Instructivo para completar el cuestionario de autoevaluación INTAI en inglés
El presente documento es una guía para completar el cuestionario de autoevaluación del Índice Nacional de Transparencia y Acceso a la Información (INTAI) de la Unidad de Acceso a la Información Pública (UAIP) en idioma inglés
Date of creation
27/02/2023
Type of publication
Instructions
Summary
This document is a guide for completing the self-assessment questionnaire of the National Index of Transparency and Access to Information (INTAI for its acronym in Spanish) of the Access to Public Information Unit (UAIP).
We recommend a careful reading of these instructions. In case of doubts or questions please contact: intai@informacionpublica.gub.uy
The information gathered in this questionnaire refers to:
a) requirements established in Law No. 18,381 of October 17, 2008, and Decree No. 232/010.
b) processes and infrastructure necessary for the implementation of these obligations.
c) and obligations derived from Law No. 18,220 of December 20, 2007, on the National Archive System, and other related regulations.
All questions will measure the existence of procedures, processes or practices related to transparency and access to public information.
The questionnaire has the status of an official statement of the institution, and the information provided, and its veracity is the responsibility of said institution.
All answers are subject to an audit and review process by the UAIP and the National Internal Audit Office (AIN for its acronym in Spanish) to verify the information provided.
Access to more information about the previous edition of INTAI
General Guidelines
About the National Index of Transparency and Access to Information (INTAI)
The National Index of Transparency and Access to Information (INTAI) is the result of a commitment by the Access to Public Information Unit (UAIP) in the framework of Uruguay's 4th National Action Plan for Open Government 2018-2020.
The Index analyzes three dimensions: institutional, active transparency and passive transparency; and draws from two sources of information:
1. information reported by the bodies through the online self-assessment form.
2. Information sent by the regulated parties in the report on the status of compliance with obligations (Article 7 of Law No. 18,381). As of 2023, this report can only be sent through the SAIP. It should be noted that if this form is not sent, the score in the Index will be affected.
Access more information about INTAI
General guidelines for completing the INTAI self-assessment questionnaire
To complete this questionnaire, you must have a gub.uy User. If you do not yet have this user, you can access the following link and complete the registration: register in User gub.uy
The questionnaire must be completed by the person responsible for active and/or passive transparency of the institution with the support of the professional archivist, since many concepts arising from the regulations applicable to access to public information and document and file management are used. Knowledge of Laws No. 18.381 and No. 18.220, which govern both topics, is of vital importance for answering all the questions.
A questionnaire must be completed for each institution considered for the purposes of this Index: Executing Unit or Organizational Unit, as defined by the UAIP. In the case of the paragraphs that have more than one Executing Unit, an individual form must be completed for each of them.
All the questions have as an answer option "YES", "NO" or "In process". The "In process" option, even though for scoring purposes it is equivalent to "NO", it is relevant for the Unit to have this information for the purpose of analyzing possible improvements planned by the bodies.
The information declared must be complete and up to date. If the information is not up to date, the option "NO" should be marked.
In some questions, when answering "YES", it is necessary to add a link as evidence of the declared information. A link to the information requested in the question must be provided for the answer to be valid. The publication of this information must be on the institution's website.
If the institution has Deconcentrated Units that have independent websites, they will not be analyzed in the answers. The links provided must be to the website of the Executing Unit for which the answer is being given.
At the end of the questionnaire, we recommend checking that all fields are complete and then verifying that the form was sent correctly.
If you have any doubts or questions, please contact: intai@informacionpublica.gub.uy
Dimensions evaluated at INTAI
Institutional dimension
This dimension evaluates the internal instruments and procedures used by the institution to preserve, produce, publish and disseminate information, so as to make its activities and the results of its management more visible, thus achieving greater knowledge, contact and closeness with the citizens.
Active transparency dimension
All questions in this dimension refer to the information published on the institution's website. For this purpose, links to the specific site where the information required in each question can be found are requested.
The information collected in this questionnaire is the information required by the regulations in force (Article 5 of Law No. 18,381 and Articles 38, 40, 41 and 56 of Decree No. 232/010):
organizational structure;
applicable legal framework;
Compensation structure;
budget allocated, its execution and audits; concessions, bids, permits or authorizations; statistical information of general interest; mechanisms for citizen participation.
When answering a question with the option "YES", the UAIP will verify that the information is complete and up to date, that is, that it corresponds to the year of the Index edition. In case the information published is not updated, they should choose the "NO" option.
It is important to keep the institution's website up to date, including the link to the external website where the information that evidences compliance with the question is published. If there are several links, the most representative one should be chosen for each question.
Passive transparency dimension
This dimension is evaluated in a mixed way with the following information:
1. The answers provided in questions 1 and 2 of the self-assessment questionnaire.
2. The information provided in the annual report on compliance with obligations, which each institution must send in March to the UAIP through the Public Information Access System (SAIP), stating how many access requests the institution has received, how many have been answered and within what deadlines, among other aspects.
We remind you that the bodies that do not send the UAIP the annual report of compliance with obligations will see their score affected in the index.
Specific guidelines for completing the questionnaire General questionnaire fields
Name and Surname of the person completing the questionnaire
This data will be automatically loaded from the gub.uy User.
Institutional e-mail for sending notifications
You must enter an institutional e-mail address to receive notifications, which can be a generic e-mail address. Example: transparencia@organismopublico.gub.uy)
Type of organization
Among the options provided in the questionnaire, select the corresponding type of organization.
Name of the organization
Select the name of the organization from the drop-down list provided in the questionnaire. If the institution is not in the list, please contact us at: intai@informacionpublica.gub.uy
Active Transparency Referent
Indicate the name and surname of this referent.
Institutional e-mail address of the referent of Active Transparency
Enter an institutional e-mail address of the organization. Example: transparencia@organismopublico.gub.uy Referent of Passive Transparency
Indicate the name and surname of this referent.
Institutional e-mail address of the referent of Passive Transparency
Enter an institutional e-mail address of the organization. Example: transparencia@organismopublico.gub.uy
Questions of the questionnaire
1- Does the institution have a documented and public procedure for the presentation in person of requests for access to information?
This procedure must be documented and must be public, which implies that it has also been disseminated both internally and outside the institution, therefore a link is requested as evidence.
2- Does the institution have a documented and public procedure for the electronic submission of requests for access to information?
This procedure must be documented and must be public, which implies that it has also been disseminated both internally and outside the institution, therefore a link is requested.
3- Are there documentary funds and/or collections identified and organized archivistically, whatever the medium in which the information is contained?
The question refers to the obligations established in Article of Law No. 18.220 "National Archives System. Conservation and Organization of the Nation's documentary heritage", where it is stated that it is the State's obligation to conserve and maintain such documentary collections as part of the Nation's documentary heritage and the management documents as instruments to support the administration, culture, scientific development and as elements of evidence, guarantee and information.
To this end, it must be ensured that they have the necessary conditions, in terms of buildings and equipment, in accordance with the technical specifications.
We recommend taking into account for this question the Technical-Methodological Guidelines for Document Management (UAIP).
4- Are there professional archivists in the organization?
To answer "YES" you must confirm that the organization has this type of professional, even if the position or function of professional archivists does not yet exist. The option "YES" is also considered if the organization has this service contracted through a company.
5- Only for state bodies: is the professional position of archivist regularized or in the process of being created in the professional scale? / Only for non-state public persons: is the professional profile of archivist considered a permanent position?
This question will differ according to the type of organization selected at the beginning of the form.
To answer this question, it should be noted that Article 8 of Law No. 19,768 establishes that public entities must regularize the professional situation of their officials who, having met the requirements set out in the law, are in the effective exercise of the professional functions of archivist or are on a different scale to that which corresponds to their qualifications.
6. Are there physical spaces equipped for the operation of the archives with the necessary logistics and infrastructure to develop archival processes?
This question also refers to the obligation established in Article 1 of the aforementioned Law No. 18,220. The conditioning must guarantee the organization and preservation of the archives. For this question, it is recommended that the organization's professional archivist be consulted.
7- Is there a digital space equipped for the operation of the digital archives, logistics and infrastructure necessary for the archival processes?
This question also refers to the obligation established in Article 1 of the aforementioned Law No. 18,220. The conditioning must guarantee the organization and preservation of the archives. It is recommended that the organization's professional archivist be consulted on this question.
8- Are there security systems in place for physical documents (analog, paper) together with defined and implemented risk management?
This question refers to the security measures or systems that the organization has in place to protect its paper-based information.
In this sense, Article 6 of Decree No. 355/012 establishes that it is the responsibility of the bodies to have security systems and spaces that guarantee the preservation of documents.
9- Are there security systems for digital documents (backup, access, confidentiality, authenticity and traceability) together with defined and implemented risk management?
This question refers to the security measures or systems that the organization has in place to protect its digital information.
In this regard, Article 6 of Decree No. 355/012 establishes that it is the responsibility of the bodies to have security systems and spaces that guarantee the conversation of the documents.
It is also recommended to take into account the following regulations:
Decree 451/009. National Computer Security Incident Response Center. Operation and organization
Decree 452/009. Information Security Policy for Public Administration Organizations.
Decree 92/004. Cybersecurity. Regulation of Article 149 of Law 18.719 related to the Standardization of domain names of the Central Administration, for all services related to the Internet.
10- Are document reproduction processes standardized (microfilming and digitization protocols) and -or- digital preservation systems defined as appropriate?
This question is also related to document management and archiving processes. It is recommended that the institution's professional archivist be consulted.
It is appropriate to take into account the provisions set forth in:
Articles 78, 79 and 80 of Law No. 19,355 (National Budget 2015-2019) of 12/30/2015, on digital copies.
Law No. 18,600 on Electronic Documents and Electronic Signature. Admissibility, Validity and Effectiveness.
OAIS model describing the ISO 14.721:2003 Open Archival Information System Standard, intended for the management, archiving and long-term preservation of documents.
11- Is the Institutional Document Evaluation Committee in place?
The question refers to the provisions of Article 17 of Decree No. 355/012 and Decree No. 70/015, on the need for each of the regulated entities of Law 18.220 (Article 4) to set up an Institutional Documentary Evaluation Committee (CEDI, for its acronym in Spanish), which is the consultative institution that approves the process of document appraisal.
12- Does this Committee have a referent before the National Documentary Evaluation Committee of the General Archive of the Nation?
To answer this question it is necessary to consider the provisions of Decree 355/012. SubArticle h, which indicates that one of the members of the Institutional Documentary Evaluation Committee must be designated to act as a liaison with the General Archive of the Nation and the National Documentary Evaluation Committee.
13- Have the document series been identified and has the Chart of Precautionary Terms for documents been elaborated?
The question is based on the provisions of Decree No. 428/999 on the mandatory application, for all Executive Branch bodies, of the Precautionary Document Deadline Table form, which is annexed to the Decree.
14- Does the institution have defined and documented internal instruments and/or procedures to produce information in accordance with its tasks?
This question seeks to evaluate whether the institution has manuals, instructions, guidelines, recommendations, circulars, formally approved by the head of the institution, which provide for internal instruments and/or procedures to produce information in accordance with its tasks.
15- Does the institution have defined and documented internal instruments and/or procedures for publishing and disseminating information related to its tasks?
This question seeks to evaluate whether the institution has manuals, instructions, guidelines, recommendations, circulars, formally approved by the head of the organization, that provide internal instruments and/or procedures for publishing and disseminating information related to its tasks.
16- Does the institution have procedures for the provision and publication of Active Transparency information in Open Data format?
The information provided for in Article 5 of Law No. 18,381 must be published in open format, in compliance with the provisions of Article 82 of Law No. 19,355.
For its part, Law No. 19,179 establishes that the powers of the state, autonomous entities, decentralized services, departmental governments and comptroller bodies, must distribute all information in at least an open, standard and free format. This ensures that the information can be used without restrictions and without the need for proprietary software.
17- Does the institution publish Active Transparency information in Open Data format?
If the answer is "YES", the link to the dataset(s) in open format linked to the active transparency information provided for in Article 5 of Law No. 18.381 must be added. If there is no dataset published in open format, the answer should be "NO".
18- Does the institution have a training policy for officials-workers on topics such as Open Government, Transparency, Access to Information, Open Data, Document Management or other related topics?
To answer "YES" you must consider that such policy must be documented.
19- Has the organization carried out training to officials-workers on Open Government, Transparency, Access to Information, Open Data, Document Management or other related topics?
If the organization's personnel has carried out any training related to the topics mentioned in the question, you must answer "YES".
20- Are the names and contact details of those responsible for Active and Passive Transparency published on the institution’s website?
The contact information of those responsible should be published on the organization's website. In general, this information is available in the Transparency menu of the institution's website.
In this regard, Article 41 of Decree No. 232/2010 establishes the obligation of the agencies to appoint a person responsible for the information published on the websites (responsible for active transparency).
Meanwhile, Article 56 of the same decree establishes the obligation to designate individuals responsible for the reception of requests and the delivery of information. The designation must be published on the website and in a visible place in its administrative offices (responsible for passive transparency).
21- Is the organization chart of the institution published on the website?
The Law establishes that the organization chart must be published, with the names of the authorities and a brief curriculum vitae, so that the information on the structure can be easily associated to such heads.
22- Does the institution publish basic information on its tasks, powers and functions, as well as on each administrative unit?
This question controls the obligation foreseen in the standard regarding the need for people to be able to know what each work area of an organization does, what its tasks and functions are. It is also a good practice to associate each area with the responsible manager or leader.
23- Does the institution publish basic information on its compensation-salary structure?
The information must be available on the institution's website and must be associated with the job title and not only with the salary scale. In the case of non-state public entities that do not have a "structure", only the list of compensations should be published.
24- Does the institution publish information on budget allocation and its execution?
Income received for any concept should be published: income allocated by the national budget, by agreements with international organizations, or by other sources of financing such as donations, bequests or other sources.
In the case of the budget, it is suggested that it be presented in an easily understandable and accessible manner. It is not correct to publish only the budget law or an electronic link to the website of the General Accounting Office of the Nation.
25- Does the institution publish information on its procurement?
It is controlled that information on bidding documents and awarding resolutions are published, as well as those rejecting all bids or those declaring the bidding void.
In the event that the institution uses the government procurement website to publish its information, this site must be referenced on the institution's website.
26- Does the institution publish information on data and statistics?
Data or statistics can be found in any record documenting the exercise of powers or the activity of the regulated parties and their officials, for example, open data sets, annual reports, public policy monitoring reports, accountabilities, audits, which are of general interest.
27- Is the institution's contact information (telephone, address, e-mail, contact form) published on the website?
The purpose of this question is to check whether information is published in order to allow people to easily access channels that allow them to interact with the organization and access the services it offers. Postal address, electronic address (e-mail address), official telephone numbers. This information may be available in the footer or in contact forms.
28- Does the organization publish a list of the personnel, from the head of department, manager, director or equivalent up to the top manager, including name, contact information and curriculum vitae?
This information refers to the data of the department heads, managers and top management, and includes the abbreviated curriculum vitae, e-mail and telephone contact, as well as a job profile, consisting of a description of the tasks assigned. This data may be associated with the organizational chart.
29- Does the institution publish the list of personnel who do not belong to the institution but who perform functions in it, either because they are hired or on secondment from another institution?
Question 29 is for state agencies only. It will not be available for those who answer the form for a non-state public person, and in that case, they will go from 28 to 30.
To answer question 29, the names of individuals who perform functions without belonging to the institution must be published: this item aims to know how human resources are distributed within the regulated parties. For this reason, persons on secondment from other bodies and contracted persons who perform their duties in the institution should be published.
30- Does the institution publish information on calls for competitions, calls and/or selection process for hiring for positions or jobs and their results?
To answer "YES", you must keep in mind that if you use the Uruguay Concursa website to publish information, you must also reference this site on your institution’s website.
According to Article 4° of Law No. 18,834 of November 4, 2011, state agencies are required to publish their selection processes on Uruguay Concursa.
In the case of non-state public entities, a link from their website to the publication of their selection processes must be provided.
31- Does the institution publish information on its Data Protection Policy and Terms of Use?
This policy governs the treatment of personal data of those who access the websites of the institutions. This treatment must be in accordance with the provisions of Law No. 18.331 on Personal Data Protection and Habeas Data Writ, dated August 18, 2008. It is generally published in the footer of the website.
32- Does the institution publish its resolutions and other administrative acts?
To answer "YES" the institution must publish on its website the resolutions and other administrative acts it issues.
In the case of non-state public entities, they must publish the general decisions adopted by the Board of Directors, Council or top management.