Sub-element Detail
Anchor Questions
Example Scenarios
International standards
Ensure responsive and participatory regulation
What regulations, service agreements, data-sharing agreements and contracts have been developed to enable data exchange in the absence of a formal legal/regulatory requirement for this?
Are these agreements publicly accessible? Do the service agreements, data-sharing agreements and contracts dictating data-sharing between institutions align with international standards?
Have multi-stakeholder consultations been carried out to develop regulations related to data exchanges (e.g., regulation on data protection)? What steps were taken to ensure that the process was credible, legitimate and locally owned in the eyes of the public? How did consultations ensure the representation of women and underserved groups?
How are current regulations updated to account for changes in technology and data environments?
Are there exceptions to applying this regulation? If so, what are they?
How are resources allocated to ensure continuous public consultations on key aspects of the data lifecycle such as data quality, security, collection, reuse and sharing?
Inclusive, multistakeholder consultations have been conducted to develop and revise regulations on data exchange. When organizing the consultations, information was provided in written and oral form and opportunities for online and offline participation were made available. The resulting regulations are aligned with international standards and resources have been made available for future consultations.
Inter-American Development Bank- Meaningful Stakeholder relations- https://publications.iadb.org/en/publications/english/viewer/Meaningful-Stakeholder-Consultation.pdf
UN General Assembly. ‘Declaration of the High-Level Meeting of the General Assembly on the Rule of Law at the National and International Levels’. A/RES/67/1. New York: United Nations, 30 November 2012. - https://www.un.org/ruleoflaw/high-level-meeting-on-the-rule-of-law-2012
World Bank Practitioners Guide: https://id4d.worldbank.org/guide/public-engagement
ODI Participatory Data - https://theodi.org/insights/projects/participatory-data/
Improve institutional coordination & capacity
What institutions are in place to support the governance and day-to-day implementation of data exchange systems? Is there a designated nodal agency coordinating efforts across sectors?
*Do institutions have the technical and financial capacity to function effectively and independently? What governance strategies and resources are in place to ensure long-term viability of the institution?
How are the roles and obligations to participate in data exchange systems communicated and enforced? Are these easily understood and easily made available?
How have historically under-represented groups—particularly women—been included in decision-making processes? What processes are in place to ensure that people-centred perspectives are considered?
What capacity-development measures are in place to ensure staff are up-to-date on the latest policies and standards to ensure human rights-compliant data exchanges? Is training available to encourage compliance with data regulation? Do these efforts integrate a gender perspective and promote digital rights and inclusive participation?
A nodal agency, with a clear mandate and sufficient resources, coordinates government institutions. Standard job descriptions of government staff include data management responsibilities. Government staff regularly participate in data trainings based on their job descriptions.
UNDP - People Centred Justice and Security- https://digitalguides.undp.org/guide/people-centred-justice-and-security
ODI- Measuring the Impact of Data Institutions - https://theodi.org/insights/reports/measuring-the-impact-of-data-institutions-report/
ODI- Designing Sustainable Institutions: https://theodi.org/insights/reports/designing-sustainable-data-institutions-paper/
Create independent oversight, monitoring & evaluation
Is an institution/authority in place with the mandate of independent oversight of data exchange systems?
Are the governance structures, consultative processes and decisions taken by the authority made transparent? Are decisions by the independent authority in relation to data exchange subject to judicial review?
*Do institutions have the technical and financial capacity to function effectively and independently? Is there a governance and resource strategy to ensure the long-term sustainability of the institution?
Are there strategic guidelines in place—including roles and responsibilities—to monitor performance and evaluate the impact of data exchange systems?
Are there regular and institutionalized evaluations of the entities governing data exchange?
Are training programmes in place to boost institutional capacity to design, implement and act on the outcomes of these evaluations?
Are monitoring and evaluation results embedded in decision-making processes around data exchange?
The government has established an independent oversight body that proactively identifies challenges that may emerge during the implementation of a data exchange, with steps to address grievances. A Theory of Change and monitoring and evaluation framework are in place and are regularly used to measure the effectiveness of the data exchange system.
UNOHCR 'Principles Relating to the Status of National Human Rights Institutions (The Paris Principles)' (1993): https://www.ohchr.org/en/instruments-mechanisms/instruments/principles-relating-status-national-institutions-paris
International Ombuds Association Standards of Practice and Code of Ethics: https://www.ombudsassociation.org/standards-of-practice-code-of-ethics
UN Evaluation Group Norms and Standards for Evaluation (2016): http://www.unevaluation.org/document/detail/1914
OECD guidelines on monitoring and evaluation (M&E): https://www.oecd.org/governance/budgeting/monitoring-and-evaluation
ODI Logic Model Templates for Data Initiatives
Establish institutional remedies
"Is there a clear (national) policy ensuring accountability for the design, implementation and results of the data exchange system? What checks and balances are in place to ensure that institutions are accountable to each other?"
What formal remedies exist for individuals affected by fraud, discrimination or misuse within data exchange systems? Do individuals have sufficient capacity to identify and report cases?
What kind of institutional and legal processes exist for addressing complaints, grievances, and challenging decisions made regarding individuals' data? Are procedures clear and/or what recourse is available in case of adverse findings after a human rights risk assessment?
Does civil society, the private sector, academia and the media have the capacity to hold government entities to account, including by supporting individuals and communities, without fear of negative repercussions?
Is the capacity and mandate sufficient to ensure government staff are able to address complaints and grievances according to latest policies and standards? Are sufficient, independent funds available?
The grievance redressal mechanism is easy to use, understand and access, making it possible for people to participate meaningfully and effectively. A clear protocol is available outlining how to approach institutions and seek remedies to grievances. Each institution has a designated nodal officer responsible for addressing complaints.
OHCHR: https://www.ohchr.org/en/instruments-mechanisms/instruments/basic-principles-and-guidelines-right-remedy-and-reparation
The Hague Convention of 25 October 1980 on International Access to Justice: https://www.hcch.net/en/instruments/conventions/full-text/?cid=91
My Data Principles- https://mydata.org/participate/declaration/
Promote public good and open data
Is there a national data strategy? Does it treat data as a public good and promote open data?
Is there a national strategy for building a digital public infrastructure?
Are regulations in place that provide clear definitions of private and public data?
How do individuals and groups actually access official data? Is there a centralized hub or are there multiple platforms across agencies?
*In what formats are datasets made available (e.g., CSV, JSON, APIs, Excel)? Are these formats designed for machine readability and ease of use? How often is the data updated, and are there systems in place for real-time or dynamic updates where relevant?
A national DPI strategy has been adopted. An open data portal is in place and regularly used by individuals, groups and organizations.
Open Source Initiative: https://opensource.org/
DPI Safeguards Interim Report: https://1945836565-files.gitbook.io/~/files/v0/b/gitbook-x-prod.appspot.com/o/spaces%2FcO6RXQuE2L2kjyKRy5qr%2Fuploads%2FJ0ITERlMuhGml4MFyctp%2F24.04.27_Leveraging%20DPI%20for%20Safe%20and%20Inclusive%20Societies_V2.pdf?alt=media&token=3468859c-7067-4918-aecf-5d1d313d9336
UNDP Governance of People and Planet: https://www.undp.org/sites/g/files/zskgke326/files/2023-04/GGP%20brochure%20vApril2023.pdf
Develop a diverse data ecosystem
Are there clear, ethical and reliable guidelines and open standards for participating in a data exchange? Do these provide comprehensive information on accessing, processing and sharing data? Has fair participation in the value generated from data exchanges been considered in the development of such guidelines?
Are the roles and obligations for participating in the data exchange systems clear and easily available?
Have financial resources been committed to support private sector, communities and individuals in data exchange systems, for example grants for data access projects from civil society?
What government programmes are in place to encourage participation from the private sector, communities and individuals in data exchange? What measures does the government take to support developing data cultures in these organizations?
What processes are in place to ensure that decision-making in a data ecosystem, including data processing, is transparent and easily understood by all stakeholders?
What incentive structures and policies are in place to enable the private sector, civil society and communities to access, share and use data for the public interest? How effective are they and how is this effectiveness measured?
What systems are in place to assess and assure the quality and validity of data shared by non-public sector entities?
Data exchange initiatives are in place that encourage inclusive, gender-responsive and resilient data ecosystems. This is achieved by providing training to statistical offices, developing incentives for data-sharing, providing clear legal and regulatory frameworks, and ensuring that infrastructure for data collection, dissemination and use is accounted for.
Office of Secretary General’s Envoy on Technology: https://www.un.org/techenvoy/content/digital-inclusion
UNDP Data Ecosystems for Sustainable Development: https://www.undp.org/publications/data-ecosystems-sustainable-development
ODI on Participatory Data https://theodi.org/insights/projects/participatory-data/
