Transparency Initiative (EITI)

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37 OVERVIEW VERSION OF THE GENERIC RESULTS MODEL Highly aggregated impact Sustainable development Dimensions Economic Social Environmental Governance Impact Conditions are improved under which extractive industries better contribute to the development of producing countries. Outcome Fiscal transparancy Public debate Anti-corruption Trade and investment climate Output Stakeholders have greater capacity to participate in informed decisionmaking for public or corporate policy Activities • Expenditure and staff by implementing government, and key stakeholders (e.g. in MSG) • Decisions by International Board to maintain, adjust and implement the Standard • Services by International Secretariat • Advisory services and financing by supporting goverments, companies, NGOs, foundations, philanthropists, etc.
38 Generic Results Model 39 Levels Areas Variables (applicable in macro data) Indicators Conditions (conducive/obstructive) Highly aggregated impact Sustainable development Dimensions: • Economic • Social • Environmental • Governance Independent: 1. GDP p.c. growth in percent 2. Total population 3. Country Risk Classification 4. Inflation rate 5. Industry value added (in local currecy units) 6. Merchandized trade 7. Total labor force 8. Interest rate 9. Corruption perception 10. Received ODA Independent (not applied in the quantitative model because of data limitations, for example): 1. Gini coefficient 2. Export and Import 4. Genuine Progress Indicator (GPI) 1. Situation of target group is improved by x% (in the dimensions of economic, social, environmental and governance) Source: Sustainability indices and reporting systems to identify relationships, distributions, comparison of average values, detection of patterns, e.g. Human Development Index (HDI); Bertelsmann Transformation Index (BTI); Resource Governance Index, Global Reporting Initiative (GRI). 2. X% increase of perceived responsiveness of government to stakeholders’ interests Source: own survey 1. Peace/conflict 2. Political will 3. Democratic/autocratic system 4. Enforcement capacities laws and regulations 5. Quality of investors Impact Conditions are improved under which extractive industries better contribute to the development In addition to the above: of producing countries. Possible aspects: 1. X% of people in the target group express a positive opinion about 1. 2. Leadership for good governance Open dialog EITI achieving impacts Source: own survey 3. 4. Accountability/responsibility Improved living and human rights conditions 2. X policies and procedures changed (systemic milestones achieved) 4. 6. Increased citizen participation in decision making and conflict mitigation Contractual problems regarding taxes, etc. are tackled 3. X% increase of pro-stakeholder budget decided and allocated 7. Extractive companies pay compensation for damages 4. X services accessible and delivered to stakeholders (male/female) Outcome Fiscal transparency Public debate Anti-corruption Trade and investment Dependent: 1. X meetings (hearings, etc.) Possible aspects: Possible aspects: Possible aspects: climate 1. Business extent of disclosure between stakeholders and 1. Freedom of information/ 1. Freedom of information/figures and extortion and 1. Ease of doing 3. Foreign direct investments decision makers 1. Corruption, Possible aspects: 2. Discrepancy in expenditure government policy and figures and information accessible information accessible 2. UN Convention 2. Costs of financing 5. Business regulatory environment media by journalists on the EITI bribery tackled business 4. Time to prepare and pay taxes 2. X% increase of reporting in the 2. Quality assurance in government (Change processes) 2. Public understanding of government (UN-CAC) imple- 3. Volume of 7. Fiscal policy compared to the previous year Against Corruption projects 6. Equity of public resource use rating and the extractive industries revenues and expenditure increased 4. Quality of 9. Trade enues reconciled compared to the mented investments 8. Quality of public administration 3. X increased total percentage of rev- investments 10. Transparency, accountability and previous year corruption 4. Change of x ranks in the ‘Ease of doing business’ (or other surveys). (for variables in full details, see dataset in 5. USD X million higher volume or study) higher quality investments Dependent (not applied in the quantitative model because of data limitations, for example): 6. X% of stakeholders show change of perceptions of EITI-induced changes 1. Bribery incidence 2. Informal payments to public officials 3. Tax revenues Output Stakeholders have greater capacity (in terms of expertise and means) to participate in informed and consensual 1. EITI Reports published in a timely decision making for public or corporate policy. manner (yes/no) Key EITI outputs: 2. Level of knowledge of sector policy and budget issues 1. EITI Reports, produced annually and available on national EITI websites and on eiti.org. 3. Level of awareness of rights of 2. EITI Annual Activity Reports, which track progress against EITI Requirements, objectives and progress in stakeholders and roles of following the recommendations of EITI Reports. duty-bearers 3. EITI Validation Reports, evaluating country implementation against the EITI Standard. 4. Level of skills for sustainable financial management 4. EITI Secretariat Reviews, produced occasionally as interim assessments pending Validation. 5. Level and quality of participation in stakeholder groups 6. Level and quality of interaction between stakeholder groups 7. Level and quality of information available for M&E Activities/ Processes Inputs 1. MSG established 2. Key stakeholders capacitated 3. EI framework conditions monitored 4. Payments reported, reconciliated and disclosed 5. EI decision chain information disclosed (e.g. on licensing) 6. Reform processes of the state and for businesses identified, facilitated and driven by the EITI) 1. Decisions by the International EITI Board to develop, adjust and enforce the Standard 2. Political will, services (e.g. preparing data) and financing (e.g. staff) provided by implementing governments, and key stakeholders (e.g. in MSG) 3. Services by the International EITI Secretariat (e.g. advice, training, facilitation, research) 4. Services and financing by supporting governments, companies, NGOs, foundations, philanthropists, etc. (e.g. advice, training, facilitation, research) 5. Research results from academia 1. EITI training plan for MSG members, Secretariat staff, and stakeholders adopted and implemented (yes/no) 2. Follow up action plans and strategies to address EITI reports recommendations are developed and agreed by MSG annually (yes/no) 3. X persons trained who confirm a knowledge and competency gain through the training measure 4. X sensitization (awareness building) events conducted 5. X persons sensitized 6. X% scored 1. Political will 2. Legal regime 3. Relation of media as party with government or companies 4. (EI) Literacy 5. Quality of investors 1. Financing 2. Expertise 3. Relevance of stakeholders 4. Accessibility and comprehensiveness of report 5. Insecurity (conflict & crime) 6. Legal restrictions
Page 1 and 2: Assessing the Effectiveness and Imp
Page 3 and 4: 2 Content ABBREVIATIONS AND DEFINIT
Page 5 and 6: 4 Abbreviations and definitions ABB
Page 7 and 8: 6 Requirements The seven requiremen
Page 9 and 10: 8 Executive summary This study asse
Page 11 and 12: 10 Executive summary 15. High(er) e
Page 13 and 14: 12 Executive summary COOPERATION 5.
Page 15 and 16: 14 Introduction 2.1 ABOUT THE EITI
Page 17 and 18: 16 Introduction FIGURE 1: VISUALIZI
Page 19 and 20: 18 Introduction 2.2 THE ROLE OF GER
Page 21 and 22: 20 Introduction 2.4 STRUCTURE OF TH
Page 23 and 24: 22 Methodology There is a notable a
Page 25 and 26: 24 Methodology 3.2 MACRO DATA: GLOB
Page 27 and 28: 26 Methodology 3.3 CASE STUDIES: CO
Page 29 and 30: 28 Methodology FIGURE 2: RESPONDENT
Page 31 and 32: 30 Methodology
Page 33 and 34: 32 Generic Results Model 4. GENERIC
Page 35 and 36: 34 Generic Results Model Outcome: T
Page 37: 36 Generic Results Model (between m
Page 42 and 43: 41 5. LITERATURE REVIEW
Page 44 and 45: 43 the report leaves unclear what k
Page 46 and 47: 45 5.2.1 FISCAL TRANSPARENCY `` A n
Page 48 and 49: 47 5.2.3 ANTI-CORRUPTION es members
Page 50 and 51: 49 5.2.4 TRADE AND INVESTMENT CLIMA
Page 52 and 53: 51 6. MACRO DATA: GLOBAL STATISTICA
Page 54 and 55: 53 from the analysis are quite sobe
Page 56 and 57: 55 7. OPEN ONLINE SURVEY
Page 58 and 59: 57 FIGURE 5: IMPACTS OF EITI ∙ No
Page 60 and 61: 59 8. CASE STUDY: DEMOCRATIC REPUBL
Page 62 and 63: 61 FIGURE 7: DRC’S PATH TO EITI C
Page 64 and 65: 63 8.2 RESULTS MODEL Given the incr
Page 66 and 67: 65 Levels Areas Indicators (in addi
Page 68 and 69: 67 8.3.1 FISCAL TRANSPARENCY The EI
Page 70 and 71: 69 The EITI’s effectiveness is co
Page 72 and 73: 71 8.4 CONCLUSION Although the DRC
Page 74 and 75: 73 9. CASE STUDY: MOZAMBIQUE
Page 76 and 77: 75 EITI Standard and published on D
Page 78 and 79: 77 9.2 RESULTS MODEL To shed light
Page 80 and 81: 79 Fiscal transparency and accounta
Page 82 and 83: 81 9.3.2 PUBLIC DEBATE 9.3.3 ANTI-C
Page 84 and 85: 83 9.4 CONCLUSION Effects of the M-
Page 86 and 87: 85 10. CONCLUSIONS
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87 to what degree EITI processes on
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89 where transparency can lead to r
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91 11. RECOMMENDATIONS
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93 periods of time. Probably a pane
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95 12. DOCUMENTS
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97 Transparency Initiative. Corpora
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99 Holland, Jeremy and Thirkell, Al
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ANNEX I: EITI REQUIREMENT 7 - OUTCO
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103 b. Summarise and compare the sh
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ANNEX II: GENERAL INTERVIEW GUIDELI
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108 Annes II: General Interview Gui
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112 Annes II: General Interview Gui
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114 Annex III:: Questionnaire www.i
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Transparency Initiative (EITI)

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