Wri/idrc report

Annexure D: Institutional Assessments

Template 1: Minerals and Resources

		SOURCE	Findings	Score
	Request responded to in time limits		No response	0
I	Information on how to make a request			4
1	Is the process for submitting requests readily available to requestors and does the process of submitting requests accommodate different ways of making a request?	SA - Request copy of PAIA Manual ( sections.14 & 32)&Analysis of procedures to obtain access under sectoral law Uganda -Request copy of Manual required under (Section 7) &Analysis of procedures to obtain access under sectoral law Ghana request documentation of procedure for sectoral law/ constitutional law		1
1a	Does the institution indicate the name of an information officer as focal point for information requests?	Review of website and documents received	Yes, in PAIA Manual.	1
1b	Are full contact details provided including physical address, postal address, fax number and e-mail address?	Review of website and documents received	Yes, in PAIA Manual - but out of date.	0
2	Is there a list of all categories of records held by the institution, which also identifies those records which can be disclosed and those which cannot?	request a list of categories of records held by the institution		3
2a	Is there a list of all categories of records held?		Yes, in PAIA manual.	1
2b	Is the list disaggregated to show categories of records held which are routinely available?		Yes, in PAIA manual.	1
2c	Is the list disaggregated to show categories of records held which are available on request?		Yes, in PAIA manual.	1
2d	Is there a list of categories of records held which cannot be disclosed?		Not disaggregated like this.	0
II	Records Management			6
3	Is there an efficient system for the storage and organisation of records	South Africa , Uganda and Ghana- request copy of record management policies, terms of reference of records managers job description – Interview government official		5
3a	What system is used to organise records	Record management policies		1
3b	What system is used to archive information?	Record management policies	The auxillary services look to National Archives Act	1
3c	Is there a file plan?	File Plan	There is a file plan.	1
3d	Has a Records Manager been appointed?	Details of record manager	The Director of Auxillary Services.	1
3e	Does the Records Manager have specific responsibilities in relation to providing access to records based on the law?	Description of records manager's job	Only those that are relevant to their job.	1
4	Are there rules governing the generation of a record?	Internal instruction	Yes.	1
III	Internal Mechanisms			10
5	Is there a system for recording and reporting on both the type and number of requests received and how they were responded to?	South Africa , Uganda and Ghana -Request monthly report of number of requests for information received under ATI law and sectoral laws		4
5a	Is there a log of requests?	Procedure for handling requests for information, Review of website and documents received	Yes	1
5b	Are the number of requests received provided?		Yes	1
5c	Is the information being requested captured by the system?		Yes	1
5d	Are the responses to the requests provided?		No	0
5e	Is the date when the request was responded to provided?		Yes	1
6	Are requests recorded in detail?		No - while it exists on paper, they have failed to submit the section 32 report to the SAHRC.	0
6a	Number of requests received?	South Africa (Section 32 Report) and number of requests received under sectoral laws Uganda Section 43 Ministers Report- and number of requests received under sectoral law provisions - Ghana- Analysis of current procedures to obtain access under constitutional or sectoral law	Section 32 report	0
6b	Responses to the requests?		Section 32 report	0
6c	Appeals lodged?		Section 32 report	0
7	Are there adequate internal guidelines for frontline officials on how to handle requests?			2
7a	Are frontline staff instructed on how to deal with requestors?	Request training course materials for staff on ATI law and sectoral laws - Evidence of training on ATI law or constitutional/sectoral law in the case of Ghana	In the interview, this was positively affirmed.	1
7b	Do frontline staff know about the ATI/ Evidence of training on ATI law constitutional/sectoral Law?	Evidence of training on ATI law	In the interview, this was positively affirmed.	1
8	Are there effective internal procedures for processing requests and communicating with requestors to ensure that requests are responded to within the timeframe under the Law?			2
8a	Are requests acknowledged upon receipt?	request procedure for tracking progress or interview	In the interview, this was positively affirmed.	1
8b	Is there an internal tracking system?		In the interview, this was negated.	0
8c	Is the system above manual or electronic?			Manual
8d	If the system is electronic, was it specifically designed for handling and processing requests under the law?		Not applicable.
8e	Are there time frames indicating the internal routing of the request?		In the interview, this was positively affirmed.	1
9	Are there adequate internal procedures for assisting disadvantaged requestors?			0
9a	Are there standing orders for assisting visually impaired requestors?	Request Policy on disadvantaged requestors or interview	Interviewee not sure.	0
9b	Are there standing orders for assisting illiterate requestors?		Interviewee not sure.	0
9c	Are there standing orders for assisting requestors who are unable to communicate in English/ the working language of government?		Interviewee not sure.	0
9d	Other than IT-based communication tools, such as websites, how else does the institution share information with members of the public?		Interviewee not sure.	0
9e	Does the institution have a policy of waiving request fees from requestors who are unemployed or can't afford to pay the request fee?		Interviewee not sure.	0
10	Is there an implementation plan which operationalises the law ?	request Internal procedures or guidelines under ATI law and sectoral law	Yes	1
11	Is there an internal rule that encourages regular publication of records?	request policy on regular publication under ATI law or sectoral law	The website manager decides this, though PAIA itself through s14 and 15 also promotes.	1
IV	Resources			7
12	Are there financial resources allocated to the implementation of the ATI Act or sectoral law?	request budget for provision of ATI law or sectoral law	Yes, but through other budget lines.	1
13	Have staff been designated and trained to facilitate access to information?			5
13a	Number of staff designated?	List of information officers for ATI law and/or sectoral laws	In the interview, this was positively affirmed.	1
13b	Training received?		In the interview, this was positively affirmed. It was estimated that there were over 20 staff so trained.	1
13c	Specific responsibilities of designated staff?		In the interview, this was positively affirmed.	1
14	Is there a unit, or equivalent dedicated structure, established to monitor provision of information to the public?		In the interview, this was positively affirmed.	1
14a	To whom does the structure report?	Information on internal unit	They report to the Director-General.	1
15	Are there adequate incentives in place to ensure that staff comply with the Act and sanctions for non- compliance?			1
15a	Code of conduct?	Incentives and sanctions policy for ATI or sectoral laws	No.	0
15b	Incentives e.g. compulsory training, monetary rewards?		Yes, within their relevant performance agreement.	1
V	Evaluation Capabilities			4
16	Does the organisation have a specific policy that guides evaluation of its performance e.g.strategic plan request document that contains internal yearly performance indicators for agency			4
16a	Is this document made available to the public?		Yes; see also the Integrated Development Plan process.	1
16b	Are the results of the yearly evaluation made available to the public?	request report evaluating agencies performance for year	Yes.	1
16c	Is there a specific person responsible to ensure that the agency meets its goals as set out in the plan?		Forms part of performance agreements.	1
16d	Is there an independent mechanism that could be used to audit the performance of the agency e.g. auditor general?	request copy of any audit of agencies performance over last 3 year	Auditor-General, audit services.	1
16e	Are external stakeholders engaged in an evaluation of performance under the plan?		Not indicated in interview.	0
16f	Are staff trained on how to evaluate their performance yearly?		Not indicated in interview.	0
VI	Complain and Response Capabilities			6
17	Does the organisation have a policy on how to address complaints about non -performance of the agency from external stakeholders?	request copy of policy on complaints		6
17a	Does the agency assure confidentiality to complainants?		Depends on nature of complaint, but generally no.	0
17b	Does the agency explain how to lodge a complaint and how this complaint will be investigated?		PAIA Manual	1
17c	How does the agency ensure the independence of the investigation?		PAIA appeal process guided by policy.	1
17d	Is there an independent mechanism to challenge the decision of an agency against which there has not been an appropriate response to a complaint?		Depends on nature of complaint.	1
17e	Is there a person responsible for the complaints procedure?	copy of appeal procedures	Depends on nature of complaint.	1
17f	Is the complaint policy widely disseminated?	check website	They do provide a link to the Presidential Hotline for complaints. Information on tender complaints can be sent to the Public Protector.	1
17g	Are staff trained on how to respond to complaints?		Not indicated in interview.	0
17h	Is there a guarantee of non- retaliation against the complainant?		Depends on nature of complaint.	1
Total				37