. Twice a year reference? b. Once a year a. The guidelines are kept online or in an easily c. Rarely or never accessible reference center for consultation by civil servants and the public b. The guidelines are kept online or in an easily 3. Has the agency created or adopted specific guidelines on accessible reference center but are only available to ATI? civil servants a. Yes c. The guidelines are not easily available for reference or b. No do not exist 4. How often are ATI guidelines reviewed by an agency 7. Does the agency have a document(s) that establishes official with authority over policy? instructions for ATI implementation and/or operation? a. ATI guidelines are reviewed at least every two years a. Yes b. ATI guidelines are reviewed periodically b. No c. ATI guidelines have not been reviewed d. Not applicable, the guidelines are less than two years old 8. Does the document(s) detailing instructions for ATI for ATI functions and duties has both the time and implementation and/or operation currently reflect the staff needed to fulfill his/her ATI responsibilities agency's ATI policy? b. The public official(s) appointed/tasked responsible a. Yes for ATI functions and duties has the time but not the b. No staff needed to fulfill his/her ATI responsibilities 9. Has the agency internally disseminated the document(s) c. The public official(s) appointed/tasked responsible detailing instructions for ATI implementation and/or for ATI functions and duties does not have the time operation? but does have the staff needed to fulfill his/her ATI a. The document(s) has been disseminated electronically responsibilities and/or in print to all public officials who handle and d. The public official(s) appointed/tasked responsible manage information for ATI functions and duties does not have the time b. The document(s) has only been disseminated to some or the staff needed to fulfill his/her ATI public officials responsibilities c. The document(s) has only been referenced and not 16. Does the public official(s) appointed/tasked responsible disseminated or there is no document(s) for ATI functions and duties and his/her staff receive specialized training on ATI? a. The public official(s) appointed/tasked responsible 10. Does the agency's public outreach specifically include a for ATI functions and duties and his/her staff component regarding ATI? receive specialized training on ATI in order to a. Yes effectively do their job b. No b. The public official(s) appointed/tasked responsible 11. Does the agency specifically provide information on for ATI functions and duties and his/her staff how to make a request and to find proactively receive specialized training on ATI but not sufficient published information? in order to effectively do their job a. Yes c. The public official(s) appointed/tasked responsible b. No for ATI functions and duties and his/her staff do not 12. Has one or more public official been made responsible receive specialized training on ATI for ATI functions and duties? 17. Are all public officials made aware of basic ATI a. One or more public official(s) has been formally principles? appointed with ATI functions and duties a. All public officials periodically receive formal b. One or more public official(s) has been informally communication regarding basic ATI principles tasked with ATI functions and duties b. All public officials receive periodic communication c. There is no specific appointment/tasking of ATI regarding basic ATI principles but not formally functions and duties c. All public officials receive formal communication 13. Has the name of the public official(s) appointed/tasked regarding basic ATI principles but not periodically responsible for ATI functions and duties been made d. No systematized formal mechanisms are undertaken known to the public? by the agency to periodically make public officials a. Yes aware of basic ATI principles b. No 18. Are training materials related to ATI created and 14. Does the public official(s) appointed/tasked responsible maintained for future reference by public officials? for ATI functions and duties have the authority needed a. All training materials related to ATI are kept online to comply with ATI mandate? or in an easily accessible reference center for a. Yes consultation by public officials b. No b. Some but not all training materials related to ATI are 15. Does the public official(s) appointed/tasked responsible made available for consultation for ATI functions and duties have the time and staff c. Training materials related to ATI are not created or needed to fulfill his/her ATI responsibilities? they are not made available a. The public official(s) appointed/tasked responsible 19. Does the public official(s) responsible for ATI functions and duties have regular access to necessary equipment? 25. In your expert opinion, in practice does the agency a. The responsible public official(s) has dedicated or effectively fulfill its fundamental functions related to regular access to all of the following: computers with access to information? internet; scanners; and photocopy machines a. In practice, the agency fulfills its fundamental b. The responsible public official(s) has dedicated or functions related to access to information regular access to some but not all of the above b. In practice, the agency partly fulfills its fundamental c. The responsible public official(s) has no access or functions related to access to information irregular access c. In practice, the agency does not effectively fulfill its 20. Has the agency created a space, physical or virtual, to fundamental functions related to access to make requests, review documents, and share information proactively published information? a. The agency has created space for making requests, reviewing documents, and sharing proactively 26. Does the agency have written guidelines for receiving published information. requests? b. The agency has created some of the spaces, but not all a. The agency has created or adopted written guidelines c. The agency has not created space for making for receiving requests that include all of the requests, reviewing documents, or sharing following: proactively published information i. determining what constitutes a request; 21. Does the agency specifically allocate the financial ii. providing an acknowledgment of receipt; resources necessary for fulfilling its ATI functions and iii. and assisting the requester duties? b. The agency has created or adopted written guidelines a. Yes that include some but not all of the above b. No c. The agency has not created or adopted written guidelines for receiving requests 27. Does the agency have written guidelines for processing 22. Does the agency monitor its ATI functions and duties? requests? a. The agency regularly monitors its ATI functions and a. The agency has created or adopted written guidelines duties and written reports with findings and for processing requests that include all of the recommendations are issued on an annual basis following: b. The agency regularly monitors its ATI functions but i. coordination within the agency; written reports with findings and recommendations ii. timeframes; are not issued on an annual basis iii. cost determination; fee collection; c. The agency does not regularly monitor its ATI iv. and transfer (where applicable) functions b. The agency has created or adopted written guidelines 23. Does the agency’s internal oversight body/auditing that include some but not all of the above mechanism take into account ATI functions and duties? c. The agency has not created or adopted written a. Yes guidelines for processing requests b. No 28. Does the agency have written guidelines for responding 24. Does the agency’s performance review of persons (release or deny) to requests? appointed/tasked with ATI functions and duties takes a. The agency has created or adopted written guidelines these responsibilities into account in their review? for responding to requests that include all of the a. Yes following: b. No i. process for determining release; ii. means for providing requested information; iii. means for providing notice of denial; iv. and reason for denial of information requested b. The agency has created or adopted written guidelines 32. Does the agency have a procedure for transferring that include some but not all of the above requests to other agencies? c. The agency has not created or adopted written a. The agency has created or adopted a procedure for guidelines for responding to requests transfer of requests that includes all of the following: 29. Does the agency have written guidelines for internal i. identifying the correct agency; review? ii. transferring requests; a. The agency has created or adopted written guidelines iii. and providing notice of transfer to the requester for internal review that include all of the following: b. The agency has created or adopted a procedure that i. receiving requests for review; includes some but not all of the above ii. reviewing agency’s motives for initial decisions; c. The agency has not created or adopted a procedure iii. and issuing findings and decisions for transferring requests b. The agency has created or adopted written guidelines d. Not applicable, if the law does not provide for that include some but not all of the above transfers c. The agency has not created or adopted guidelines for 33. Does the agency have a procedure for issuing and internal review serving responses? d. Not applicable, if the law does not mandate/provide a. The agency has created or adopted a procedure for for internal review issuing and serving responses that includes all of the following: i. provision of requested documents; notice and collection of fees, where applicable; 30. Does the agency have a procedure for logging and ii. and sending notice of denial and right of review tracking requests and responses? or appeal a. The agency has created a logging and tracking b. The agency has created or adopted a procedure for procedure that includes all of the following: issuing and serving responses that includes some i. updating to keep current; but not all of the above ii. tracking a request in one place; c. The agency has not created or adopted a procedure iii. and detailing the request from submission for issuing and serving responses through resolution, including processing agent(s), transfers, and internal reviews b. The agency has created or adopted a logging and tracking procedure that includes some but not all of 34. Does the agency regularly capture statistics related to the above receiving and responding to requests? c. The agency has not created or adopted a logging and a. The agency systematically captures statistics on an tracking procedure annual basis including all of the following: 31. Does the agency have a procedure for processing a i. number of requests; request? ii. number of transfers (if applicable); a. The agency has created or adopted a procedure for iii. number of denials; reasons for denial; processing a request that includes all of the iv. and number of days to respond to requests following: b. Some of the statistics are systematically captured on i. identifying who in the agency holds the an annual but not all of the above information searching and finding information; c. The agency does not systematically capture statistics ii. and determining release, redaction, or denial on an annual basis b. The agency has created or adopted a procedure for processing a request that includes some but not all of the above c. The agency has not created or adopted a procedure for processing a request 38. Has one or more public official been appointed 35. In your expert opinion, in practice does the agency responsible for proactive disclosure functions and effectively fulfill its function related to receiving and duties? responding to requests? a. One or more public official has been appointed a. In practice, the agency fulfills its function related to responsible for proactive disclosure functions and receiving and responding to requests duties b. In practice, the agency partly fulfills its function b. One or more public official has been informally related to receiving and responding to requests tasked responsible for proactive disclosure functions c. In practice, the agency does not effectively fulfill its and duties function related to receiving and responding to c. There is no specific appointment/tasking of proactive requests disclosure functions and duties 39. Does the public official(s) responsible for proactive disclosure have the time and staff necessary to 36. Does the agency have written guidelines for proactive effectively fulfill his/her functions and duties? disclosure? a. The public official(s) tasked/appointed responsible a. The agency has created or adopted written guidelines for proactive disclosure has both the time and staff for proactive disclosure that includes all of the needed to fulfill his/her functions and duties following: b. The public official(s) tasked/appointed responsible i. development of the publication scheme; for proactive disclosure has the time but not the staff ii. updating and maintaining the scheme; needed to fulfill his/her functions and duties iii. guidance for clearly identifying/listing classes of c. The public official(s) tasked/appointed responsible documents to be proactively disclosed; for proactive disclosure does not have the time but iv. and how documents will be disclosed does have the staff needed to fulfill his/her b. The agency has created or adopted written guidelines functions and duties for proactive disclosure that includes some but not d. The public official(s) tasked/appointed responsible all of the above for proactive disclosure does not have the time or c. The agency has not created or adopted written the staff needed to fulfill his/her functions and guidelines for proactive disclosure duties 40. Is the public official(s) responsible for proactive disclosure trained to comply with their duties? 37. Does the agency have a procedure for proactive a. The public official(s) responsible for proactive disclosure? disclosure receives specialized training in order to a. The agency has created or adopted a procedure for effectively do their job proactive disclosure that includes all of following: b. The public official(s) responsible for proactive i. creating and maintaining publication scheme; disclosure receives some specialized training but not ii. placing documents in public realm; sufficient in order to effectively do their job iii. updating and adding document(s) for proactive c. The public official(s) responsible for proactive disclosure; disclosure does not receive specialized training iv. and publishing previously requested document(s) b. The agency has created or adopted a procedure for proactive disclosure that includes some but not all of 41. Does the agency capture statistics related to proactive the above disclosure on an annual basis? c. The agency has not created or adopted a procedure a. Yes for proactive disclosure b. No 42. Does the agency regularly monitor its proactive b. The agency has created or adopted some written disclosure? guidelines for records management but do not a. The agency regularly monitors its proactive include all of the above disclosure and written reports with findings and c. The agency has not created or adopted written recommendations are issued on an annual basis guidelines for records management b. The agency regularly monitors its proactive 47. Does the agency have written guidelines for security disclosure but written reports with findings and classification of documents? recommendations are not issued on an annual basis a. The agency has created or adopted written guidelines c. The agency does not regularly monitor its proactive for security classification of documents that includes disclosure all of the following: i. determining classification and periods of classification (reserve); 43. In your expert opinion, in practice does the agency ii. access and internal transmission of classified effectively fulfill its function related to proactive documents; disclosure? iii. and creation of index or other means of a. In practice, the agency fulfills its function related to identifying classified documents proactive disclosure b. The agency has created or adopted some written b. In practice, the agency partly fulfills its function guidelines for security classification of documents related to proactive disclosure but they do not include all of the above c. In practice, the agency does not effectively fulfill its c. The agency has not created or adopted written functions related to proactive disclosure guidelines for security classification of documents 48. Does the agency have a document(s) that establishes instructions/guidelines for implementation and/or 44. How often does an agency official with authority over operations for records-management? policy participate in meetings with public officials a. Yes responsible for records management? b. No a. Twice a year b. Once a year c. Rarely or never 49. Does the agency have a procedure for security 45. Has the agency created or adopted a records classification of documents? management policy for managing paper based and a. The agency has created or adopted a procedure for digital information? classifying documents that includes all of the a. Yes following: b. No i. assessing documents for security classification when created, received, transmitted and/or requested; 46. Does the agency have written guidelines for records ii. security measures and access control; management, regardless of format (including digital iii. timelines for classification; records, maps etc.)? iv. and creating and disseminating an index or other a. The agency has created or adopted written guidelines means of identifying classified documents for records management that include all of the b. The agency has created or adopted a procedure for following: security classification of documents that includes i. creating records; some but not all of the above ii. organizing records; c. The agency has not created or adopted a procedure iii. storing/preserving; for security classification of documents iv. retention; security; iv. and retrieval and access 50. Does the agency have a procedure to manage its paper 53. Does the agency have a procedure to retrieve and access records? digital records? a. The agency has created or adopted a procedure to a. The agency has created or adopted a procedure to manage paper records that includes all of the retrieve and access digital records that includes all following: of the following: i. creation; i. an organization (non-security classification) ii. organization/aggregation of files (non-security structure; related classification); ii. naming conventions for records in shared drives; iii. survey and inventory; iii. and location of systems holding digital records iv. indexes and circulation logs; b. The agency has created or adopted a procedure to v. access permission; retrieve and access digital records but does not vi. and retention and disposal include all of the above b. The agency has created or adopted a procedure to c. The agency has not created or adopted a procedure to manage paper records but it does not include all of retrieve and access of digital records the above c. The agency has not created or adopted a procedure to manage paper records 54. Has one or more public official been appointed 51. Does the agency have a procedure to manage its digital responsible for records management? records? a. One or more public official(s) has been appointed a. The agency has created or adopted a procedure to with records management functions and duties manage digital records that includes all of the b. One or more public official(s) has been informally following: tasked with records management functions and i. creation, including structured metadata; duties ii. organization/aggregation of files (non-security c. There is no specific appointment/tasking of records related classification); management function and duties iii. survey and inventory; organization; 55. Does the public official(s) appointed/tasked responsible iv. security rights and access permissions; for records management functions and duties have the v. and retention/preservation and disposal time and staff needed to fulfill his/her responsibilities? b. The agency has created or adopted a procedure to a. The public official(s) appointed/tasked responsible manage digital records but it does not include all of for records management functions and duties has the above both the time and staff needed to fulfill his/her c. The agency has not created or adopted a procedure to responsibilities manage digital records b. The public official(s) appointed/tasked responsible 52. Does the agency have a procedure to retrieve and access for records management functions and duties has paper records? the time but not the staff needed to fulfill his/her a. The agency has created or adopted a procedure to responsibilities retrieve and access paper records, which includes all c. The public official(s) appointed/tasked responsible of the following: for records management functions and duties does i. Indexes or registries; not have the time but does have the staff needed to ii. scheme to physically locate records; fulfill his/her responsibilities iii. and a log that tracks circulation and retrieval d. The public official(s) appointed/tasked responsible b. The agency has created or adopted a procedure to for records management functions and duties does retrieve and access paper records, but does not not have the time or the staff needed to fulfill his/ include all of the above her responsibilities c. The agency has not created or adopted a procedure to retrieve and access of paper records 56. Does the public official(s) appointed/tasked responsible for records management and his/her staff receive specialized training on records management? a. The public official(s) appointed/tasked responsible 59. Does the agency regularly monitor its records for records management and his/her staff receive management functions and duties? specialized and formal training on records a. The agency regularly monitors its records management management system and written reports with b. The public official(s) appointed/tasked responsible findings and recommendations are issued on an for records management and his/her staff receives annual basis only formal basic records management training b. The agency regularly monitors its records c. The public official(s) appointed/tasked responsible management system but written reports with for records management and his/her staff receives findings and recommendations are not issued on an no formal training annual basis 57. Are all public officials made aware of basic records c. The agency does not regularly monitor its records management procedures? management system a. All public officials periodically receive formal communication of basic records management procedures 60. In your expert opinion, in practice does the agency b. All public officials receive periodic communication effectively fulfill its function related to records regarding basic records management procedures but management? not formally a. In practice, the agency fulfills its function related to c. All public officials receive formal communication records management regarding basic records management procedures but b. In practice, the agency partly fulfills its function not periodically related to records management d. No systematized formal mechanisms are undertaken c. In practice, the agency does not effectively fulfill its by the agency to make public officials aware of basic functions related to records management records management procedures 58. Has the agency created space and facilities for storing paper and digital records? a. The agency has created sufficient space/facilities to store and preserve all relevant paper and digital records b. The agency has created space/facilities to store and preserve all relevant paper and digital records but it is not sufficient c. The agency has not created space/facilities to store all relevant paper and digital records Photo on back cover courtesy of https://commons.wikimedia.org/ wiki/File:ASUNCI%C3%93N_Asunci%C3%B3n_Paraguay.jpg