Questionnaire
For each SGI Survey, 71 qualitative indicators (phrased as questions) are administered to country experts. These experts provide a written assessment and score for each indicator, which are scaled from 1 (worst) to 10 (best). There are four response options for each indicator, which ensures resonance between the numerical and qualitative assessment.
For more on the survey process, go to Methodology.
Economic Policies
How successful has economic policy been in providing a reliable economic framework and in fostering international competitiveness?
10
9
9
Economic policy fully succeeds in providing a coherent set-up of different institutional spheres and regimes, thus stabilizing the economic environment. It largely contributes to the objectives of fostering a country’s competitive capabilities and attractiveness as an economic location.
8
7
6
7
6
Economic policy largely provides a reliable economic environment and supports the objectives of fostering a country’s competitive capabilities and attractiveness as an economic location.
5
4
3
4
3
Economic policy somewhat contributes to providing a reliable economic environment and helps to a certain degree in fostering a country’s competitive capabilities and attractiveness as an economic location.
2
1
1
Economic policy mainly acts in discretionary ways essentially destabilizing the economic environment. There is little coordination in the set-up of economic policy institutions. Economic policy generally fails in fostering a country’s competitive capabilities and attractiveness as an economic location.
When answering the question, focus on the use and interplay of different regimes with regard to the aims of economic policy.
How effectively does labor market policy address unemployment?
10
9
9
Successful strategies ensure unemployment is not a serious threat.
8
7
6
7
6
Labor market policies have been more or less successful.
5
4
3
4
3
Strategies against unemployment have shown little or no significant success.
2
1
1
Labor market policies have been unsuccessful and rather effected a rise in unemployment.
Where possible, please refer to evidence supporting a causal relationship between government’s labor market policy and unemployment trends.
How effective is a country’s tax policy in realizing goals of revenue generation, equity, growth promotion and ecological sustainability?
10
9
9
Taxation policy fully achieves the objectives.
8
7
6
7
6
Taxation policy largely achieves the objectives.
5
4
3
4
3
Taxation policy partially achieves the objectives.
2
1
1
Taxation policy does not achieve the objectives at all.
(1) the provision of sufficient financial resources for the country to fulfil its given tasks and obligations also in the long run;
(2) the consideration of equity aspects in taxation; Taxation policies are not to discriminate between different groups of economic actors with similar tax-paying abilities (horizontal equity). Tax systems should also impose higher taxes on persons or companies with a greater ability to pay taxes (vertical equity).
(3) the promotion of a country’s competitive position. Tax rates and modalities should cushion cyclical fluctuations, promote economic growth and improve or at least not weaken a country’s competitive position in international tax competition.
(4) the promotion of ecological sustainability. Taxes should also have a steering function to change economic behavior to preserve the sustainability of natural resources and environmental quality (e.g. with the help of taxation of environmental emissions)
These objectives can often conflict with each other.
For this reason please explain the effectiveness of the country’s tax policy for each of the four objectives in a short paragraph. Please also rate each of the four objectives individually using the comment function in the SGI database (www.sgi-data.de). For your overall score of a country’s tax policy, please consider each of the four dimensions as equally weighted.
To what extent does budgetary policy realize the goal of fiscal sustainability?
10
9
9
Budgetary policy is fiscally sustainable.
8
7
6
7
6
Budgetary policy achieves most standards of fiscal sustainability.
5
4
3
4
3
Budgetary policy achieves some standards of fiscal sustainability.
2
1
1
Budgetary policy is fiscally unsustainable.
Note that for this question, a temporarily limited loosening of fiscal discipline in times of severe economic crisis does not per se constitute a lack of fiscal sustainability if such goals are/will be bindingly re-prioritized after the crisis is over (e.g., a “truly anti cyclical” economic policy strategy may be legitimate).
To what extent does research and innovation policy support technological innovations that foster the creation and introduction of new products?
10
9
9
Research and innovation policy effectively supports innovations that foster the creation of new products and enhance productivity.
8
7
6
7
6
Research and innovation policy largely supports innovations that foster the creation of new products and enhance productivity.
5
4
3
4
3
Research and innovation policy partly supports innovations that foster the creation of new products and enhance productivity.
2
1
1
Research and innovation policy has largely failed to support innovations that foster the creation of new products and enhance productivity.
To what extent does the government actively contribute to the effective regulation and supervision of the international financial architecture?
10
9
9
The government (pro-)actively promotes the regulation and supervision of financial markets. It demonstrates initiative and responsibility in such endeavors and often acts as an international agenda-setter.
8
7
6
7
6
The government contributes to improving the regulation and supervision of financial markets. In some cases, it demonstrates initiative and responsibility in such endeavors.
5
4
3
4
3
The government rarely contributes to improving the regulation and supervision of financial markets. It seldom demonstrates initiative or responsibility in such endeavors.
2
1
1
The government does not contribute to improving the regulation and supervision of financial markets.
(1) prevent/combat high-risk or criminal financial activities that pose systemic risks;
(2) ensure fair cost- and risk-sharing among financial market actors in the event of an international financial market failure; and
(3) enhance information transparency in international financial markets and strengthen consumer protection.
Social Policies
To what extent does education policy deliver high-quality, equitable and efficient education and training?
10
9
9
Education policy fully achieves the criteria.
8
7
6
7
6
Education policy largely achieves the criteria.
5
4
3
4
3
Education policy partially achieves the criteria.
2
1
1
Education policy does not achieve the criteria at all.
Of the three criteria – quality, equity in access and efficiency in resource allocation – efficiency should be given less weight if the first two criteria can be considered fulfilled.
To what extent does social policy prevent exclusion and decoupling from society?
10
9
9
Policies very effectively enable societal inclusion and ensure equal opportunities.
8
7
6
7
6
For the most part, policies enable societal inclusion effectively and ensure equal opportunities.
5
4
3
4
3
For the most part, policies fail to prevent societal exclusion effectively and ensure equal opportunities.
2
1
1
Policies exacerbate unequal opportunities and exclusion from society.
To what extent do health care policies provide high-quality, inclusive and cost-efficient health care?
10
9
9
Health care policy achieves the criteria fully.
8
7
6
7
6
Health care policy achieves the criteria largely.
5
4
3
4
3
Health care policy achieves the criteria partly.
2
1
1
Health care policy does not achieve the criteria at all.
Of the three criteria – quality, inclusiveness and cost efficiency – efficiency should be given less weight if the first two criteria can be considered fulfilled.
To what extent do family support policies enable women to combine parenting with participation in the labor market?
10
9
9
Family support policies effectively enable women to combine parenting with employment.
8
7
6
7
6
Family support policies provide some support for women who want to combine parenting and employment.
5
4
3
4
3
Family support policies provide only few opportunities for women who want to combine parenting and employment.
2
1
1
Family support policies force most women to opt for either parenting or employment.
To what extent does pension policy realize goals of poverty prevention, intergenerational equity and fiscal sustainability?
10
9
9
Pension policy achieves the objectives fully.
8
7
6
7
6
Pension policy achieves the objectives largely.
5
4
3
4
3
Pension policy achieves the objectives partly.
2
1
1
Pension policy does not achieve the objectives at all.
How effectively do policies support the integration of migrants into society?
10
9
9
Cultural, education and social policies effectively support the integration of migrants into society.
8
7
6
7
6
Cultural, education and social policies seek to integrate migrants into society, but have failed to do so effectively.
5
4
3
4
3
Cultural, education and social policies do not focus on integrating migrants into society.
2
1
1
Cultural, education and social policies segregate migrant communities from the majority society.
The objective of integration precludes forced assimilation.
How effectively does internal security policy protect citizens against security risks?
10
9
9
Internal security policy protects citizens against security risks very effectively.
8
7
6
7
6
Internal security policy protects citizens against security risks more or less effectively.
5
4
3
4
3
Internal security policy does not effectively protect citizens against security risks.
2
1
1
Internal security policy exacerbates the security risks.
Note that security threats emerging from inter-state conflict only play a role for a small set of SGI countries. While we encourage you to report about the credibility and effectiveness of security policies addressing such threats they shall not form part of your score.
To what extent does the government demonstrate an active and coherent commitment to promoting equal socioeconomic opportunities in low- and middle-income countries?
10
9
9
The government actively and coherently engages in international efforts to promote equal socioeconomic opportunities in low- and middle-income countries. It frequently demonstrates initiative and responsibility, and acts as an agenda-setter.
8
7
6
7
6
The government actively engages in international efforts to promote equal socioeconomic opportunities in low- and middle-income countries. However, some of its measures or policies lack coherence.
5
4
3
4
3
The government shows limited engagement in international efforts to promote equal socioeconomic opportunities in low- and middle-income countries. Many of its measures or policies lack coherence.
2
1
1
The government does not contribute (and often undermines) efforts to promote equal socioeconomic opportunities in low- and middle-income countries.
For reasons of comparability, the question focuses on:
(1) To what extent the government – both formally and in practice – shapes and advances social inclusion beyond its borders as expressed in global frameworks such as the United Nation’s SDG and post-2015 development agenda.
(2) To what extent the government promotes a fair global trading system in order to guarantee low- and middle-income countries free access to global markets. Protectionist trade barriers such as tariffs on imports or subsidies for domestic producers run contrary to this goal. Please note, however, that non-tariff barriers reflecting codified international social standards or consumer and environmental protection norms are legitimate.
Environmental Policies
How effectively does environmental policy in your country protect and preserve the sustainability of natural resources and environmental quality?
10
9
9
Environmental policy goals are ambitious and effectively implemented as well as monitored within and across most relevant policy sectors that account for the largest share of resource use and emissions.
8
7
6
7
6
Environmental policy goals are mainly ambitious and effectively implemented and are monitored within and across some of the relevant policy sectors that account for the largest share of resource use and emissions.
5
4
3
4
3
Environmental policy goals are neither particularly ambitious nor are they effectively implemented and coordinated across relevant policy sectors.
2
1
1
Environmental concerns have been largely abandoned.
1. Are environmental policy goals ambitious (i.e., do they target more than improvements to efficiency)?
2. Are environmental policies implemented with tangible impact?
3. Are environmental concerns integrated effectively across relevant policy sectors (i.e., energy, housing, transport, manufacturing industry, research and innovation, tourism, fisheries, agriculture)?
As environmental performance may be issue-specific, please provide a short paragraph for each of the four key targets of protection: resource use (land, water, materials, energy), environmental pollution (water, air, soil), climate and biodiversity protection.
To what extent does the government actively contribute to the design and advancement of global environmental protection regimes?
10
9
9
The government actively contributes to international efforts to design and advance global environmental protection regimes. In most cases, it demonstrates commitment to existing regimes, contributes to their being advanced and has introduced appropriate reforms.
8
7
6
7
6
The government contributes to international efforts to strengthen global environmental protection regimes. It demonstrates commitment to existing regimes and occasionally contributes to their being advanced and/or has introduced some appropriate reforms.
5
4
3
4
3
The government demonstrates commitment to existing regimes, but does not contribute to their being advanced and has not introduced appropriate reforms.
2
1
1
The government does not contribute to international efforts to strengthen global environmental protection regimes.
Please provide a paragraph addressing the following three aspects:
1. Which issues are treated as global common goods rather than domestic environmental problems (e.g., chemical pollution, biodiversity conservation, forest protection, climate protection, etc.)?
2. Which of these global issues or goals does the government address, and has it formulated and implemented action plans targeting these goals?
3. Are countries targeting the preservation of global common goods by contributing funds either through international facilities or official development assistance?
Quality of Democracy
How fair are procedures for registering candidates and parties?
10
9
9
Legal regulations provide for a fair registration procedure for all elections; candidates and parties are not discriminated against.
8
7
6
7
6
A few restrictions on election procedures discriminate against a small number of candidates and parties.
5
4
3
4
3
Some unreasonable restrictions on election procedures exist that discriminate against many candidates and parties.
2
1
1
Discriminating registration procedures for elections are widespread and prevent a large number of potential candidates or parties from participating.
To what extent do candidates and parties have fair access to the media and other means of communication?
10
9
9
All candidates and parties have equal opportunities of access to the media and other means of communication. All major media outlets provide a fair and balanced coverage of the range of different political positions.
8
7
6
7
6
Candidates and parties have largely equal opportunities of access to the media and other means of communication. The major media outlets provide a fair and balanced coverage of different political positions.
5
4
3
4
3
Candidates and parties often do not have equal opportunities of access to the media and other means of communication. While the major media outlets represent a partisan political bias, the media system as a whole provides fair coverage of different political positions.
2
1
1
Candidates and parties lack equal opportunities of access to the media and other means of communications. The major media outlets are biased in favor of certain political groups or views and discriminate against others.
To what extent do all citizens have the opportunity to exercise their right of participation in national elections?
10
9
9
All adult citizens can participate in national elections. All eligible voters are registered if they wish to be. There are no discriminations observable in the exercise of the right to vote. There are no disincentives to voting.
8
7
6
7
6
The procedures for the registration of voters and voting are for the most part effective, impartial and nondiscriminatory. Citizens can appeal to courts if they feel being discriminated. Disincentives to voting generally do not constitute genuine obstacles.
5
4
3
4
3
While the procedures for the registration of voters and voting are de jure non-discriminatory, isolated cases of discrimination occur in practice. For some citizens, disincentives to voting constitute significant obstacles.
2
1
1
The procedures for the registration of voters or voting have systemic discriminatory effects. De facto, a substantial number of adult citizens are excluded from national elections.
When useful, references to OSCE election observation data may be made. In your assessment, please consider as well any significant variations in the implementation of voting and registration rights at the subnational level.
To what extent is private and public party financing and electoral campaign financing transparent, effectively monitored and in case of infringement of rules subject to proportionate and dissuasive sanction?
10
9
9
The state enforces that donations to political parties are made public and provides for independent monitoring to that respect. Effective measures to prevent evasion are effectively in place and infringements subject to effective, proportionate and dissuasive sanctions.
8
7
6
7
6
The state enforces that donations to political parties are made public and provides for independent monitoring. Although infringements are subject to proportionate sanctions, some, although few, loopholes and options for circumvention still exist.
5
4
3
4
3
The state provides that donations to political parties shall be published. Party financing is subject to some degree of independent monitoring but monitoring either proves regularly ineffective or proportionate sanctions in case of infringement do not follow.
2
1
1
The rules for party and campaign financing do not effectively enforce the obligation to make the donations public. Party and campaign financing is neither monitored independently nor, in case of infringements, subject to proportionate sanctions.
Do citizens have the opportunity to take binding political decisions when they want to do so?
10
9
9
Citizens have the effective opportunity to actively propose and take binding decisions on issues of importance to them through popular initiatives and referendums. The set of eligible issues is extensive, and includes national, regional, and local issues.
8
7
6
7
6
Citizens have the effective opportunity to take binding decisions on issues of importance to them through either popular initiatives or referendums. The set of eligible issues covers at least two levels of government.
5
4
3
4
3
Citizens have the effective opportunity to vote on issues of importance to them through a legally binding measure. The set of eligible issues is limited to one level of government.
2
1
1
Citizens have no effective opportunity to vote on issues of importance to them through a legally binding measure.
Popular decision-making may be restricted to a few issues of interest (e.g., only municipal exclusively) or it may cover an extensive range of issues being of concern to citizens. For this question, please consider only those forms of popular decision-making that meet the following criteria:
(1) They are initiated by citizens or are mandatory according to constitutional provisions.
(2) They do not require agreement or initiation of any main political office (e.g. core executive, parliament).
(3) Decisions made are legally binding and cannot be overturned.
(4) They have already been used in practice at least one time (they do not exist on paper alone).
To what extent are the media independent from government?
10
9
9
Public and private media are independent from government influence; their independence is institutionally protected and fully respected by the incumbent government.
8
7
6
7
6
The incumbent government largely respects the independence of media. However, there are occasional attempts to exert influence.
5
4
3
4
3
The incumbent government seeks to ensure its political objectives indirectly by influencing the personnel policies, organizational framework or financial resources of public media, and/or the licensing regime/market access for private media.
2
1
1
Major media outlets are frequently influenced by the incumbent government promoting its partisan political objectives. To ensure pro-government media reporting, governmental actors exert direct political pressure and violate existing rules of media regulation or change them to benefit their interests.
To what extent are the media characterized by an ownership structure that ensures a pluralism of opinions?
10
9
9
Diversified ownership structures characterize both the electronic and print media market, providing a well-balanced pluralism of opinions. Effective anti-monopoly policies and impartial, open public media guarantee a pluralism of opinions.
8
7
6
7
6
Diversified ownership structures prevail in the electronic and print media market. Public media compensate for deficiencies or biases in private media reporting by representing a wider range of opinions.
5
4
3
4
3
Oligopolistic ownership structures characterize either the electronic or the print media market. Important opinions are represented but there are no or only weak institutional guarantees against the predominance of certain opinions.
2
1
1
Oligopolistic ownership structures characterize both the electronic and the print media market. Few companies dominate the media, most programs are biased, and there is evidence that certain opinions are not published or are marginalized.
To what extent can citizens obtain official information?
10
9
9
Legal regulations guarantee free and easy access to official information, contain few, reasonable restrictions, and there are effective mechanisms of appeal and oversight enabling citizens to access information.
8
7
6
7
6
Access to official information is regulated by law. Most restrictions are justified, but access is sometimes complicated by bureaucratic procedures. Existing appeal and oversight mechanisms permit citizens to enforce their right of access.
5
4
3
4
3
Access to official information is partially regulated by law, but complicated by bureaucratic procedures and some poorly justified restrictions. Existing appeal and oversight mechanisms are often ineffective.
2
1
1
Access to official information is not regulated by law; there are many restrictions of access, bureaucratic procedures and no or ineffective mechanisms of enforcement.
(1) whether a freedom of information act exists or equivalent legal regulations exist,
(2) to what extent do the rules restrict access to information (e.g., exemptions, deadlines for responding to requests etc.) and justify these restrictions, and
(3) whether mechanisms for appeal and oversight exist to enforce citizens’ right to access information (e.g., administrative review, court review, ombudsman, commission etc.)
You may consult www.freedominfo.org for information specific to your country.
To what extent does the state respect and protect civil rights and how effectively are citizens protected by courts against infringements of their rights?
10
9
9
All state institutions respect and effectively protect civil rights. Citizens are effectively protected by courts against infringements of their rights. Infringements present an extreme exception.
8
7
6
7
6
The state respects and protects rights, with few infringements. Courts provide protection.
5
4
3
4
3
Despite formal protection, frequent infringements of civil rights occur and court protection often proves ineffective.
2
1
1
State institutions respect civil rights only formally, and civil rights are frequently violated. Court protection is not effective.
To what extent does the state concede and protect political liberties?
10
9
9
All state institutions concede and effectively protect political liberties.
8
7
6
7
6
All state institutions for the most part concede and protect political liberties. There are only few infringements.
5
4
3
4
3
State institutions concede political liberties but infringements occur regularly in practice.
2
1
1
Political liberties are unsatisfactory codified and frequently violated.
How effectively does the state protect against different forms of discrimination?
10
9
9
State institutions effectively protect against and actively prevent discrimination. Cases of discrimination are extremely rare.
8
7
6
7
6
State anti-discrimination protections are moderately successful. Few cases of discrimination are observed.
5
4
3
4
3
State anti-discrimination efforts show limited success. Many cases of discrimination can be observed.
2
1
1
The state does not offer effective protection against discrimination. Discrimination is widespread in the public sector and in society.
Please note that this question also includes an assessment of how effectively the state protects the rights of disadvantaged persons or persons belonging to minorities by positive discrimination measures, special representation rights or autonomy rights.
To what extent do government and administration act on the basis of and in accordance with legal provisions to provide legal certainty?
10
9
9
Government and administration act predictably, on the basis of and in accordance with legal provisions. Legal regulations are consistent and transparent, ensuring legal certainty.
8
7
6
7
6
Government and administration rarely make unpredictable decisions. Legal regulations are consistent, but leave a large scope of discretion to the government or administration.
5
4
3
4
3
Government and administration sometimes make unpredictable decisions that go beyond given legal bases or do not conform to existing legal regulations. Some legal regulations are inconsistent and contradictory.
2
1
1
Government and administration often make unpredictable decisions that lack a legal basis or ignore existing legal regulations. Legal regulations are inconsistent, full of loopholes and contradict each other.
To what extent do independent courts control whether government and administration act in conformity with the law?
10
9
9
Independent courts effectively review executive action and ensure that the government and administration act in conformity with the law.
8
7
6
7
6
Independent courts usually manage to control whether the government and administration act in conformity with the law.
5
4
3
4
3
Courts are independent, but often fail to ensure legal compliance.
2
1
1
Courts are biased for or against the incumbent government and lack effective control.
To what extent does the process of appointing (supreme or constitutional court) justices guarantee the independence of the judiciary?
10
9
9
Justices are appointed in a cooperative appointment process with special majority requirements.
8
7
6
7
6
Justices are exclusively appointed by different bodies with special majority requirements or in a cooperative selection process without special majority requirements.
5
4
3
4
3
Justices are exclusively appointed by different bodies without special majority requirements.
2
1
1
All judges are appointed exclusively by a single body irrespective of other institutions.
The prospect of politically “neutral” justices increases accordingly with greater majority requirements and with the necessity of cooperation between involved bodies. A cooperative appointment process requires at least two involved democratically legitimized institutions. Their representative character gives them the legitimacy for autonomous nomination or elective powers. In an exclusive appointment process, a single body has the right to appoint justices irrespective of veto points; whereas in cooperative procedures with qualified majorities independence of the court is best secured.
When answering the question take also into account whether the process is formally transparent and adequately covered by public media. If your country does not have a supreme or constitutional court, evaluate the appointment process of the appellate court that is responsible for citizens’ appeals against decisions of the government.
To what extent are public officeholders prevented from abusing their position for private interests?
10
9
9
Legal, political and public integrity mechanisms effectively prevent public officeholders from abusing their positions.
8
7
6
7
6
Most integrity mechanisms function effectively and provide disincentives for public officeholders willing to abuse their positions.
5
4
3
4
3
Some integrity mechanisms function, but do not effectively prevent public officeholders from abusing their positions.
2
1
1
Public officeholders can exploit their offices for private gain as they see fit without fear of legal consequences or adverse publicity.
Note: Please be aware that the Corruption Perceptions Index (CPI) of Transparency International uses the data and information given in response to question D4.4 for their assessments. To avoid circularity of assessments, please do not base your evaluation on the CPI.
Executive Capacity
How much influence do strategic planning units and bodies have on government decision-making?
10
9
9
Strategic planning units and bodies take a long-term view of policy challenges and viable solutions, and they exercise strong influence on government decision-making.
8
7
6
7
6
Strategic planning units and bodies take a long-term view of policy challenges and viable solutions. Their influence on government decision-making is systematic but limited in issue scope or depth of impact.
5
4
3
4
3
Strategic planning units and bodies take a long-term view of policy challenges and viable solutions. Occasionally, they exert some influence on government decision-making.
2
1
1
In practice, there are no units and bodies taking a long-term view of policy challenges and viable solutions.
One indicator of influence may be the frequency of meetings between strategic planning staff/bodies and the head of government.
Please substantiate your assessment with empirical evidence.
Does the government regularly take into account advice from non-governmental experts during decision-making?
10
9
9
In almost all cases, the government transparently consults with non-governmental experts in the early stages of government decision-making.
8
7
6
7
6
For major political projects, the government transparently consults with non-governmental experts in the early stages of government decision-making.
5
4
3
4
3
In some cases, the government transparently consults with non-governmental experts in the early stages of government decision-making.
2
1
1
The government does not consult with non-governmental experts, or existing consultations lack transparency entirely and/or are exclusively pro forma.
Indicators of consultation may be the frequency of meetings between government and non-governmental external experts, the existence of expert commissions, or cooperation projects between government bodies and academic institutions. Please substantiate your assessment with empirical evidence.
Does the government office / prime minister’s office (GO / PMO) have the expertise to evaluate ministerial draft bills according to the government’s priorities?
10
9
9
The GO / PMO provides regular, independent evaluations of draft bills for the cabinet / prime minister. These assessments are guided exclusively by the government’s priorities.
8
7
6
7
6
The GO / PMO evaluates most draft bills according to the government’s priorities.
5
4
3
4
3
The GO / PMO can rely on some sectoral policy expertise but does not evaluate draft bills.
2
1
1
The GO / PMO does not have any sectoral policy expertise. Its role is limited to collecting, registering and circulating documents submitted for cabinet meetings.
Should this question not fully apply to the structure of relevant institutions in your country, please respond by drawing on possible functional equivalents.
To what extent do line ministries involve the government office/prime minister’s office in the preparation of policy proposals?
10
9
9
There are inter-related capacities for coordination between GO/PMO and line ministries.
8
7
6
7
6
The GO/PMO is regularly briefed on new developments affecting the preparation of policy proposals.
5
4
3
4
3
Consultation is rather formal and focuses on technical and drafting issues.
2
1
1
Consultation occurs only after proposals are fully drafted as laws.
How effectively do ministerial or cabinet committees coordinate cabinet proposals?
10
9
9
The vast majority of cabinet proposals are reviewed and coordinated first by committees.
8
7
6
7
6
Most cabinet proposals are reviewed and coordinated by committees, in particular proposals of political or strategic importance.
5
4
3
4
3
There is little review or coordination of cabinet proposals by committees.
2
1
1
There is no review or coordination of cabinet proposals by committees. Or: There is no ministerial or cabinet committee.
Please assess whether ministerial or cabinet committees are both legally and practically able to coordinate cabinet proposals. If this question does not fully apply to the structure of relevant institutions in your country, please respond by drawing on possible functional equivalents.
How effectively do ministry officials/civil servants coordinate policy proposals?
10
9
9
Most policy proposals are effectively coordinated by ministry officials/civil servants.
8
7
6
7
6
Many policy proposals are effectively coordinated by ministry officials/civil servants.
5
4
3
4
3
There is some coordination of policy proposals by ministry officials/civil servants.
2
1
1
There is no or hardly any coordination of policy proposals by ministry officials/civil servants.
If this question does not fully apply to the structure of relevant institutions in your country, please answer by referring to possible functional equivalents.
How effectively do informal coordination mechanisms complement formal mechanisms of interministerial coordination?
10
9
9
Informal coordination mechanisms generally support formal mechanisms of interministerial coordination.
8
7
6
7
6
In most cases, informal coordination mechanisms support formal mechanisms of interministerial coordination.
5
4
3
4
3
In some cases, informal coordination mechanisms support formal mechanisms of interministerial coordination.
2
1
1
Informal coordination mechanisms tend to undermine rather than complement formal mechanisms of interministerial coordination.
How extensively and effectively are digital technologies used to support interministerial coordination (in policy development and monitoring)?
10
9
9
The government uses digital technologies extensively and effectively to support interministerial coordination.
8
7
6
7
6
The government uses digital technologies in most cases and somewhat effectively to support interministerial coordination.
5
4
3
4
3
The government uses digital technologies to a lesser degree and with limited effects to support interministerial coordination.
2
1
1
The government makes no substantial use of digital technologies to support interministerial coordination.
Please assess the existence and actual use of such technologies as well as their effect on policy coordination at the development and monitoring stages.
To what extent does the government assess the potential impacts of existing and prepared legal acts (regulatory impact assessments, RIA)?
10
9
9
RIA are applied to all new regulations and to existing regulations which are characterized by complex impact paths. RIA methodology is guided by common minimum standards.
8
7
6
7
6
RIA are applied systematically to most new regulations. RIA methodology is guided by common minimum standards.
5
4
3
4
3
RIA are applied in some cases. There is no common RIA methodology guaranteeing common minimum standards.
2
1
1
RIA are not applied or do not exist.
RIA assess a regulation’s impacts on socioeconomic and other indicators (e.g., impacts on public budgets; compliance costs for businesses, public administration or citizens). The application of RIA differs in topical scope, whether it is only applied to new or also to some existing regulations, and whether the analysis is streamlined by minimum standards prescribing RIA methodology.
If this question does not fully apply to your country, please respond by drawing on possible functional equivalents and substantiate your answer.
Does the RIA process ensure participation, transparency and quality evaluation?
10
9
9
RIA analyses consistently involve stakeholders by means of consultation or collaboration, results are transparently communicated to the public and assessments are effectively evaluated by an independent body on a regular basis.
8
7
6
7
6
The RIA process displays deficiencies with regard to one of the three objectives.
5
4
3
4
3
The RIA process displays deficiencies with regard to two of the three objectives.
2
1
1
RIA analyses do not exist or the RIA process fails to achieve any of the three objectives of process quality.
Does the government conduct effective sustainability checks within the framework of RIA?
10
9
9
Sustainability checks are an integral part of every RIA; they draw on an exhaustive set of indicators (including social, economic, and environmental aspects of sustainability) and track impacts from the short- to long-term.
8
7
6
7
6
Sustainability checks lack one of the three criteria.
5
4
3
4
3
Sustainability checks lack two of the three criteria.
2
1
1
Sustainability checks do not exist or lack all three criteria.
Please also indicate whether there is a formally adopted sustainability strategy in your country and whether this strategy is aligned with the SDGs.
Moreover, please assess whether the government has adopted an action plan to implement the SDGs and whether the progress of implementation is monitored.
To what extent do government ministries regularly evaluate the effectiveness and/or efficiency of public policies and use results of evaluations for the revision of existing policies or development of new policies?
10
9
9
Ex post evaluations are carried out for all significant policies and are generally used for the revision of existing policies or the development of new policies.
8
7
6
7
6
Ex post evaluations are carried out for most significant policies and are used for the revision of existing policies or the development of new policies.
5
4
3
4
3
Ex post evaluations are rarely carried out for significant policies and are rarely used for the revision of existing policies or the development of new policies.
2
1
1
Ex post evaluations are generally not carried out and do not play any relevant role for the revision of existing policies or the development of new policies.
Does the government consult with societal actors in a fair and pluralistic manner?
10
9
9
The government always consults with societal actors in a fair and pluralistic manner.
8
7
6
7
6
The government in most cases consults with societal actors in a fair and pluralistic manner.
5
4
3
4
3
The government does consult with societal actors, but mostly in an unfair and clientelistic manner.
2
1
1
The government rarely consults with any societal actors.
To what extent does the government achieve coherent communication?
10
9
9
Ministries are highly successful in aligning their communication with government strategy.
8
7
6
7
6
Ministries most of the time are highly successful in aligning their communication with government strategy.
5
4
3
4
3
Ministries occasionally issue public statements that contradict the public communication of other ministries or the government strategy.
2
1
1
Strategic communication planning does not exist; individual ministry statements regularly contradict each other. Messages are often not factually consistent with the government’s strategy.
To what extent can the government achieve its own policy objectives?
10
9
9
The government can largely implement its own policy objectives.
8
7
6
7
6
The government is partly successful in implementing its policy objectives or can implement some of its policy objectives.
5
4
3
4
3
The government partly fails to implement its objectives or fails to implement several policy objectives.
2
1
1
The government largely fails to implement its policy objectives.
To what extent does the organization of government provide mechanisms to ensure that ministers implement the government’s program?
10
9
9
The organization of government successfully provides strong mechanisms for ministers to implement the government’s program.
8
7
6
7
6
The organization of government provides some mechanisms for ministers to implement the government’s program.
5
4
3
4
3
The organization of government provides weak mechanisms for ministers to implement the government’s program.
2
1
1
The organization of government does not provide any mechanisms for ministers to implement the government’s program.
How effectively does the government office/prime minister’s office monitor line ministry activities with regard to implementation?
10
9
9
The GO / PMO effectively monitors the implementation activities of all line ministries.
8
7
6
7
6
The GO / PMO monitors the implementation activities of most line ministries.
5
4
3
4
3
The GO / PMO monitors the implementation activities of some line ministries.
2
1
1
The GO / PMO does not monitor the implementation activities of line ministries.
If this question does not fully apply to your country, please answer by referring to possible functional equivalents and substantiate your answer.
How effectively do federal and subnational ministries monitor the activities of bureaucracies/executive agencies with regard to implementation?
10
9
9
The ministries effectively monitor the implementation activities of all bureaucracies/executive agencies.
8
7
6
7
6
The ministries monitor the implementation activities of most bureaucracies/executive agencies.
5
4
3
4
3
The ministries monitor the implementation activities of some bureaucracies/executive agencies.
2
1
1
The ministries do not monitor the implementation activities of bureaucracies/executive agencies.
In federal states with few bureaucracies/executive agencies at the central level of government, the assessment should also consider regional-level decentralized bureaucracies/agencies acting on behalf of federal or subnational governments.
To what extent does the central government ensure that tasks delegated to subnational self-governments are adequately funded?
10
9
9
The central government enables subnational self-governments to fulfill all their delegated tasks by funding these tasks sufficiently and/or by providing adequate revenue-raising powers.
8
7
6
7
6
The central government enables subnational governments to fulfill most of their delegated tasks by funding these tasks sufficiently and/or by providing adequate revenue-raising powers.
5
4
3
4
3
The central government sometimes and deliberately shifts unfunded mandates to subnational governments.
2
1
1
The central government often and deliberately shifts unfunded mandates to subnational self-governments.
If the central government delegates a public task to lower levels of government (as a rule: regional self-government and in unitary states without regional self-government, local self-government), the central government needs to ensure that such tasks are adequately funded. The absence of corresponding funding sources (“unfunded mandates”) indicates a lack of responsibility and strategic design. Funding may be provided through grants (shares of centrally collected taxes) from the central budget or by endowing subnational self-governments with their own revenues.
Please note that subnational self-government refers to directly elected subnational administrative authorities with considerable discretion. The broad concept of “delegation” applied here is taken from principal-agent theory and includes independent powers of subnational self-government enshrined in the constitution. Thus, no difference is made between independent powers and those central government powers that have been delegated by laws or executive regulations to subnational self-government.
To what extent does central government ensure that subnational self-governments may use their constitutional scope of discretion with regard to implementation?
10
9
9
The central government enables subnational self-governments to make full use of their constitutional scope of discretion with regard to implementation.
8
7
6
7
6
Central government policies inadvertently limit the subnational self-governments’ scope of discretion with regard to implementation.
5
4
3
4
3
The central government formally respects the constitutional autonomy of subnational self-governments, but de facto narrows their scope of discretion with regard to implementation.
2
1
1
The central government deliberately precludes subnational self-governments from making use of their constitutionally provided implementation autonomy.
Central government institutions are assumed to enable subnational self-governments to fully exercise their constitutional right of implementation autonomy. Subnational implementation autonomy may be curtailed by legal, administrative, fiscal or political measures of the central level. Such de facto centralizing policies may be deliberate or unintentional, unconstitutional or in accordance with the constitution.
To what extent does central government ensure that subnational self-governments realize national standards of public services?
10
9
9
Central government effectively ensures that subnational self-governments realize national standards of public services.
8
7
6
7
6
Central government largely ensures that subnational self-governments realize national standards of public services.
5
4
3
4
3
Central government ensures that subnational self-governments realize national minimum standards of public services.
2
1
1
Central government does not ensure that subnational self-governments realize national standards of public services.
To what extent is government enforcing regulations in an effective and unbiased way, also against vested interests?
10
9
9
Government agencies enforce regulations effectively and without bias.
8
7
6
7
6
Government agencies, for the most part, enforce regulations effectively and without bias.
5
4
3
4
3
Government agencies enforce regulations, but ineffectively and with bias.
2
1
1
Government agencies enforce regulations ineffectively, inconsistently and with bias.
To what extent does the government respond to international and supranational developments by adapting domestic government structures?
10
9
9
The government has appropriately and effectively adapted domestic government structures to international and supranational developments.
8
7
6
7
6
In many cases, the government has adapted domestic government structures to international and supranational developments.
5
4
3
4
3
In some cases, the government has adapted domestic government structures to international and supranational developments.
2
1
1
The government has not adapted domestic government structures, no matter how beneficial adaptation might be.
Note that if your government has little room left for improvement, please assign a high score on this item, even if no change has taken place.
Please note that structural reforms are also examined in view of their role in institutional learning (question G8.2).
To what extent is the government able to collaborate effectively with international efforts to foster global public goods?
10
9
9
The government can take a leading role in shaping and implementing collective efforts to provide global public goods. It is able to ensure coherence in national policies affecting progress.
8
7
6
7
6
The government is largely able to shape and implement collective efforts to provide global public goods. Existing processes enabling the government to ensure coherence in national policies affecting progress are, for the most part, effective.
5
4
3
4
3
The government is partially able to shape and implement collective efforts to provide global public goods. Processes designed to ensure coherence in national policies affecting progress show deficiencies.
2
1
1
The government does not have sufficient institutional capacities to shape and implement collective efforts to provide global public goods. It does not have effective processes to ensure coherence in national policies affecting progress.
At one level, this requires institutional capacities to help shape and implement strategic global frameworks for such international efforts. An indication of such capacity might be the existence of appropriate interministerial coordination groups with leadership from centers of government.
At another level, it involves ensuring that the impact of national policies on these global challenges are systematically assessed and then incorporated into the formulation, coordination and monitoring of policies across government.
On both levels, communication with the legislative branch and domestic stakeholders is critical.
To what extent do actors within the government monitor whether institutional arrangements of governing are appropriate?
10
9
9
The institutional arrangements of governing are monitored regularly and effectively.
8
7
6
7
6
The institutional arrangements of governing are monitored regularly.
5
4
3
4
3
The institutional arrangements of governing are selectively and sporadically monitored.
2
1
1
There is no monitoring.
To what extent does the government improve its strategic capacity by changing the institutional arrangements of governing?
10
9
9
The government improves its strategic capacity considerably by changing its institutional arrangements.
8
7
6
7
6
The government improves its strategic capacity by changing its institutional arrangements.
5
4
3
4
3
The government does not improve its strategic capacity by changing its institutional arrangements.
2
1
1
The government loses strategic capacity by changing its institutional arrangements.
Note that if your government already excels in strategic capacity (G1) and therefore has little room left for improvement please assign a high score on this item, even if no change has taken place.
Executive Accountability
To what extent are citizens informed of public policies?
10
9
9
Most citizens are well-informed of a broad range of public policies.
8
7
6
7
6
Many citizens are well-informed of individual public policies.
5
4
3
4
3
Few citizens are well-informed of public policies; most citizens have only a rudimental knowledge of public policies.
2
1
1
Most citizens are not aware of public policies.
Please rely on local opinion survey data to substantiate your evaluation.
Does the government publish data and information in a way that strengthens citizens’ capacity to hold the government accountable?
10
9
9
The government publishes data and information in a comprehensive, timely and user-friendly way.
8
7
6
7
6
The government most of the time publishes data and information in a comprehensive, timely and user-friendly way.
5
4
3
4
3
The government publishes data in a limited and not timely or user-friendly way.
2
1
1
The government publishes (almost) no relevant data.
Do members of parliament have adequate personnel and structural resources to monitor government activity effectively?
10
9
9
The members of parliament as a group can draw on a set of resources suited for monitoring all government activity effectively.
8
7
6
7
6
The members of parliament as a group can draw on a set of resources suited for monitoring a government’s major activities.
5
4
3
4
3
The members of parliament as a group can draw on a set of resources suited for selectively monitoring some government activities.
2
1
1
The resources provided to the members of parliament are not suited for any effective monitoring of the government.
Are parliamentary committees able to ask for government documents?
10
9
9
Parliamentary committees may ask for most or all government documents; they are normally delivered in full and within an appropriate time frame.
8
7
6
7
6
The rights of parliamentary committees to ask for government documents are slightly limited; some important documents are not delivered or are delivered incomplete or arrive too late to enable the committee to react appropriately.
5
4
3
4
3
The rights of parliamentary committees to ask for government documents are considerably limited; most important documents are not delivered or delivered incomplete or arrive too late to enable the committee to react appropriately.
2
1
1
Parliamentary committees may not request government documents.
Are parliamentary committees able to summon ministers for hearings?
10
9
9
Parliamentary committees may summon ministers. Ministers regularly follow invitations and are obliged to answer questions.
8
7
6
7
6
The rights of parliamentary committees to summon ministers are slightly limited; ministers occasionally refuse to follow invitations or to answer questions.
5
4
3
4
3
The rights of parliamentary committees to summon ministers are considerably limited; ministers frequently refuse to follow invitations or to answer questions.
2
1
1
Parliamentary committees may not summon ministers.
Are parliamentary committees able to summon experts for committee meetings?
10
9
9
Parliamentary committees may summon experts.
8
7
6
7
6
The rights of parliamentary committees to summon experts are slightly limited.
5
4
3
4
3
The rights of parliamentary committees to summon experts are considerably limited.
2
1
1
Parliamentary committees may not summon experts.
Are the task areas and structures of parliamentary committees suited to monitor ministries effectively?
10
9
9
The match between the task areas of parliamentary committees and ministries as well as other relevant committee structures are well-suited to the effective monitoring of ministries.
8
7
6
7
6
The match/mismatch between the task areas of parliamentary committees and ministries as well as other relevant committee structures are largely suited to the monitoring ministries.
5
4
3
4
3
The match/mismatch between the task areas of parliamentary committees and ministries as well as other relevant committee structures are partially suited to the monitoring of ministries.
2
1
1
The match/mismatch between the task areas of parliamentary committees and ministries as well as other relevant committee structures are not at all suited to the monitoring of ministries.
This question considers regular parliamentary committees only, not committees established ad hoc to investigate specific questions.
To what extent do media in your country analyze the rationale and impact of public policies?
10
9
9
A clear majority of mass media brands focus on high-quality information content analyzing the rationale and impact of public policies.
8
7
6
7
6
About one-half of the mass media brands focus on high-quality information content analyzing the rationale and impact of public policies. The rest produces a mix of infotainment and quality information content.
5
4
3
4
3
A clear minority of mass media brands focuses on high-quality information content analyzing public policies. Several mass media brands produce superficial infotainment content only.
2
1
1
All mass media brands are dominated by superficial infotainment content.
The question refers to a country’s 10 most important mass media brands (print, tv, online, radio). It focuses on decisions taken by the government (and not political issues/debates or the political process in general). To enable the public to assess policy issues critically, media have to provide in-depth information not only when decisions are taken, but also in advance, that is, when they are prepared and discussed among government members, members of parliament, experts, bureaucrats and stakeholders. A lack of in-depth information is not tantamount to a complete lack of information but to the dominance of “infotainment content programs” that frame government decisions as personalized power politics and divert attention away from the substance of decision-making toward entertaining events and stories.
How inclusive and open are the major parties in their internal decision-making processes?
10
9
9
The party allows all party members and supporters to participate in its decisions on the most important personnel and issues. Lists of candidates and agendas of issues are open.
8
7
6
7
6
The party restricts decision-making to party members. In most cases, all party members have the opportunity to participate in decisions on the most important personnel and issues. Lists of candidates and issue agendas are rather open.
5
4
3
4
3
The party restricts decision-making to party members. In most cases, a number of elected delegates participate in decisions on the most important personnel and issues. Lists of candidates and issue agendas are largely controlled by the party leadership.
2
1
1
A number of party leaders participate in decisions on the most important personnel and issues. Lists of candidates and issue agendas are fully controlled and drafted by the party leadership.
“Major” parties are conceived here as parties which gained at least 10% of the popular vote in the last general election.
When answering and scoring this question, please (briefly) consider each major party separately and then provide an overall score based on the “sub-scores” for each major party.
To what extent are economic interest associations (e.g., employers, industry, labor) capable of formulating relevant policies?
10
9
9
Most interest associations are highly capable of formulating relevant policies.
8
7
6
7
6
Many interest associations are highly capable of formulating relevant policies.
5
4
3
4
3
Few interest associations are highly capable of formulating relevant policies.
2
1
1
Most interest associations are not capable of formulating relevant policies.
The assessment should focus on the following interest associations: employers’ associations, leading business associations and trade unions.
To what extent are non-economic interest associations capable of formulating relevant policies?
10
9
9
Most interest associations are highly capable of formulating relevant policies.
8
7
6
7
6
Many interest associations are highly capable of formulating relevant policies.
5
4
3
4
3
Few interest associations are highly capable of formulating relevant policies.
2
1
1
Most interest associations are not capable of formulating relevant policies.
The assessment should focus on the following interest associations: social interest groups, environmental groups and religious communities.
Does there exist an independent and effective audit office?
10
9
9
There exists an effective and independent audit office.
8
7
6
7
6
There exists an effective and independent audit office, but its role is slightly limited.
5
4
3
4
3
There exists an independent audit office, but its role is considerably limited.
2
1
1
There does not exist an independent and effective audit office.
Does there exist an independent and effective ombuds office?
10
9
9
There exists an effective and independent ombuds office.
8
7
6
7
6
There exists an effective and independent ombuds office, but its advocacy role is slightly limited.
5
4
3
4
3
There exists an independent ombuds office, but its advocacy role is considerably limited.
2
1
1
There does not exist an effective and independent ombuds office.
The term “ombuds office” is used here as a label representing these functions and may be institutionalized in different organizational formats. Please also consider possible functional equivalents and substantiate your answer.
Is there an independent authority in place that effectively holds government offices accountable for handling issues of data protection and privacy?
10
9
9
An independent and effective data protection authority exists.
8
7
6
7
6
An independent and effective data protection authority exists, but its role is slightly limited.
5
4
3
4
3
A data protection authority exists, but both its independence and effectiveness are strongly limited.
2
1
1
There is no effective and independent data protection office.