Instructivo para completar el cuestionario de evaluación para el INTAI en inglés
En esta guía se encontrará información útil y recomendaciones a la hora de completar las secciones de “Gestión documental y archivo” y “Transparencia Activa” del cuestionario para el Índice Nacional de Transparencia y Acceso a la Información (INTAI) en inglés.
“Document and archive management” Section Questions to be answered.
According to Article 1 of Law No. 18,220, on the National Archives System, Conservation and Organization of the Nation's Documentary Heritage, it is the duty of the State to preserve and organize the documentary heritage of the Nation, as well as administrative documents, as instruments to support administration, culture, scientific development and as elements of evidence, guarantee and information.
Furthermore, Decree No. 355/012 on the regulation of archival processes, which creates the National Archive System, defines a collection as "The whole of the documents, regardless of their form or medium, organically created and/or accumulated and used by a natural person, family or entity in the course of that creator’s activities and functions" (International Standard for General Archival Description - ISAD (G) - 2000).
It is also recommended to access the Technical and Methodological Guides for Document Management (UAIP).
3.1.1 Are there documentary resources and/or collections identified and organized by archives, regardless of the medium in which the information is contained?
The Public Administration should guarantee the necessary conditions for its archives, in terms of buildings and equipment, according to technical specifications.
3.1.2.a Is the professional position of archivist regularized or in the process of being created in the professional hierarchy system?
On this question, Article 8 of Law No. 19,768 states that public entities must regularize the professional status of their officials who, having met the requirements set forth in Article 5 of this Law and are effectively exercising the professional role of archivist, are on a different hierarchy to the one applicable according to their degree, within thirty-six months as of the entry into force of this Law.
Access to Law No. 19.768
3.1.6 Are there security systems for digital documents (backup, access, confidentiality, authenticity and traceability) together with a defined and implemented risk management?
It is recommended to take into account the following regulations:
· Access Decree No. 451/009. National Computer Security Incident Response Center. Operation and organization.
· Access to Decree No. 452/009 Information Security Policy for Public Administration Organizations.
· Access Decree No. 92/004. Cybersecurity. Regulation of Article 149 of Law No. 18.719 related to the Standardization of domain names of the Central Administration, for all services related to the Internet.
3.1.7 Are document reproduction processes standardized (microfilming and digitization protocols) and digital preservation systems defined?
Reproduction of documents:
· Access Articles 78.79 and 80 of Law No. 19.355 National Budget 2015-2019 of 12/30/2015, on digital copies.
Digital preservation:
· Access to Law No. 18.600 Electronic Documents and Electronic Signature. Admissibility, Validity and Effectiveness.
Although there are still no national regulations on these issues, it is recommended to refer to the OAIS Model described in the ISO 14.721:2003 Open Archival Information System Standard, intended for the management, archiving and long-term preservation of documents.
3.1.8 Is the Institutional Documentary Evaluation Committee established in the regulations?
In order to comply with the provisions of Article 17 of Decree No. 355/012 and Decree No. 70/015, it is necessary that each of the regulated entities of Law No. 18,220 (Art. 4), form an Institutional Documentary Evaluation Committee (CEDI, for its acronym in Spanish), which is the consultative body that approves the process of document appraisal.
3.1.8.1 Does this committee have a referent before the National Documentary Evaluation Committee of the General Archive of the Nation?
In accordance with the provisions of Decree No. 355/012, Article 6, Section H, one of the members of CEDI must be designated to act as a liaison with the General Archive of the Nation and the National Documentary Evaluation Committee.
3.1.9 Have the document series been identified and has the Chart of Precautionary Terms been elaborated?
It is established in Decree No. 428/999 regarding the application, on a mandatory basis for all Executive Branch bodies, of the Precautionary Document Deadline Table form, annexed thereto.
“Active Transparency” Section
Section 4 of the form. Active Transparency Self-Assessment
All questions in this section refer to information published on the website of the institution. Therefore, we request that the answers include the link (url) where the information requested in each question can be found.
If the answer is YES, it is important that the information is complete and up to date; otherwise, the answer should be NO. If the information requested is not on the website of the institution, but is published elsewhere, it is necessary to reference such link on the institution’s website and add it to this form.
In case of having several links, please choose the most representative for each answer.
Items to be surveyed with this form (Article 5 of Law No. 18.381 and 38, 40, 41 and 56 of Decree No. 232/010)
· Organizational structure
- Applicable legal framework.
- Compensation structure.
- Allocated budget, its execution and audits.
- Concessions, bids, permits or authorizations.
- Statistical information of general interest.
- Citizen participation mechanisms.
The items specified in Article 5 of Law No. 18.381 and those specified in Articles 38 and 40 of Regulatory Decree No. 232/010 must be published in open format, in compliance with the provisions of Article 82 of Law No. 19,355. Law No. 19,179 states that certain regulated parties: the branches of government, autonomous entities, decentralized services, departmental governments and regulatory agencies, must distribute all information in at least one open, standard and free format. This ensures that information can be used without restrictions and without the need for proprietary software. Data is open if it can be used, reused and redistributed. This implies the creation of products derived from the data and their free distribution, which entails the non-existence of technological restrictions.
Questions to be answered.
4.0) Are the names and contact details of those responsible for Active and Passive Transparency published on the institution’s website?
Article 41 of Regulatory Decree No. 232/2010 establishes the obligation of the institutions to appoint a person responsible for the information published on the websites (responsible for Active Transparency).
This person shall be responsible for the contents published on the website of the regulated party, and shall update such contents on a monthly basis, as established in article 38 of the aforementioned decree. Likewise, he/she shall promote, within the institution, issues related to the creation of a culture of transparency.
Article 56 of Decree No. 232/010 establishes that individuals responsible for receiving requests and providing information must be appointed. The appointment shall be made by resolution of the head and shall be published on the website of the regulated party and in a visible place in its administrative offices (responsible for Passive Transparency).
In general, this information is available in the "Transparency" menu.
4.1) Is the organizational chart published on the website?
The organizational chart should be published, with the names of the associated authorities and a brief CV of the managers, so that the information about the organizational structure can be easily associated with the authorities.
4.2) Does the institution publish basic information on its roles, powers and functions, as well as of each administrative unit?
It is advisable to have a general idea of what each work area does; it is a good practice to associate each area with the responsible manager or leader.
List the services and programs it administers. For example, you can publish a list of the procedures that can be carried out in the regulated party and if there are any procedures that can be carried out through the website.
4.3) Does the institution publish basic information on its compensation structure?
The information must be up to date and presented in a way that is easy to understand, for example, by associating the compensation with the title of the position and not only with the salary scale. This may also be useful if the same category of officials has different compensation. In the case of non-state public entities that do not have a "structure", only the list of compensations should be published.
4.4) Does the institution publish information on budget allocation and execution?
List of income received by the institution under any concept: it may be allocated by the national budget, by agreements with international organizations, or by other sources of financing such as donations, bequests or other sources. Regarding the budget, it is suggested that it be presented in an easily understandable and accessible manner. Therefore, it is not advisable to publish the entire budget law or an electronic link to the website of the General Accounting Office of the Nation.
4.5) Does the institution publish information on its procurement?
Bidding documents and resolutions awarding the bids, rejecting all bids or declaring the bidding void. These items can be fulfilled through the electronic link to the State Procurement website. Article 50 of the TOCAF (Accounting and Financial Administration ordered text) establishes the regime of publication on the State Procurement website, applicable to all state public entities. In this way, all state-owned public entities can include the link to the website and comply with the bidding and awarding items.
The aim is to publish a list with the purpose and the name or company name of the holder of the contract that involves the use of public goods, services or resources. For example, concessions may refer to canteens or cafeterias within official buildings. This would apply to organizations that have this type of contracts.
4.6) Does the institution publish information on data and statistics of general interest?
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.
4.7) Is the institution’s contact information published on the website?
Mailing address, electronic address (e-mail address), official telephone numbers. The aim is to enable citizens to easily access the different channels for interacting with the institution and the services it offers.
It can be placed in the bottom of the page or in contact forms.
4.8) Does the institution publish a list of its personnel, from the head of the department, manager, director or equivalent up the top manager, including name, contact information and curriculum vitae?
For those who occupy positions as department heads, managers and top maangers, an abbreviated curriculum vitae, e-mail address and contact telephone number should be included, as well as a job profile, consisting of a description of the tasks assigned to the position. This data may be associated with the organizational chart.
4.8.1) 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?
This item aims to know how human resources are distributed within the regulated parties, by making public the names of those individuals who perform their duties on secondment to another institution. In the case of non-state public entities, it should be clarified by the institutions that this item does not apply.
4.9) Does the institution publish information on calls for applications for positions and their results?
Application of new candidates and results. In the case of state entities, this item can be fulfilled through the electronic link to the Uruguay Concursa website in accordance with Article 4 of Law No. 18,834 of November 4, 2011. This article establishes that state entities are required to publish on the website.
This information may also be available on the institution's website; in this case, please indicate the corresponding url.
4.10) Does the institution publish information on its Data Protection Policy and Terms of Use?
Information on the security policy and protection of personal data. This policy governs the processing 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 Protection of Personal Data and Habeas Data Writ, dated August 18, 2008.
It is generally published in the footer of the website.