Open Government Data Assessment Report Template

Transcription

1 DPADM/UNDESA, Guide on Lessons for Open Government Data Action Planning Open Government Data Assessment Report Template Table of Contents Objective 2 Methodology 2 Executive Summary 5 Assessment Findings and Recommendations 6 1. Government Commitment 6 2. Policy/Legal Framework 7 3. Institutional Structures, Responsibilities and Capabilities within Government 9 4. Government Data Management Policies and Procedures Demand for Open Data Civic Engagement and Capabilities for Open Data Funding an Open Data Programme National Technology and Skills Infrastructure 14 Perceptions of Open Government Data 15 Assessment of Key Datasets 15 General Conclusions and Recommendations 16 Recommendations for Action Planning 16 Annexes 17 Assessment Summary 17 Recommended Actions Roadmap 17 Glossary 18

2 Objective The Open Government Data (OGD) Assessment Methodology is designed to support governments, citizens and other stakeholders to assess the specific conditions for the implementation of OGD initiatives at the national and/or at the sub-national level. The objective of the assessment is threefold: 1. Help understand the specific local context (including enabling factors and obstacles and their implications) for the introduction of OGD initiatives and identify opportunities as well as challenges that impact the formulation of appropriate actions and policies to address them. 2. Build a starting point of an appropriate knowledge base and facilitate knowledge sharing and capacity building. 3. Assist in defining an action plan for the implementation of OGD initiatives by exploring key elements along the eight dimensions of sustainable OGD ecosystems, namely: government commitment; policy/legal framework; institutional structures and capabilities in government; supply of relevant data; demand for data; citizen engagement and capabilities for open data; funding for the OGD programme, and national technology and skill infrastructure. Methodology The methodology builds on the rich experience of practice and combines elements of the Open Government Data for Citizen Engagement Guidelines from UNDESA, the Open Data Readiness Assessments (ODRA) form the World Bank as well as similar assessment methodologies from the World Wide Web Foundation and OECD. The methodology follows a mixed-method approach, combining literature review and media monitoring, desk research, survey work, self-assessment tool, expert interviews (semi-structured, open ended and informal), in-country reviews, and stakeholder workshops. The methodology contains three elements: 1. Self-Assessment Tool: The self-assessment tool is designed to quickly assess the key factors for the introduction of an OGD initiative present in the local conditions and identify opportunities and challenges specific for the implementation in a country. 2. Perception Survey: A short survey is designed to capture people s perception of the supply and demand side of OGD in a country and the general conditions for the implementation of OGD programmes. 3. Desk research and Interview Questionnaire: Desk research provides quantitative and qualitative data in preparation for expert interviews during in-country reviews and workshops. The questionnaire is used as a baseline for conducting the interviews with county and domain experts; however, interviews might be conducted more like conversations centred on the expertise and experiences of the respective interviewee. These elements are complementary and build on each other. None of the elements is designed to be used as a stand-alone. The results from all three measures should inform an OGD Assessment Report as the final product of the assessment. Open Government Data Assessment Report Page 2 of 18

3 The assessment is a lightweight and pragmatic approach to get a basic understanding of the local context for the introduction of OGD initiatives to identify opportunities and challenges (including enabling factors and obstacles and their implications), in order to formulate appropriate actions and relevant policies. The assessment does not provide any legal advice nor is designed to deliver final recommendations. Instead it highlights opportunities, and points to gaps and challenges that need to be addressed to formulate recommendations and define appropriate actions. N.B. This is a diagnostic and planning tool; it is not a measurement tool. This tool is intended to provide diagnostics and recommendations for action based on existing good practice elsewhere, but it is not a prescription for Open Data, nor is it a formal evaluation exercise. The output of any diagnostic, even following the guidance in this tool, needs to be carefully and critically considered in the context of the particular circumstances in which it has been made. Using the tool will not guarantee a successful and sustainable Open Data initiative on its own; implementation is crucial to ensure success. The purpose of the tool is to provide a plan for action for an Open Data programme, as well as initiating a robust and consultative dialogue among relevant stakeholders. In that sense, the use of this tool is the beginning and not the end result of a process. This tool is a living document and will be subject to continuous updating and revision based on experience from actual practice. In addition, other means of assessing readiness for Open Data are available, and this tool is not necessarily the only, or always the most appropriate, in all particular circumstances. The preliminary analysis and recommendations in the Policy/Legal Framework section are based on information and opinions collected from interviews undertaken and materials provided by the government and other local stakeholders during the assessment. This section is not based on detailed, legal due diligence and does not constitute legal advice. Accordingly, no inference should be drawn as to the completeness, adequacy, accuracy or suitability of the underlying assessment, or recommendations, or any actions that might be undertaken resulting therefrom, regarding the enabling policy, legal or regulatory framework for Open Data in the country. It is therefore recommended that, prior to undertaking any legal action to address any legal assessment issue raised herein, a formal legal due diligence be performed by competent, locally qualified legal counsel, preferably assisted by international legal experts with relevant experience and knowledge of these areas. Open Government Data Assessment Report Page 3 of 18

4 Acronyms PLEASE INCLUDE THE ACRONYMS USED IN THE DOCUMENT Open Government Data Assessment Report Page 4 of 18

5 Executive Summary PLEASE INCLUDE THE KEY FINDINGS Open Government Data Assessment Report Page 5 of 18

6 Recommendations Assessment Findings and 1. Government Commitment Context: Open Data Programmes require the implementation of legal, institutional, technological and cultural changes- and may affect stakeholders both inside and outside government. To this end, focused, strong, sustained, political/senior leadership is critical to help overcome any possible resistance and inertia, to help incentivize actors to make the necessary changes in a timely and effective manner, and to achieve the desired objectives and benefits of Open Data. Assessment 1. Government commitment Overall: Total Score out of 100% Questions Score Comments 1.1 To what extent is there political commitment from top-level decision makers for opening up government data? 1.2 To what extent is there political commitment from top-level decision makers for related rights such as access to information, transparency, accountability and to fight corruption? 1.3 To what extent does the Government actively consult/involve citizens in policy making? 1.4 To what extent is there an established political leadership and governance model for policy and implementation of programs across multiple institutions or across government as a whole? 1.5 To what extent has the government officially committed to international programs (such as the Open Government Partnership) that mandate for OGD, transparency, accountability and citizen engagement? Recommended actions Ref Action Responsibility Timescale Comments A1.01 Open Government Data Assessment Report Page 6 of 18

7 A1.02 A Policy/Legal Framework Context: The long-term success and sustainability of an OGD Programme is greatly impacted by a conducive policy and legal framework. OGD requires that a range of policy and legal issues be addressed for example, with respect to the licensing of data reuse. It is important to examine at an early stage the existing policies, laws and regulations with respect to a core set of issues, and detect actual or perceived obstacles This would allow initiating at an early stage of OGD development any Open Government Data Assessment Report Page 7 of 18

8 required policy or legal change. N.B.: The preliminary analysis and recommendations in this section are based on information and opinions collected from interviews undertaken and materials provided by the government and other local stakeholders during this study. This section is not based on detailed, legal due diligence and does not constitute legal advice. Accordingly, no inference should be drawn as to the completeness, adequacy, accuracy or suitability of the underlying assessment, or recommendations, or any actions that might be undertaken resulting therefrom, regarding the enabling policy, legal or regulatory framework for Open Data in the country. It is therefore recommended that, prior to undertaking any legal action to address any legal assessment issue raised herein, a formal legal due diligence be performed by competent, locally qualified legal counsel, preferably assisted by international legal experts with relevant experience and knowledge of these areas. Assessment 2. Policy/legal framework Overall: Total Score out of 100% Questions Score Comments 2.1 Is there legislation on Privacy that effectively safeguards the protection of personal information? 2.2 Is there legislation on Access to Information, with an independent oversight body? 2.3 Does the Access to Information regime include provision for proactive disclosure? (pro-active publication) 2.4 Is Public Sector Information clearly/explicitly licensed in a way that allows reuse for all purposes? 2.5 To what extent is Public Sector Information available free of charge? (or at charges no higher than marginal cost?) Recommended actions Ref Action Responsibility Timescale Comments A2.01 A2.02 A2.03 Open Government Data Assessment Report Page 8 of 18

9 3. Institutional Structures, Responsibilities and Capabilities within Government Context: Equally to political and senior leadership, middle management level skills and leadership are important for the success of OGD policies: creating an Open Data Programme requires agencies to manage their data assets with a transparent, organized process for data gathering, security, quality control and release. To effectively carry out these responsibilities, agencies need to have (or develop) clear business processes for data management. They also need staff with adequate ICT skills and technical understanding of data requirements (e.g. formats, metadata, APIs, databases). The engagement of agencies at all levels of government is also vital to set common standards and remove impediments to data interoperability and exchange. This requires setting up mechanisms for interagency collaboration. Assessment 3. Institutional structures and capabilities in government Overall: Total Score out of 100% Questions Score Comments 3.1 To what extent is there an agency with relevant capabilities, mandates, project management experience and technical skills to be a suitable as lead institution in the planning and implementation of an Open Data Program? 3.2 To what extent is Public Sector Information available in digital formats? (versus available only on paper) 3.3 To what extent is there interagency ICT coordination across government? 3.4 To what extent are civil servants at the middle layer of government sufficiently skilled and resourced to implement an OGD program? 3.5 To what extent are civil servants at the middle layer of government sufficiently skilled and resourced to use data for analysis? (for evidence based policy) Recommended actions Ref Action Responsibility Timescale Comments A3.01 Open Government Data Assessment Report Page 9 of 18

10 A3.02 A Government Data Management Policies and Procedures Context: Open Data Programmes can build on existing established digital data sources and information management procedures within government. If data is only available in paper format, it will be costly and time consuming to release it as Open Data and in a reusable format. Conversely, good existing information management practices within government allow to find data and associated metadata and documentation, identify business ownership, assess what needs to be done to release it in open source and put processes in place that make the release of data a sustainable, business-as-usual, downstream process as part of day-to-day information management. Assessment 4. Government Data Management Policies and Procedures Overall: Total score out of 100% Questions Score Comments 4.1 To what extent does the government have a coherent view of its data holdings? (e.g. an inventory or asset information register) 4.2 To what extent are these inventories complete, detailed, and up to date? 4.3 Are there policies or standards for data quality, including provenance, accuracy, timeliness and completeness? 4.4 To what extent is data easily shared between agencies of government? (e.g. shared horizontally and vertically between agencies) 4.5 To what extent are OGD publicly available? Recommended actions Ref Action Responsibility Timescale Comments A4.01 A4.02 Open Government Data Assessment Report Page 10 of 18

11 A Demand for Open Data Context: The value of data is in its use. A strong demand of data is important to create and maintain public pressure release of data. It also helps developing the wider Open Data Ecosystem and transforming Open Data into economically or socially valuable services for people. The demand can come from civil society, the private sector, international organisations, development partners and individual people. Assessment 5. Demand for data Overall: Total Score out of 100% Questions Score Comments 5.1 Is there an established process for identifying and meeting demand for data, either inside or outside government? 5.2 To what extent are there Civil Society Organizations actively demanding for OGD? 5.3 To what extent are there private sector companies actively demanding for OGD? 5.4 To what extent are there Media Organizations or other intermediaries actively demanding for OGD? 5.5 To what extent is the Government responsive to requests for Public Sector Information from external stakeholders 1? Recommended actions Ref Action Responsibility Timescale Comments A5.01 A5.02 A Citizens, Civil Society Organizations, Academia, Private Sector, International organizations including donors. Open Government Data Assessment Report Page 11 of 18

12 6. Civic Engagement and Capabilities for Open Data Context: Following the three-tiered approach, an active and engaged civil society is key to the success of OGD programmes. It is also key that there are appropriate levels of capacities and skills in civil society to actually make use of OGD for evidence based advocacy and to create pilot projects that showcase OGD usefulness and impact. Assessment 6. Civic engagement and capabilities for open data Overall: Total Score 48% out of 100% Questions Score Comments 6.1 To what extent do citizens make active use of their basic rights, such as access to information and freedom of speech? 6.2 To what extent are there Civil Society Organizations or other intermediaries able to help translate OGD into meaningful information for the public? 6.3 To what extent does the Government actively promote reuse of government-held data? 6.4 To what extent is civil society engaged in consultations with the government about relevant policies such as Access to Information, Transparency, and Accountability? 6.5 Are there academic/other data analysis training programs available to produce enough technical experts? Recommended actions Ref Action Responsibility Timescale Comments A6.01 A6.02 A6.03 Open Government Data Assessment Report Page 12 of 18

13 7. Funding an Open Data Programme Context: Ensuring adequate funding for both the supply and demand side of Open Data is essential in order to meet the objectives of an Open Data critical. Assessment 7. Funding for the OGD program Overall: Total Score out of 100% Questions Score Comments 7.1 Is there secured funding for the initial phase of the OGD program (including: public consultations, stakeholder workshops, development of a OGD action plan and the publication of key datasets as OGD on a central data portal)? 7.2 Is there secured funding to implement efficient production, sharing and archiving of OGD? 7.3 Is there secured funding for capacity building for civil servants at the middle layer of government enabling them with the adequate ICT and data analytical skills? 7.4 Is there secured funding for support actions to promote reuse of OGD and capacity building to enable data intermediaries? 7.5 To what extent are there donor organizations willing to support the OGD program? Recommended actions Ref Action Responsibility Timescale Comments A7.01 A7.02 A7.03 Open Government Data Assessment Report Page 13 of 18

14 8. National Technology and Skills Infrastructure Context: In very practical ways, Open Data Programmes normally rely for their success on the national technology infrastructure; in particular, this refers to technology and communications services and the ICT skills among officials, intermediaries and the general public. Assessment 8. National technology and skill infrastructure Overall: Total Score 63% out of 100% Questions Score Comments 8.1 To what extent does the majority of population have access to basic ICT education? 8.2 To what extent does the majority of population has access to mobile communication technologies? 8.3 To what extent does the majority of population have access to media and the Internet? 8.4 Is there a national ICT industry, entrepreneurs, startups, developer community? 8.5 To what extent are there programs to address gender equality and the digital divide? Recommended actions Ref Action Responsibility Timescale Comments A8.01 A8.02 A8.03 Open Government Data Assessment Report Page 14 of 18

15 Perceptions of Open Government Data PLEASE COMPLETE THIS SECTION BASED ON THE RESULTS OF THE PERCEPTION SURVEY. INCLUDE THE RESULTS AND A BRIEF DISCUSSION ANALYZING THEM. INCLUDE ANY REQUIRED RECOMMENDATION. Assessment of Key Datasets PLEASE INCLUDE FINDINGS AND RECOMMENDATIONS ON KEY DATASETS. Open Government Data Assessment Report Page 15 of 18

16 Recommendations General Conclusions and PLEASE INCLUDE THE CONCLUSION AND KEY FINDINGS OF THIS ASSESSMENT Recommendations for Action Planning PLEASE INCLUDE SPECIFIC RECOMMENDATIONS FOR DEFINING AND IMPLEMENTING THE OGD ACTION PLAN Open Government Data Assessment Report Page 16 of 18

17 Annexes Assessment Summary This assessment is designed to produce a rapid evaluation of the local conditions for the possible introduction of an Open Data initiative. In doing this, the Assessment looks at eight dimensions. An overview of the assessment per dimension is demonstrated in the Table below. 8 Dimensions for sustainable OGD initiatives 1. Government Commitment 2. Policy/Legal Framework 3. Institutional Structures, Responsibilities and Capabilities within Government 4. Government Data Management Policies and Procedures 5. Demand for Open Data 6. Civic Engagement and Capabilities for Open Data 7. Funding an Open Data Program 8. National Technology and Skills Infrastructure General perceptions of Open Government Data Total score out of 100% -- Comments Recommended Actions Roadmap The table below presents the main recommended actions identified from the conducted assessment organized under a chronological line of time. Dimension Short term Short to medium term Medium term Medium to long term Long term Open Government Data Assessment Report Page 17 of 18

18 1. Government Commitment 2. Policy/Legal Framework 3. Institutional Structures, Responsibilities and Capabilities within Government 4. Government Data Management Policies and Procedures 5. Demand for Open Data 6. Civic Engagement and Capabilities for Open Data 7. Funding an Open Data Program 8. National Technology and Skills Infrastructure Glossary PLEASE INCLUDE THE GLOSSARY Open Government Data Assessment Report Page 18 of 18