About the SGI

Questionnaire

For each SGI Survey, 67 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

Economic Policy

How successful has economic policy been in providing a reliable economic framework and in fostering international competitiveness?

10
 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
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
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
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.
This question addresses the existence of a government’s general strategy to support the future-oriented development of its economy through regulatory policy. Sound economic policy is expected to adhere to the following principles: clear-cut assignment of tasks to institutions, refraining from unnecessary discretionary actions, frictionless interlinkage of different institutional spheres (labor market, enterprise policy, tax policy, budgetary policy) and the coherent set-up of different regimes (e.g. dismissal protection, co-determination rights, efficiency of anti-monopoly policies, income taxation). Countries following these principles are able to increase overall productivity, become more attractive for internationally mobile factors of production and thus raise their international competitiveness.

When answering the question, focus on the use and interplay of different regimes with regard to the aims of economic policy.
Labor Market Policy

How effectively does labor market policy address unemployment?

10
 9
Successful strategies ensure unemployment is not a serious threat.
 8
 7
 6
Labor market policies have been more or less successful.
 5
 4
 3
Strategies against unemployment have shown little or no significant success.
 2
 1
Labor market policies have been unsuccessful and rather effected a rise in unemployment.
This question addresses a government’s strategies to reconcile the following objectives: unemployment reduction and job security, and balancing supply and demand on the labor market by providing sufficient mobility of the labor force according to the needs of potential employers. To assess labor market policy comprehensively, special emphasis should be placed on the positive or detrimental effects resulting from labor market regulation (e.g., dismissal protection, minimum wages, collective agreements) and from the modus operandi of unemployment insurance.

Where possible, please refer to evidence supporting a causal relationship between government’s labor market policy and unemployment trends.
Tax Policy

To what extent does taxation policy realize goals of equity, competitiveness and the generation of sufficient public revenues?

10
 9
Taxation policy fully achieves the objectives.
 8
 7
 6
Taxation policy largely achieves the objectives.
 5
 4
 3
Taxation policy partially achieves the objectives.
 2
 1
Taxation policy does not achieve the objectives at all.
The objectives of justice and allocative efficiency suggest that taxation policies do not discriminate between different groups of economic actors with similar tax-paying abilities, such as corporate and personal income taxpayers (horizontal equity). Tax systems should also impose higher taxes on persons or companies with a greater ability to pay taxes (vertical equity). Tax rates and modalities should improve or at least not weaken a country’s competitive position. However, tax revenues should be sufficient to ensure the long-term financing of public services and infrastructure. “Sufficiency” does not assume any specific ideal level of public expenditure, but refers only to the relationship between public revenues and expenditures.
Budgetary Policy

To what extent does budgetary policy realize the goal of fiscal sustainability?

10
 9
Budgetary policy is fiscally sustainable.
 8
 7
 6
Budgetary policy achieves most standards of fiscal sustainability.
 5
 4
 3
Budgetary policy achieves some standards of fiscal sustainability.
 2
 1
Budgetary policy is fiscally unsustainable.
This question focuses on the aggregate of public budgets and does not assess whether budgets reflect government priorities or induce departments to manage efficiently. Sustainable budgeting should enable a government to pay its financial obligations (solvency), sustain economic growth, meet future obligations with existing tax burdens (stable taxes) and pay current obligations without shifting the cost to future generations (inter-generational fairness).

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).
R&I Policy

To what extent does research and innovation policy support technological innovations that foster the creation and introduction of new products?

10
 9
Research and innovation policy effectively supports innovations that foster the creation of new products and enhance productivity.
 8
 7
 6
Research and innovation policy largely supports innovations that foster the creation of new products and enhance productivity.
 5
 4
 3
Research and innovation policy partly supports innovations that foster the creation of new products and enhance productivity.
 2
 1
Research and innovation policy has largely failed to support innovations that foster the creation of new products and enhance productivity.
This question comprises subsidies and incentives for research institutions conducting basic and applied research, as well as subsidies and incentives for establishing start-up companies that transfer scientific output into products and enhanced productivity. Bureaucratic impediments to research and innovation should also be taken into account.
Stabilizing Global Financial Markets

To what extent does the government actively contribute to the effective regulation and supervision of the international financial architecture?

10
 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
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
The government rarely contributes to improving the regulation and supervision of financial markets. It seldom demonstrates initiative or responsibility in such endeavors.
 2
 1
The government does not contribute to improving the regulation and supervision of financial markets.
Sustainable development requires a stable financial system. This question asks whether the government actively engages (i.e., takes initiative and assumes responsibility) in identifying and implementing new policies targeting a stable, legitimate financial system by restructuring the international financial architecture. This restructuring aims to ensure the effective regulation and supervision of financial markets and the monitoring of cross-border financial flows. The international regulation
of financial markets is concerned with institutions such as banks and financial service providers (e.g., stock exchanges, rating agencies or institutional investors). Regulations should aim to:

(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

Education Policy

To what extent does education policy deliver high-quality, equitable and efficient education and training?

10
 9
Education policy fully achieves the criteria.
 8
 7
 6
Education policy largely achieves the criteria.
 5
 4
 3
Education policy partially achieves the criteria.
 2
 1
Education policy does not achieve the criteria at all.
This question assesses the extent to which a government’s education policy facilitates high-quality learning for everyone with the most efficient allocation of resources between the different education systems (pre-school, schools, universities etc). Your response should focus on the following issues, irrespective of the education system’s organization: the contribution of education policy towards providing a skilled labor force, the graduate output of upper secondary and tertiary education, and equitable access to education. While the latter pertains to issues of fairness and distributive justice, it also has implications for a country’s international competitiveness as unequal education implies a waste of human potential.

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.
Social Inclusion Policy

To what extent does social policy prevent exclusion and decoupling from society?

10
 9
Policies very effectively enable societal inclusion and ensure equal opportunities.
 8
 7
 6
For the most part, policies enable societal inclusion effectively and ensure equal opportunities.
 5
 4
 3
For the most part, policies fail to prevent societal exclusion effectively and ensure equal opportunities.
 2
 1
Policies exacerbate unequal opportunities and exclusion from society.
Reducing the various risks of social exclusion is a core task of social policy. The prevention of poverty and the provision of enabling conditions for equal opportunity in society are essential elements of such a policy. In addition to poverty, please take also into account additional dimensions of exclusion like the experience of marginalization and the desire to be appreciated when evaluating socioeconomic disparities.
Health Policy

To what extent do health care policies provide high-quality, inclusive and cost-efficient health care?

10
 9
Health care policy achieves the criteria fully.
 8
 7
 6
Health care policy achieves the criteria largely.
 5
 4
 3
Health care policy achieves the criteria partly.
 2
 1
Health care policy does not achieve the criteria at all.
Public health care policies should aim at providing high-quality health care for the largest possible share of the population and at the lowest possible costs.

Of the three criteria – quality, inclusiveness and cost efficiency – efficiency should be given less weight if the first two criteria can be considered fulfilled.
Family Policy

To what extent do family support policies enable women to combine parenting with participation in the labor market?

10
 9
Family support policies effectively enable women to combine parenting with employment.
 8
 7
 6
Family support policies provide some support for women who want to combine parenting and employment.
 5
 4
 3
Family support policies provide only few opportunities for women who want to combine parenting and employment.
 2
 1
Family support policies force most women to opt for either parenting or employment.
Traditional family patterns confine mothers to opt out of gainful employment and focus on household and child care work, a division of roles that has lost acceptance among an increasing number of women. This question is based on the assumption that an optimal system of family support should enable women to decide freely whether and when they want to take up or proceed with full- or part time employment.
Pension Policy

To what extent does pension policy realize goals of poverty prevention, intergenerational equity and fiscal sustainability?

10
 9
Pension policy achieves the objectives fully.
 8
 7
 6
Pension policy achieves the objectives largely.
 5
 4
 3
Pension policy achieves the objectives partly.
 2
 1
Pension policy does not achieve the objectives at all.
An optimal pension system should prevent poverty among the elderly due to retirement and should be based on distributional principles that do not erode the system’s fiscal stability. It should ensure equity among pensioners, the active labor force and the adolescent generation. These objectives may be achieved by different pension systems: exclusively public pension systems, a mixture of public and private pension schemes, or publicly subsidized private pension plans. Accumulating public and private implicit pension debt is undesirable.
Integration Policy

How effectively do policies support the integration of migrants into society?

10
 9
Cultural, education and social policies effectively support the integration of migrants into society.
 8
 7
 6
Cultural, education and social policies seek to integrate migrants into society, but have failed to do so effectively.
 5
 4
 3
Cultural, education and social policies do not focus on integrating migrants into society.
 2
 1
Cultural, education and social policies segregate migrant communities from the majority society.
This question covers integration-related policies comprising a wide array of cultural, education and social policies insofar as they affect the status of migrants or migrant communities in society. Policies fostering the integration of migrants will ensure migrants’ equal access to the labor market and education, opportunities for family reunion and political participation, the right of long-term residence, effective pathways to nationality as well as protection from discrimination and equality policies.

The objective of integration precludes forced assimilation.
Safe Living Conditions

How effectively does internal security policy protect citizens against security risks?

10
 9
Internal security policy protects citizens against security risks very effectively.
 8
 7
 6
Internal security policy protects citizens against security risks more or less effectively.
 5
 4
 3
Internal security policy does not effectively protect citizens against security risks.
 2
 1
Internal security policy exacerbates the security risks.
This question rests on the assumption that the aims of protecting citizens against security risks like crime, terrorism and similar threats that are more and more internationally organized can be achieved by many different ways and combinations of internal security policies. For example, an effective policy includes objectives such as the internal integration of domestic intelligence and police communities and their regional cross-border cooperation with regional/international intelligence and police communities, the domestic strategy of intelligence and police communities and so on. Whereas expenditures on public order and safety alone say little about the effectiveness of internal security policy, they have to be taken into account in order to assess the cost/benefit-ratio of this policy.

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.
Global Social Policy

To what extent does the government demonstrate an active and coherent commitment to promoting equal socioeconomic opportunities in developing countries?

10
 9
The government actively and coherently engages in international efforts to promote equal socioeconomic opportunities in developing countries. It frequently demonstrates initiative and responsibility, and acts as an agenda-setter.
 8
 7
 6
The government actively engages in international efforts to promote equal socioeconomic opportunities in developing countries. However, some of its measures or policies lack coherence.
 5
 4
 3
The government shows limited engagement in international efforts to promote equal socioeconomic opportunities in developing countries. Many of its measures or policies lack coherence.
 2
 1
The government does not contribute (and often undermines) efforts to promote equal socioeconomic opportunities in developing countries.
This question explores the extent to which the government actively and coherently engages in international efforts to promote equal socioeconomic opportunities in developing countries by demonstrating initiative and assuming responsibility or acting as an agenda-setter within international frameworks. It also examines the extent to which the government’s actions and policies are in alignment with international strategies in this regard.

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 MDG and post-2015 development agenda.

(2) To what extent the government promotes a fair global trading system in order to guarantee developing 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

Environmental Policy

How effectively does environmental policy protect and preserve the sustainability of natural resources and quality of the environment?

10
 9
Environmental policy effectively protects, preserves and enhances the sustainability of natural resources and quality of the environment.
 8
 7
 6
Environmental policy largely protects and preserves the sustainability of natural resources and quality of the environment.
 5
 4
 3
Environmental policy insufficiently protects and preserves the sustainability of natural resources and quality of the environment.
 2
 1
Environmental policy has largely failed to protect and preserve the sustainability of natural resources and quality of the environment.
This question covers a government’s activities aimed at safeguarding the environment and thereby securing the prerequisites for sustainable economic development. Holistic environmental policies not only address climate protection but also the protection of renewable water resources, forest area and biodiversity. Instruments of environmental policy range from greenhouse gas regulation protecting the global climate to the establishment of protection zones for animals or forest.

Please provide a short paragraph for each of the four targets of protection: climate, renewable water resources, forest area and biodiversity.
Global Environmental Policy

To what extent does the government actively contribute to the design and advancement of global environmental protection regimes?

10
 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, fosters their advancement and initiates appropriate reforms.
 8
 7
 6
The government contributes to international efforts to strengthen global environmental protection regimes. It demonstrates commitment to existing regimes and occasionally fosters their advancement or initiates appropriate reforms.
 5
 4
 3
The government demonstrates commitment to existing regimes, but neither fosters their advancement nor initiates appropriate reforms.
 2
 1
The government does not contribute to international efforts to strengthen global environmental protection regimes.
Protecting the climate and preserving natural resources worldwide depends on effective collective action carried out on a global level. The question asks whether the government actively contributes to international efforts to promote and shape the global framework of environmental policies. Examples of active contribution include: demonstrating initiative and responsibility, acting as an agenda-setter within international frameworks, and/or achieving an alignment of purpose among conflicting interests in international negotiations.
 

Quality of Democracy

Candidacy Procedures

How fair are procedures for registering candidates and parties?

10
 9
Legal regulations provide for a fair registration procedure for all elections; candidates and parties are not discriminated against.
 8
 7
 6
A few restrictions on election procedures discriminate against a small number of candidates and parties.
 5
 4
 3
Some unreasonable restrictions on election procedures exist that discriminate against many candidates and parties.
 2
 1
Discriminating registration procedures for elections are widespread and prevent a large number of potential candidates or parties from participating.
Everyone has equal opportunity to become a candidate for election. The registration of candidates and parties may be subject to restrictions only when in accordance with law and if deemed reasonably necessary in a democratic society. This includes protecting the interests of national security or public order, public health or morals, or protecting the rights and freedoms of others.
Media Access

To what extent do candidates and parties have fair access to the media and other means of communication?

10
 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
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
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
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.
Every candidate for election and every political party has equal opportunity of access to the media and other means of communication, which allows them to present their political views and to communicate with the voters. Access to the media may not be restricted or refused on grounds of race, color, gender, language, religion, political or other opinions, national or social origin, property, birth or other status.
Voting and Registration Rights

To what extent do all citizens have the opportunity to exercise their right of participation in national elections?

10
 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
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
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
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.
To participate in national elections, every adult citizen must have the right to access an effective, impartial and non-discriminatory procedure for voting and voter registration. Voting rights also apply to convicts and citizens without a permanent residence in the country. No eligible citizen shall be denied the right to vote or disqualified from registration as a voter, otherwise than in accordance with objectively verifiable criteria prescribed by law, and provided that such measures are consistent with the State’s obligations under international law. Every individual who is denied the right to vote or to be registered as a voter shall be entitled to appeal to a jurisdiction competent to review such decisions and to correct errors promptly and effectively. Every voter has the right of equal and effective access to a polling station or alternative votingmethod, including a feasible absentee voting option. The way in which voter registration is organized, the location of polling stations, and the date and time frame of voting do not constitute disincentives to voting for specific groups in society.

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.
Party Financing

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
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
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
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
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.
This question refers to the obligations of the receiving entity (parties and entities connected with political parties) to keep proper books and accounts, to specify the nature and value of donations received and to publish accounts regularly. Please note that this question also includes an assessment of how effectively funding of political parties and electoral campaigns is supervised (monitored by an independent body such as electoral or parliamentary commission, anti-corruption body, audit institution etc. with checking, investigative, sanction and regulatory powers) and infringements are sanctioned (taking into account administrative, civil and criminal liability).
Popular Decision-Making

Do citizens have the opportunity to take binding political decisions when they want to do so?

10
 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
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
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
Citizens have no effective opportunity to vote on issues of importance to them through a legally binding measure.
This question examines whether citizens have the legal right to propose and take binding decisions on matters of importance to them, as well as the effective opportunity to act on this right. Forms of popular decision-making include popular initiatives and referendums conducted at different levels of government (i.e., local/municipal, regional/state, national/federal).

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).
Media Freedom

To what extent are the media independent from government?

10
 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
The incumbent government largely respects the independence of media. However, there are occasional attempts to exert influence.
 5
 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
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.
This question asks to what extent are the media subject to government influence and the influence of actors associated with the government. The question focuses both on media regulation and government intervention. The rules and practice of supervision should guarantee sufficient independence for publicly owned media. Privately owned media should be subject to licensing and regulatory regimes that ensure independence from government.
Media Pluralism

To what extent are the media characterized by an ownership structure that ensures a pluralism of opinions?

10
 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
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
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
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.
This question does not assume that the predominance of either private or public ownership guarantees a pluralism of opinions. Rather, the underlying assumption is that a diversified ownership structure is likely to best represent the views and positions existing in society.
Access to Government Information

To what extent can citizens obtain official information?

10
 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
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
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
Access to official information is not regulated by law; there are many restrictions of access, bureaucratic procedures and no or ineffective mechanisms of enforcement.
To assess the accessibility of government information, you should examine

(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.
Civil Rights

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
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
The state respects and protects rights, with few infringements. Courts provide protection.
 5
 4
 3
Despite formal protection, frequent infringements of civil rights occur and court protection often proves ineffective.
 2
 1
State institutions respect civil rights only formally, and civil rights are frequently violated. Court protection is not effective.
Civil rights contain and limit the exercise of state power by the rule of law. Independent courts guarantee legal protection of life, freedom and property as well as protection against illegitimate arrest, exile, terror, torture or unjustifiable intervention into personal life, both on behalf of the state and on behalf of private and individual actors. Equal access to the law and equal treatment by the law are both basic civil rights and also necessities to enforce civil rights.
Political Liberties

To what extent does the state concede and protect political liberties?

10
 9
All state institutions concede and effectively protect political liberties.
 8
 7
 6
All state institutions for the most part concede and protect political liberties. There are only few infringements.
 5
 4
 3
State institutions concede political liberties but infringements occur regularly in practice.
 2
 1
Political liberties are unsatisfactory codified and frequently violated.
Political liberties constitute an independent sphere of democracy and are a prerequisite of political and civil society. They aim at the possibility of the formulation, the presentation and the equal consideration of citizens’ preferences and are embodied in the codification and unlimited validity of every individual’s right to speak, think, assemble, organize, worship, or petition without government (or even private) interference or restraints.
Non-discrimination

How effectively does the state protect against different forms of discrimination?

10
 9
State institutions effectively protect against and actively prevent discrimination. Cases of discrimination are extremely rare.
 8
 7
 6
State anti-discrimination protections are moderately successful. Few cases of discrimination are observed.
 5
 4
 3
State anti-discrimination efforts show limited success. Many cases of discrimination can be observed.
 2
 1
The state does not offer effective protection against discrimination. Discrimination is widespread in the public sector and in society.
This question evaluates policies of state institutions aimed at preventing discrimination based on factors such as gender, sexual orientation, physical and mental ability, health, age, ethnic origin, social status, political views or religion. The evaluation should refer to the measures taken by state institutions and their impact. The extent of observable discrimination may be used as an indicator of anti-discrimination policies’ efficacy.

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.
Legal Certainty

To what extent do government and administration act on the basis of and in accordance with legal provisions to provide legal certainty?

10
 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
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
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
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.
This question assesses the extent to which executive actions are predictable (i.e., can be expected to be guided by law).
Judicial Review

To what extent do independent courts control whether government and administration act in conformity with the law?

10
 9
Independent courts effectively review executive action and ensure that the government and administration act in conformity with the law.
 8
 7
 6
Independent courts usually manage to control whether the government and administration act in conformity with the law.
 5
 4
 3
Courts are independent, but often fail to ensure legal compliance.
 2
 1
Courts are biased for or against the incumbent government and lack effective control.
This question examines how well the courts can review actions taken and norms adopted by the executive. To provide effective control, courts need to pursue their own reasoning free from the influence of incumbent governments, powerful groups or individuals. This requires a differentiated organization of the legal system, including legal education, jurisprudence, regulated appointment of the judiciary, rational proceedings, professionalism, channels of appeal and court administration.
Appointment of Justices

To what extent does the process of appointing (supreme or constitutional court) justices guarantee the independence of the judiciary?

10
 9
Justices are appointed in a cooperative appointment process with special majority requirements.
 8
 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
Justices are exclusively appointed by different bodies without special majority requirements.
 2
 1
All judges are appointed exclusively by a single body irrespective of other institutions.
This question regards supreme or constitutional courts’ sufficient independence from political influence as a prerequisite of a functioning democratic system. The appointment process is a crucial factor which determines judiciary independence.

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.
Corruption Prevention

To what extent are public officeholders prevented from abusing their position for private interests?

10
 9
Legal, political and public integrity mechanisms effectively prevent public officeholders from abusing their positions.
 8
 7
 6
Most integrity mechanisms function effectively and provide disincentives for public officeholders willing to abuse their positions.
 5
 4
 3
Some integrity mechanisms function, but do not effectively prevent public officeholders from abusing their positions.
 2
 1
Public officeholders can exploit their offices for private gain as they see fit without fear of legal consequences or adverse publicity.
This question addresses how the state and society prevent public servants and politicians from accepting bribes by applying mechanisms to guarantee the integrity of officeholders: auditing of state spending; regulation of party financing; citizen and media access to information; accountability of officeholders (asset declarations, conflict of interest rules, codes of conduct); transparent public procurement systems; effective prosecution of corruption.

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

Strategic Planning

How much influence do strategic planning units and bodies have on government decision-making?

10
 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
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
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
In practice, there are no units and bodies taking a long-term view of policy challenges and viable solutions.
Institutionalized forms of strategic planning include planning units at the center of government and personal advisory cabinets for ministers or the president/prime minister or extra-governmental bodies. To count as effective agents of strategic planning, such units and bodies must be devoted to planning that takes a long-term view of policy challenges and viable solutions in practice.

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.
Scholarly Advice

How influential are non-governmental academic experts for government decisionmaking?

10
 9
In almost all cases, the government transparently consults with a panel of non-governmental academic experts at an early stage of government decision-making.
 8
 7
 6
For major political projects, the government transparently consults with a panel of non-governmental academic experts at an early stage of government decision-making.
 5
 4
 3
In some cases, the government transparently consults with a panel of non-governmental academic experts at an early stage of government decision-making.
 2
 1
The government does not consult with non-governmental academic experts, or existing consultations lack transparency entirely and/or are exclusively pro forma.
Effective and legitimate consultation with non-governmental academic experts should take place during the early stages of a decision-making process, that is, when outcomes can still be altered and this consultation should be transparent to the public. Pro forma consultations of experts lacking genuine government interest do not constitute effective consultation.

Indicators of consultation may be the frequency of meetings between government and non-governmental external academic experts, the existence of expert commissions, or cooperation projects between government bodies and academic institutions. Please substantiate your assessment with empirical evidence.
GO Expertise

Does the government office / prime minister’s office (GO / PMO) have the expertise to evaluate ministerial draft bills substantively?

10
 9
The GO / PMO has comprehensive sectoral policy expertise and provides regular, independent evaluations of draft bills for the cabinet / prime minister. These assessments are guided exclusively by the government’s strategic and budgetary priorities.
 8
 7
 6
The GO / PMO has sectoral policy expertise and evaluates important draft bills.
 5
 4
 3
The GO / PMO can rely on some sectoral policy expertise, but does not evaluate draft bills.
 2
 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.
This question examines whether the government office (referred to in some countries as the prime minister’s office, chancellery, etc.) has capacities to evaluate the policy content of line ministry proposals.

In case this question does not fully apply to the structure of relevant institutions in your country, please answer this question according to possible functional equivalents.
GO Gatekeeping

Can the government office / prime minister’s office return items envisaged for the cabinet meeting on the basis of policy considerations?

10
 9
The GO/PMO can return all/most items on policy grounds.
 8
 7
 6
The GO/PMO can return some items on policy grounds.
 5
 4
 3
The GO/PMO can return items on technical, formal grounds only.
 2
 1
The GO/PMO has no authority to return items.
Please assess whether the GO/PMO is de facto, not only legally, able to return materials on the basis of policy considerations. In case this question does not fully apply to the structure of relevant institutions in your country, please answer this question according to possible functional equivalents.
Line Ministries

To what extent do line ministries involve the government office/prime minister’s office in the preparation of policy proposals?

10
 9
There are inter-related capacities for coordination in the GO/PMO and line ministries.
 8
 7
 6
The GO/PMO is regularly briefed on new developments affecting the preparation of policy proposals.
 5
 4
 3
Consultation is rather formal and focuses on technical and drafting issues.
 2
 1
Consultation occurs only after proposals are fully drafted as laws.
Please assess whether line ministries involve the GO/PMO de facto, not only legally, in the preparation of policy proposals. If this question does not fully apply to the structure of relevant institutions in your country, please answer by referring to possible functional equivalents.
Cabinet Committees

How effectively do ministerial or cabinet committees coordinate cabinet proposals?

10
 9
The large majority of cabinet proposals are reviewed and coordinated first by committees.
 8
 7
 6
Most cabinet proposals are reviewed and coordinated by committees, in particular proposals of political or strategic importance.
 5
 4
 3
There is little review or coordination of cabinet proposals by committees.
 2
 1
There is no review or coordination of cabinet proposals by committees. Or: There is no ministerial or cabinet committee.
This question studies whether cabinet committees (composed exclusively of cabinet members) or ministerial committees (composed of several ministers and individual non-cabinet members) effectively filter out or settle issues prior to cabinet meetings. Please assess whether ministerial or cabinet committees are de facto, not only legally, able to coordinate cabinet proposals.

If this question does not fully apply to the structure of relevant institutions in your country, please answer by referring to possible functional equivalents.
Ministerial Bureaucracy

How effectively do ministry officials/civil servants coordinate policy proposals?

10
 9
Most policy proposals are effectively coordinated by ministry officials/civil servants.
 8
 7
 6
Many policy proposals are effectively coordinated by ministry officials/civil servants.
 5
 4
 3
There is some coordination of policy proposals by ministry officials/civil servants.
 2
 1
There is no or hardly any coordination of policy proposals by ministry officials/civil servants.
This question refers to administrative/bureaucratic coordination and examines to what extent ministry officials and ministry civil servants of individual ministries effectively coordinate the drafting of policy proposals with other ministries before proposals reach political coordination bodies (such as ministerial committees or the cabinet). Coordination may take place at different levels of bureaucratic hierarchy.

If this question does not fully apply to the structure of relevant institutions in your country, please answer by referring to possible functional equivalents.
Informal Coordination

How effectively do informal coordination mechanisms complement formal mechanisms of interministerial coordination?

10
 9
Informal coordination mechanisms generally support formal mechanisms of interministerial coordination.
 8
 7
 6
In most cases, informal coordination mechanisms support formal mechanisms of interministerial coordination.
 5
 4
 3
In some cases, informal coordination mechanisms support formal mechanisms of interministerial coordination.
 2
 1
Informal coordination mechanisms tend to undermine rather than complement formal mechanisms of interministerial coordination.
This question examines whether there are informal coordination mechanisms (e.g., coalition committees, informal meetings within government or with party groups, informal meetings across levels of government) which support formal mechanisms of interministerial coordination.
RIA Application

To what extent does the government assess the potential impacts of existing and prepared legal acts (regulatory impact assessments, RIA)?

10
 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
RIA are applied systematically to most new regulations. RIA methodology is guided by common minimum standards.
 5
 4
 3
RIA are applied in some cases. There is no common RIA methodology guaranteeing common minimum standards.
 2
 1
RIA are not applied or do not exist.
If RIA activities are not centrally registered, please try to obtain exemplary information that is representative of the situation in your country. **Please Note: If RIA are not applied or do not exist, please give your country a score of “1” for this question AND for G3.2 and G3.3.

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 answer by referring to possible functional equivalents and substantiate your answer.
Quality of RIA Process

Does the RIA process ensure participation, transparency and quality evaluation?

10
 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
The RIA process displays deficiencies with regard to one of the three objectives.
 5
 4
 3
The RIA process displays deficiencies with regard to two of the three objectives.
 2
 1
RIA analyses do not exist or the RIA process fails to achieve any of the three objectives of process quality.
This question seeks to assess the procedural quality of RIA. In the analysis stage, the participation (consultation or collaboration) of relevant stakeholders increases the quality of RIAs by providing empirical nformation about the needs and likely reaction of individuals with regard to a regulatory change. Once RIA results are available, their accessibility and communication fosters their relevance to the political process. Finally, quality evaluations of RIA assessments (with regard to results and process) by an independent body provide opportunities to improve the RIA process in the future.
Sustainability Check

Does the government conduct effective sustainability checks within the framework of RIA?

10
 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
Sustainability checks lack one of the three criteria.
 5
 4
 3
Sustainability checks lack two of the three criteria.
 2
 1
Sustainability checks do not exist or lack all three criteria.
This question examines whether RIAs also analyze a regulation’s impacts on sustainability. Effective sustainability checks fulfill three criteria. First, they are integrated into RIAs in order to form a common basis for decision-making rather than standing on their own. Second, they draw on an exhaustive set of impact indicators addressing social (e.g., youth unemployment), economic (e.g., public debt) and environmental (e.g., CO2 emissions) issues. Third, they analyze the impacts on such indicators in the short-, mid-, and long-term.

Please also indicate whether there is a formally adopted sustainability strategy in your country.
Negotiating Public Support

To what extent does the government consult with societal actors to support its policy?

10
 9
The government successfully motivates societal actors to support its policy.
 8
 7
 6
The government facilitates the acceptance of its policy among societal actors.
 5
 4
 3
The government consults with societal actors.
 2
 1
The government rarely consults with any societal actors.
This question assesses how successfully the government consults with societal actors such as trade unions, employers’ associations, leading business associations, religious communities, and social and environmental interest groups in preparing its policy. Successful consultation is conceived here as an exchange of views and information (beginning at an early stage of policy development and continuing through to policy implementation) that increases the quality of government policies and induces societal actors to support them.
Coherent Communication

To what extent does the government achieve coherent communication?

10
 9
The government effectively coordinates the communication of ministries; ministries closely align their communication with government strategy. Messages are factually coherent with the government’s plans.
 8
 7
 6
The government coordinates the communication of ministries. Contradictory statements are rare, but do occur. Messages are factually coherent with the government’s plans.
 5
 4
 3
The ministries are responsible for informing the public within their own particular areas of competence; their statements occasionally contradict each other. Messages are sometimes not factually coherent with the government’s plans.
 2
 1
Strategic communication planning does not exist; individual ministry statements regularly contradict each other. Messages are often not factually coherent with the government’s plans.
This question assesses whether the government achieves coherent communication by (a) effectively coordinating the communication activities of ministries and (b) sending messages that are factually coherent with the government’s plans.
Government Efficiency

To what extent can the government achieve its own policy objectives?

10
 9
The government can largely implement its own policy objectives.
 8
 7
 6
The government is partly successful in implementing its policy objectives or can implement some of its policy objectives.
 5
 4
 3
The government partly fails to implement its objectives or fails to implement several policy objectives.
 2
 1
The government largely fails to implement its policy objectives.
This question seeks to evaluate a government’s implementation performance against the performance benchmarks set by the government for its own work. The assessment should therefore focus on the major policy priorities identified by a government and examine whether declared objectives could be realized.
Ministerial Compliance

To what extent does the organization of government provide incentives to ensure that ministers implement the government’s program?

10
 9
The organization of government successfully provides strong incentives for ministers to implement the government’s program.
 8
 7
 6
The organization of government provides some incentives for ministers to implement the government’s program.
 5
 4
 3
The organization of government provides weak incentives for ministers to implement the government’s program.
 2
 1
The organization of government does not provide any incentives for ministers to implement the government’s program.
Organizational devices providing incentives for ministers include prime ministerial powers over personnel, policies or structures, coalition committees, party summits, comprehensive government rograms/coalition agreements and cabinet meetings. If this question does not fully apply to your country, please answer by referring to possible functional equivalents and substantiate your answer.
Monitoring Ministries

How effectively does the government office/prime minister’s office monitor line ministry activities with regard to implementation?

10
 9
The GO / PMO effectively monitors the implementation activities of all line ministries.
 8
 7
 6
The GO / PMO monitors the implementation activities of most line ministries.
 5
 4
 3
The GO / PMO monitors the implementation activities of some line ministries.
 2
 1
The GO / PMO does not monitor the implementation activities of line ministries.
This question assumes that effective delegation from the core executive to ministries is reflected in the monitoring of line ministry activities by the administration of the core executive. While such monitoring is not sufficient to prevent line ministries from prioritizing sectoral over government interests in implementation, the presence or absence of monitoring is taken here as a proxy of effective delegation.

If this question does not fully apply to your country, please answer by referring to possible functional equivalents and substantiate your answer.
Monitoring Agencies, Bureaucracies

How effectively do federal and subnational ministries monitor the activities of bureaucracies and executive agencies with regard to implementation?

10
 9
The ministries effectively monitor the implementation activities of all bureaucracies/executive agencies.
 8
 7
 6
The ministries monitor the implementation activities of most bureaucracies/executive agencies.
 5
 4
 3
The ministries monitor the implementation activities of some bureaucracies/executive agencies.
 2
 1
The ministries do not monitor the implementation activities of bureaucracies/executive agencies.
An effective implementation may be constrained by bureaucratic drift. To ensure that bureaucracies/agencies act in accordance with government policies and implement the government’s program, this question assumes that federal/subnational ministries and their leading officials should monitor the activities of semi-autonomous bureaucracies/executive agencies in their task area.

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.
Task Funding

To what extent does the central government ensure that tasks delegated to subnational self-governments are adequately funded?

10
 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
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
The central government sometimes and deliberately shifts unfunded mandates to subnational governments.
 2
 1
The central government often and deliberately shifts unfunded mandates to subnational self-governments.
A high or low degree of decentralization as such does not constitute a meaningful indicator of executive capacity. Rather, this question focuses on the delegation problem associated with decentralization.

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.
Constitutional Discretion

To what extent does central government ensure that subnational self-governments may use their constitutional scope of discretion with regard to implementation?

10
 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
Central government policies inadvertently limit the subnational self-governments’ scope of discretion with regard to implementation.
 5
 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
The central government deliberately precludes subnational self-governments from making use of their constitutionally provided implementation autonomy.
As a high or low degree of decentralization as such does not constitute a meaningful indicator of executive capacity, this question takes the constitutional scope of regional self-government or, in unitary states without regional self-government, local self-government autonomy, as a point of reference.

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.
National Standards

To what extent does central government ensure that subnational self-governments realize national standards of public services?

10
 9
Central government effectively ensures that subnational self-governments realize national standards of public services.
 8
 7
 6
Central government largely ensures that subnational self-governments realize national standards of public services.
 5
 4
 3
Central government ensures that subnational self-governments realize national minimum standards of public services.
 2
 1
Central government does not ensure that subnational self-governments realize national standards of public services.
This question seeks to assess how central government ensures that the decentralized provision of public services (e.g. health care, public transportation, waste management) complies with standards (rules, performance figures, etc.) agreed upon and set on the national level.
Domestic Adaptability

To what extent does the government respond to international and supranational developments by adapting domestic government structures?

10
 9
The government has appropriately and effectively adapted domestic government structures to international and supranational developments.
 8
 7
 6
In many cases, the government has adapted domestic government structures to international and supranational developments.
 5
 4
 3
In some cases, the government has adapted domestic government structures to international and supranational.
 2
 1
The government has not adapted domestic government structures no matter how useful adaptation might be.
In order to effectively shape, adapt and implement policy relevant to a country’s specific international setting, governments sometimes adapt their domestic government structures to meet new international demands (e.g., to improve the speed of decision-making, facilitate new means of distributing information, improve the packaging of topics at the international level). Government structures include the organization of ministries, the cooperation among ministries and in cabinet, the center of government and relations with subnational levels of government. This question asks whether these structures have been adapted to address inter /supranational developments and what effects these changes have on policy formulation and implementation.

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 studied in view of their role in institutional learning (question G8.2).
International Coordination

To what extent is the government able to collaborate effectively in international efforts to foster global public goods?

10
 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
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
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
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.
This question explores the extent to which the government has the institutional capacity to contribute actively to international efforts to foster the provision of global public goods. This capacity is manifest in collective action and cooperation aimed at complex global challenges such as climate change and inclusive economic and social development.

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.
Self-monitoring

To what extent do actors within the government monitor whether institutional arrangements of governing are appropriate?

10
 9
The institutional arrangements of governing are monitored regularly and effectively.
 8
 7
 6
The institutional arrangements of governing are monitored regularly.
 5
 4
 3
The institutional arrangements of governing are selectively and sporadically monitored.
 2
 1
There is no monitoring.
Institutional arrangements include the rules of procedure and the work formats defined there, in particular the cabinet, the office of the head of government, the center of government, the portfolios of ministries, the advisory staffs of ministers and the head of government as well as the management of relations with parliament, governing parties, ministerial administration and public communication.
Institutional Reform

To what extent does the government improve its strategic capacity by changing the institutional arrangements of governing?

10
 9
The government improves its strategic capacity considerably by changing its institutional arrangements.
 8
 7
 6
The government improves its strategic capacity by changing its institutional arrangements.
 5
 4
 3
The government does not improve its strategic capacity by changing its institutional arrangements.
 2
 1
The government loses strategic capacity by changing its institutional arrangements.
For a list of institutional arrangements, see question G8.1. Strategic capacity is the capacity to take and implement political decisions which take into account the externalities and interdependencies of policies, are based on scientific knowledge, promote common goods and represent a long-term orientation.

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

Policy Knowledge

To what extent are citizens informed of government policymaking?

10
 9
Most citizens are well-informed of a broad range of government policies.
 8
 7
 6
Many citizens are well-informed of individual government policies.
 5
 4
 3
Few citizens are well-informed of government policies; most citizens have only a rudimental knowledge of policies.
 2
 1
Most citizens are not aware of government policies.
This question assesses the extent to which citizens have information and knowledge enabling them to evaluate government policymaking adequately. The question focuses on policies, not the personnel or political composition of government or the power struggles that often dominate government. A high level of information about policies presupposes that citizens understand the motives, objectives, effects and implications of policies.

Please rely on local opinion survey data to substantiate your evaluation.
Parliamentary Resources

Do members of parliament have adequate personnel and structural resources to monitor government activity effectively?

10
 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
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
The members of parliament as a group can draw on a set of resources suited for selectively monitoring some government activities.
 2
 1
The resources provided to the members of parliament are not suited for any effective monitoring of the government.
In order to effectively monitor government activity members of parliament must possess the resources to obtain selfproduced or independent information and expertise. Resources like deputy expert staff, or administrative support staff (e.g., parliamentary libraries or parliamentary research units) as well as monetary allowances for the commission of independent research are key preconditions for effective monitoring.
Obtaining Documents

Are parliamentary committees able to ask for government documents?

10
 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
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
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
Parliamentary committees may not ask for government documents.
Please assess whether parliamentary committees are de facto, not only legally, able to obtain the documents they desire from government. Specify if you consider the rights of committees limited. This question considers regular parliamentary committees only, not committees established ad hoc to investigate specific questions.
Summoning Ministers

Are parliamentary committees able to summon ministers for hearings?

10
 9
Parliamentary committees may summon ministers. Ministers regularly follow invitations and are obliged to answer questions.
 8
 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
The rights of parliamentary committees to summon ministers are considerably limited; ministers frequently refuse to follow invitations or to answer questions.
 2
 1
Parliamentary committees may not summon ministers.
Please assess whether parliamentary committees are de facto, not only legally, able to summon ministers to committee meetings and to confront them with their questions. Please specify if you consider the rights of committees limited. This question considers regular parliamentary committees only, not committees established ad hoc to investigate specific questions.
Summoning Experts

Are parliamentary committees able to summon experts for committee meetings?

10
 9
Parliamentary committees may summon experts.
 8
 7
 6
The rights of parliamentary committees to summon experts are slightly limited.
 5
 4
 3
The rights of parliamentary committees to summon experts are considerably limited.
 2
 1
Parliamentary committees may not summon experts.
Please assess whether parliamentary committees are de facto, not only legally, able to invite experts to committee meetings. Please specify if you consider the rights of committees limited. This question considers regular parliamentary committees only, not committees established ad hoc to investigate specific questions.
Task Area Congruence

Are the task areas and structures of parliamentary committees suited to monitor ministries effectively?

10
 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
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
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
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.
The main structural precondition for effective monitoring of ministries by parliamentary committees is a match between committees’ and ministries’ task areas. If the task areas of parliamentary committees match the task areas of ministries, each parliamentary committee may focus on monitoring the activities of its corresponding ministry, thereby increasing the control capacity of the legislature. There are two possible ill-fitting constellations between committee and ministerial portfolios. If there are fewer committees than ministries, the committees may be overburdened with monitoring ministerial activities. If there are more committees than ministries, control responsibilities are split and the legislature may act noncohesively. Other structural factors important for effective monitoring include adequate size of committees,the frequency of meetings and their organisation.

This question considers regular parliamentary committees only, not committees established ad hoc to investigate specific questions.
Audit Office

To what extent is the audit office accountable to the parliament?

10
 9
The audit office is accountable to the parliament exclusively.
 8
 7
 6
The audit office is accountable primarily to the parliament.
 5
 4
 3
The audit office is not accountable to the parliament, but has to report regularly to the parliament.
 2
 1
The audit office is governed by the executive.
This question assesses the extent to which the parliament can rely on its own auditing capacities.
Ombuds Office

Does the parliament have an ombuds office?

10
 9
The parliament has an effective ombuds office.
 8
 7
 6
The parliament has an ombuds office, but its advocacy role is slightly limited.
 5
 4
 3
The parliament has an ombuds office, but its advocacy role is considerably limited.
 2
 1
The parliament does not have an ombuds office.
This question asks whether parliaments have institutions that listen to the concerns of citizens, publicly advocate the issues raised by citizens and initiate governmental action to address them.

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.
Media Reporting

To what extent do media provide substantive in-depth information on decision-making by the government?

10
 9
A clear majority of mass media brands focus on high-quality information content analyzing government decisions.
 8
 7
 6
About one-half of the mass media brands focus on high-quality information content analyzing government decisions. The rest produces a mix of infotainment and quality information content.
 5
 4
 3
A clear minority of mass media brands focuses on high-quality information content analyzing government decisions. Several mass media brands produce superficial infotainment content only.
 2
 1
All mass media brands are dominated by superficial infotainment content.
This question seeks to assess the extent to which the media provide timely and contextualized information, analysis, as well as background information that enables the broader public to evaluate the government’s decisions.

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 evaluate decisions, 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 toward entertaining events and stories.
Intra-party Democracy

How inclusive and open are the major parties in their internal decision-making processes?

10
 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
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 agendas of issues are rather open.
 5
 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 agendas of issues are largely controlled by the party leadership.
 2
 1
A number of party leaders participate in decisions on the most important personnel and issues. Lists of candidates and agendas of issues are fully controlled and drafted by the party leadership.
Parties make decisions with regard to personnel (e.g. candidates for prime minister/president) and with regard to issues (e.g. electoral programs). Party decision-making can be more or less inclusive, that is, parties can allow every party member and even party supporters to participate in decisions, or they may restrict participation to elected delegates or even to a small number of party leaders. Moreover, decision-making can be more or less open, that is, lists of candidates or agendas of issues may be proposed by everyone participating in decision-making or such powers may be restricted to a small group of party leaders.

“Major” parties are conceived here as parties which gained at least 10% of the popular vote in the last general election.

For 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.
Association Competence (Business)

To what extent are economic interest associations capable of formulating relevant policies?

10
 9
Most interest associations are highly capable of formulating relevant policies.
 8
 7
 6
Many interest associations are highly capable of formulating relevant policies.
 5
 4
 3
Few interest associations are highly capable of formulating relevant policies.
 2
 1
Most interest associations are not capable of formulating relevant policies.
“Relevant” policy proposals draw the attention of a significant part of the population, they propose concrete policy measures and they analyse effects or costs/benefits of implementation. In order to formulate such policies, interest groups will draw on capabilities such as their own academic personnel, associated institutes and think tanks, or they undertake cooperative efforts with academic bodies.

The assessment should focus on the following interest associations: employers’ associations, leading business associations and trade unions.
Association Competence (Others)

To what extent are non-economic interest associations capable of formulating relevant policies?

10
 9
Most interest associations are highly capable of formulating relevant policies.
 8
 7
 6
Many interest associations are highly capable of formulating relevant policies.
 5
 4
 3
Few interest associations are highly capable of formulating relevant policies.
 2
 1
Most interest associations are not capable of formulating relevant policies.
“Relevant” policy proposals draw the attention of a significant part of the population, they propose concrete policy measures and they analyse effects or costs/benefits of implementation. In order to formulate such policies, interest groups will draw on capabilities such as their own academic personnel, associated institutes and think tanks, or they undertake cooperative efforts with academic bodies.

The assessment should focus on the following interest associations: social interest groups, environmental groups and religious communities.
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