Post on 09-Aug-2020
GLOBAL BEST PRACTICES A MODEL ANNUAL STATE OF THE
PARLIAMENT REPORT
A Strategic Monitoring and Reporting Tool for Promoting Democratic Parliaments Worldwide (2005)
bull Contact Professor Keith Henderson khendersonifesorg globalcorruptionaolcom or khendersonwclamericanedu A number of experts from other regions made significant contributions to developing this framework including Sandra Elena from Argentina Violaine Autheman from France and Rosie Zigormo from Zimbabwe as well as the Canadian Parliamentary Centre
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
TABLE OF CONTENTS
IFES Parliamentary Toolkit Multiple Uses of the Annual State of Parliament Report 3 IFES Parliamentary Toolkit Parliamentary Transparency and Accountability Standards 4 Abstract 5 1 Overview Country Context and Methodology 6
a The Functions of Parliament in the Country Context 6 b Scope of the State of Parliament Report the IFES Parliamentary Transparency
and Accountability Standards PTAS 8 c Multifaceted Methodology 9
2 Relevant International and Domestic Legal and Institutional Framework 11 a International and Regional Obligations 11 b Constitutional Standards 12 c Country Legal Framework 12 d Country Institutional Framework 12
3 Assessment of the Level of Compliance with the PTAS 13
PTAS1 Independence of Parliament 13 PTAS2 Free and Fair Parliamentary Elections 14 PTAS3 Transparent Adequate Political Financing and Compensation 14 PTAS4 Representative Parliament 16 PTAS5 Security of Tenure 16 PTAS6 Free Parliamentary Speech 17 PTAS7 Participatory Transparent Law and Decision-Making Process 18 PTAS8 Transparent Oversight of the Executive 19 PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget 19 PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations 20 PTAS11 Transparent Efficient Parliamentary Committees 21 PTAS12 Adequate Independent Parliamentary Budget 21 PTAS13 Clear Effective Conflict of Interest Rules and Standards of Conduct 22 PTAS14 Clear Fair Transparent Disciplinary Rules Procedures and Sanctions 23 PTAS15 Parliamentary Immunity 23 PTAS16 Parliamentary and Public Access to Information 24 PTAS17 Adequate Facilities Equipment and Technology 25 PTAS18 Professional Training for Legislators and Staff 26 PTAS19 Adequately-Compensated Research Library and Committee Staff 27
ANNEX 1 List of Acronyms 28
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IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 2 Bibliography 29 ANNEX 3 Draft Indicators for Democratic Parliaments 41 ANNEX 4 Cross-Reference Table 54
3
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
IFES Parliamentary Toolkit
Multiple Uses of an Annual State of the Parliament Report
(i) Making parliamentary transparency and accountability reform a high priority
(ii) Developing broad-based coalitions and parliamentary reform strategies around a common agenda
(iii) Developing concrete action plans designed to implement prioritized legislative reforms based on regional and international best practices
(iv) Providing key stakeholders the media and the public in general with reliable and comprehensive information on the state of the Parliament
(v) Presenting an in-depth analysis of issues related to Parliament
(vi) Presenting prioritized recommendations for the development of reform strategies
(vii) Reporting on the state of the parliament its progress or regression in terms of transparency and accountability and its capacity to undertake its constitutional functions through uniform indicators and monitoring standards
(viii) Increasing ground for more parliamentary resources and donor and technical assistance
(ix) Promoting high-quality empirical research
(x) Providing the tools for a more coordinated strategic action among reformers international organizations and donors
(xi) Promoting more peer pressure among all actors in the reform process
(xii) Enhancing the importance of the Parliament and the legislators
(xiii) Increasing the quality and availability of information on the Parliament
(xiv) Increasing public understanding trust and respect for the Parliament and its members
(xv) Providing stakeholders and civil society with a tool for oversight and advocacy for reform and
(xvi) Qualifying for donor assistance through the Millennium Challenge Account and meeting terms of conditionality through the international financial institutions and development banks and free trade and anti-corruption conventions
4
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
IFES Parliamentary Toolkit
Parliamentary Transparency and Accountability Standards (PTAS)
The Right to Transparent and Accountable Governance Best Practices Standards for Democratic Parliaments
1 Independence of Parliament
2 Free and Fair Parliamentary Elections
3 Transparent Adequate Political Financing and Compensation
4 Representative Parliament
5 Parliamentary Security of Tenure
6 Free Parliamentary Speech
7 Participatory Transparent Law and Policy-Making Processes
8 Transparent Oversight of the Executive
9 Participation in the Formulation and Oversight of the Governmentrsquos
Budget
10 Participation in the Adoption of and Oversight of Compliance with
International Obligations
11 Transparent Efficient Committees
12 Adequate Independent Parliamentary Budget
13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
15 Parliamentary Immunity
16 Parliamentary and Public to Access Information
17 Adequate Facilities Equipment and Technology
18 Professional Training for Legislators and Staff
19 Adequately-Compensated Research Library and Committee Staff
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IFES Parliamentary Tool Kit Model State of Parliament Report Framework
GLOBAL BEST PRACTICES A MODEL ANNUAL STATE OF THE PARLIAMENT REPORT
A Strategic Tool for Promoting Monitoring and Reporting on Parliamentary Transparency and Accountability Reforms and Engendering Global Debate
ABSTRACT
The unfolding historic democratic global transition is not sustainable without viable democratic legislatures or parliaments The objective of this working white paper is to present a strategic monitoring and reporting framework that can be used by all stakeholders to ensure that parliaments have the capacity independence and support necessary to fulfill their constitutional responsibilities to both the government and the people they are supposed to represent This paper is primarily written for the benefit of and from the perspective of developing and transition countries Towards that end it posits that a minimal set of standards best practices and indicators of progress has emerged from global experience during the wave of democratic reforms that has swept the world over the last several decades While it is acknowledged that most developing and transition countries can not implement all of these standards simultaneously for various reasons it attempts to prioritize and link-up a set of minimal standards among the nineteen captured as being essential building blocks for a solid foundation upon which democracy can be built over time The paper notes that the parliament remains a very weak sister among democratic institutions in virtually all developing and transition countries and it notes that this essential democratic institution needs much more attention and support from reformers officials civil society and the international community
6
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
GLOBAL BEST PRACTICES A MODEL ANNAUL STATE OF THE PARLIAMENT REPORT
A Strategic Tool for Promoting Monitoring and Reporting on Parliamentary Transparency and Accountability Reforms and Engendering Global Debate
1 Overview Country Context and Methodology
a The Functions of Parliament in the Country Context ldquoParliament is the institution that embodies society in the diversity of its composition and its opinions and which relays and channels this diversity in the political process Its vocation is to regulate tensions and maintain equilibrium between the competing claims of diversity and uniformity individuality and collectivity in order to enhance social cohesion and solidarity Its role is to legislate inter alia by allocating financial resources and oversee the action of the Executiverdquo IPU Guidelines1 Number II4
The international consensus recognizes five broad and basic functions to Parliaments namely
Policymaking Lawmaking Oversight of the Executive Constituency representation Political recruitment2
The three most important functions are the representative the lawmaking and the oversight roles3 In order to monitor the state of the Parliament as a way to undertake reforms to strengthen institutional capacity and independence an analysis of compliance with standards of parliamentary structure and activity must be undertaken within the specific country context The analysis of the country-specific context must include
bull Political background bull Constitutional and international rights and obligations bull Relationships between the Parliament the Executive and the Judiciary bull Public perception and public access to Parliament and bull Socioeconomic cultural and traditional context
1 Inter-Parliamentary Union Guidelines on the Rights and Duties of the Opposition in Parliament Libreville (Gabon) 17-19 May 1999 2 Id 3 USAID Handbook on Legislative Strengthening page 1 Executive Summary Center for Democracy and Governance February 2000
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IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Political Background Key Issues
Assessment of the form of government presidential premiership or others Key developments relevant to the independence and capacity of Parliament Assessment of the level of political will to effect parliamentary reform and level
of political space allowed by the Executive for reform The relationship between the government and the opposition parties in
Parliament and The level of party discipline and control of legislators and parliamentary
Committees Constitutional and International Rights and Obligations Key Issues
Constitutional design attribution and scope of each of the three branches of government
Key constitutional and legal provisions designing the shape and functions of the Parliament
Practices that may differ or go beyond legal provisions affecting the Parliament and
International standards and obligations related to parliamentary matters Relationship between Parliament the Executive and the Judiciary Key Issues
Historical relationship between the three branches of government Role of the Parliament in practice as it relates to the other two branches Oversight powers of Parliament over the other two branches of government both
under the law and in practice Overlapping functions between the three branches of government Independence of the Parliament from the Executive and Intra-parliament and inter-institutional relations
Public Perception and Public Access to Parliament Key Issues
Public image of Parliament its members and the parliamentary process Public trust of Parliament Degree of interaction between Parliament and civil society the existence of a
institutional relations office a periodic publication to inform regarding parliamentary issues a parliamentary TV channel etc)
Citizensrsquo capacity to initiate bills Openness of parliamentary meetings and committee hearings Percentage of meetings commonly open to the public Frequency of citizen attendance to public meetings Media coverage of parliamentary issues and Reaction of the Parliament to public perception
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IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Socio-Economic Cultural and Traditional Context Key Issues
Analysis of the socioeconomic situation (ie class structure wealth distribution prevalence of patterns of corruption)
Traditional role of Parliament Traditional status of legislators Role of political parties in recruiting and expressing cultural demands and Degree to which cross-cutting issues such as religion and gender affect the
composition of the Parliament
b Scope of the State of Parliament Report the IFES Parliamentary Transparency and Accountability Standards PTAS4
This paper presents and explains 19 Parliamentary Transparency and Accountability Standards (PTAS) around which an Annual State of Parliament (SOP) report may be developed The PTAS are in part based on the overarching separation of powers principle which means that a democratic legislature should be an independent institution with the capacity resources and governmental and public support to perform its constitutional duties such as lawmaking government oversight and constituency representation in a transparent accountable manner The standards cover a broad range of transparency and accountability issues highlighting the rights and obligations of both the institution as well as its members This model framework presents a set of core standards guiding the design of a democratic Parliament including a targeted set of minimal standards that are designed to establish the foundation for democratic governance and broader sustainable reforms The minimal standards are based largely upon consensus global standards and practices found either in international law or actual democratic global experience This approach acknowledges the fact that most emerging democracies cannot simultaneously implement all of the nineteen (19) standards and that some are more crosscutting and fundamental than others While more debate needs to occur on the minimal principles approach one of the purposes of this paper is to engender this debate by placing them on the global discussion table In effect the paper advances the notion that these standards should be priority reforms in all transition countries and it encourages the inclusion of other priority standards within differing country contexts These crosscutting minimal standards we would like to center the global debate on are PTAS 1 2 6 7 9 10 11 12 and 16 While the other standards are clearly very important implementing these alone in most transition countries will be a very tall task It is also worth noting that these standards also capture some of the others that are closely inter-related such as PTAS 16-19 which are all contingent on having an adequate parliamentary budget (PTAS 12)
4 The Parliamentary Transparency and Accountability Standards are based on the overarching principle of Parliamentary independence distinct from the Executive and Judiciary arms of government and cover issues of transparency and accountability of the institution as well as the members
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IFES Parliamentary Tool Kit Model State of Parliament Report Framework
The PTAS emerged after a thorough review of international and regional governmental and non-governmental declarations standards guidelines and standards (cited in Annex 2) This review included in-depth analysis of relevant papers studies country and regional surveys and best practices including the work of Parliamentary Associations such as the Commonwealth Parliamentary Association the Canadian Parliamentary Centre the European Parliament and the Inter-Parliamentary Union IFES is now refining the framework in close consultation with a number of these organizations as well as the Consumer Rights Commission of Pakistan where we are developing a report for possible replication throughout the region IFES also reviewed the considerable research and experience of a number of governmental institutions such as the World Bank the National Democratic Institute UNDP USAID the OSCE and the OECD The PTAS are not intended to duplicate the work undertaken by these organizations and others Rather they constitute an attempt to identify consensus Standards which should be found in any democratic Parliament and to present them in a systematic framework Thus the PTAS can be used as the backbone for drafting annual country-specific SOP Reports The model framework for SOP Reports constitutes a component of the IFES Parliamentary Toolkit designed to help civil society and Parliament monitor report on and promote parliamentary transparency and accountability By reporting and monitoring progress against a core set of benchmarks and consensus Standards a SOP Report will assist a diverse range of civil society and governmental stakeholders to prioritize a parliamentary reform agenda in a systematic manner The SOP Report is intended to assess the effectiveness of Parliaments in emerging democracies but also to equip multiple civil society and governmental stakeholders with the information necessary to prioritize and implement parliamentary transparency and accountability reforms
The IFES PTAS and model SOP Framework are grounded in bull International and regional consensus Standards and best practices of
Parliamentary transparency and accountability bull Core international regional and constitutional obligations bull A general overview of the relevant country legal and institutional framework
c Multifaceted Methodology The model SOP framework is designed to lay out the standards and the methodology necessary to assess the transparency accountability and performance of Parliaments around the world against a set of core benchmarks grounded in international and regional best practices The framework captures consensus Parliamentary Transparency and Accountability Standards (PTAS) identified in a series of international and regional treaties declarations guidelines and practices related to the parliamentary structure and
10
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
responsibilities In identifying the PTAS and the framework we sought to include a variety of sources representing a broad consensus The sources are listed in annex Each of the consensus PTAS was disaggregated into qualitative and quantitative indicators5 Indicators designed to assess the level of compliance with each PTAS are a core element of the framework The use of indicators is necessary to obtain a clear picture of where improvements are needed and which achievements and shortcomings affect the Parliament These indicators are not designed to stigmatize countries in comparison to others While the use of a uniform framework and measurements based on indicators will allow for some degree of comparison each Parliament evolves in a set of country-specific circumstances Compliance with the PTAS within a given country-context is the objective of our endeavor Identifying the PTAS and disaggregating them into indicators is an evolving process Standards are slowly emerging as national stakeholders gather in the international arena in search of guidelines to improve independence and efficiency Like new standards emerging indicators can continuously be refined to clarify the contents of each PTAS Standards without indicators are empty concepts which can be interpreted in many different ways depending on the author of the report Indicators help define the PTAS and provide a concrete guide for the assessment of compliance The draft indicators are available in a separate attached document The framework is built around the need to implement and link up key reforms embedded in the PTAS Each country report is developed through a multifaceted methodology that incorporates an array of information resources necessary to assess the level of PTAS compliance (i) desk studies of all relevant laws institutions and international obligations (ii) analysis of existing best practices country studies and research (iii) interviews and surveys of experts and key stakeholders and (iv) analysis of the operation of Parliament in practice The PTAS and their accompanying indicators serve as the guideposts with which to measure implementation progress or regression on a periodic basis While all the PTAS are important and their relevance in the country context varies IFESrsquo working assumption for each report is that certain mutually supportive principles are essential to establishing the legal enabling environment necessary to build an independent accountable Parliament and a Rule of Law culture We also believe that for purposes of capturing global issues lessons learned model programs across borders it is also important for all country reports to uniformly cover a specific set of standards
5 We chose the term ldquoindicatorrdquo because is the most commonly used in the literature on similar topics and we recognize its value In fact we intend to describe and analyze the state and performance of the Parliaments through what can also be called ldquosearch questionsrdquo that will allow to look to the Parliaments uniformly Having indicators will bring coherence and systematization to the national SOP reports
11
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Compiling a National SOP Report The framework was created to serve both as (i) a tool for civil society to monitor parliamentary activity and identify spaces for improvement and participation and (ii) a tool for legislators to assess their own institution Each report should be compiled with the following in mind
Combining a civil society evaluation and a parliamentary self-evaluation will lead to a better report
Sharing information with civil society will be a first step towards strengthening collaborative partnerships between Parliament and the people
The indicators will provide two sorts of data (i) quantitative data such as how many legislators timing of elections number of commissions etc and (ii) qualitative data on the performance of Parliament through an analysis of the processes of parliamentary life and
The PTAS cover to three key aspects of parliamentary operations and activity transparency accountability and efficiency
Assessment of the level of compliance with each PTAS is guided by an examination of relevant laws and practices identified through a survey of legislation and interviews of key stakeholders There are three degrees of compliance
bull Formal compliance (laws and decrees) bull Compliance in practice (effective implementation of laws and decrees as well as
of constitutional and conventional principles) and bull Quality and integrity of the compliance in practice (fair implementation for all)
The Report outlines in the country context the legal and institutional framework within which the judiciary operates The indicators serve as guideposts for the analysis of the level of compliance with each PTAS This analytical process will lead to an overall judgment as to whether there is a ldquosatisfactoryrdquo ldquopartially satisfactoryrdquo or ldquounsatisfactoryrdquo JIP compliance with the possible nuance of ldquoimprovingrdquo or ldquoregressingrdquo and to present prioritized reform recommendations
2 Relevant International and Domestic Legal and Institutional Framework
a International and Regional Obligations IFES has examined various documents relating to the relevant international and regional governmental and non-governmental declarations Standards best practices and guidelines on issues of parliamentary independence transparency and accountability Each annual country-specific SOP Report should present a list of relevant applicable international and regional obligations including
Declarations on democracy and parliamentary independence and best practices guidelines and Standards by international and regional Parliamentary
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IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Associations eg the Commonwealth Latimer House Standards the IPU Declaration on Democracy
International and regional human rights treaties and human rights court and commission case law eg the Universal Declaration of Rights the International Covenant on Civil and Political Rights the UN High Commission on Human Rights Resolution 200047 and
Non-governmental guidelines
b Constitutional Standards Each annual country-specific SOP Report should outline the constitutional Standards related to the separation of powers and parliamentary independence including
The guarantees of parliamentary independence lawmaking powers and other key Standards
The roles of parliamentary committees and of party caucuses The powers to develop amend or review budget and levy taxes The power to question Ministers hold hearings conduct investigations and call
witnesses The power to appoint andor confirm candidates to high-level positions in the
other branches of government The power to access information about government activities and programs6
c Country Legal Framework
In presenting the legal framework each annual country-specific SOP Report should include a review of the relevant applicable legislation and regulations affecting parliamentary transparency and accountability such as
The institutional structure of the Parliament Standing Rules of Order Parliamentary internal regulatory framework Access to information legislation Anticorruption legislation Political party campaign financing regulations and Parliamentary Codes of Ethics and conflict of interest rules
d Country Institutional Framework
In presenting the institutional framework each annual country-specific SOP Report should present a review of the relevant institutional characteristics affecting the Parliament such as
Intra-parliamentary structures bicameralunicameral Committees support services etc
6 USAID Handbook on Legislative Strengthening page 15
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IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Extra-parliamentary structures and governmental relationships Ombudsman political parties Ministry of Justice civil society organizations with watchdog role and
Oversight mechanisms
3 Assessment of the Level of Compliance with the PTAS For each of the PTAS this Model Framework for an annual SOP Report will present
bull Guidelines based on international and regional standards and best practices and
bull Indicators to monitor the level of compliance or non-compliance PTAS1 Independence of Parliament
Institutional Independence Separation of power Standards mandate a Parliament independent from the other two branches of government the Executive and the Judiciary This independence must translate itself into freedom from external pressure and interference In the exercise of its functions Parliament should be subject only to the Constitution and the law CLHP ECOWAS-P UPA-Res00
The institutional independence of Parliaments rests in the doctrine of separation of powers This doctrine is widely accepted internationally as a tenet of democratic societies and is now formally recognized in the Constitutions of most countries7 The separation of powers is either expressly mandated in the Constitution or a document having constitutional value or it is found in the practical organization of the three powers8
Parliament must also be free to legislate and introduce legislation otherwise it is relegated to a rubber-stamping institution for the Executive Finally Parliament must be entrusted with the freedom to organize itself to decide on its own rules of procedures and the proceedings for parliamentary bodies The principle of independence has broader implications Indeed it is now agreed that independence must be recognized to not only Parliament as an institution but also to legislators in the exercise of their functions Both the institution and its members must be free from undue interference and external controls emanating of the other branches of government the Executive and the Judiciary as well as from forces within society such as political parties the private sector the media and others Indeed interferences would
7 ASGP Report dated September 1998 by Michael Couderc The Administrative and financial autonomy of Parliamentary Assemblies page 1 (found at wwwasgpinfopublicationshtm ) The report states that exceptions to this general rule appear the Cyprus Kenya and Switzerland Parliaments 8 Ibid Most countries now have adopted Constitutions but there are some noteworthy exceptions such as the United Kingdom
14
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
render impossible the exercise of the core functions of Parliament lawmaking and oversight In order to be independent legislators must be able to discharge their duties without fear for their physical security or the well being of their families and staff This principle requires the State to provide security services for legislators and to secure the House of Parliament PTAS2 Free and Fair Parliamentary Elections
Parliamentary Elections The process of the election of members of Parliament should be open and transparent allowing for full citizen participation and free of coercion fraud or violence CLHG CSCE-CD ECOWAS-P IPU-DD IPU-Res03 UNHCHR UPA-Res00
The right of everyone to take part in the government of hisher country is expressed through the right to freely choose representatives Parliaments differ in the manner and types of election held to elect members There is an international consensus on the need to provide voting rights for all citizens on the basis of universal equal and secret suffrage so that all voters can choose their representatives in an environment conducive to equality and political competition The different systems include direct and indirect proportional versus single constituency The IPU Declaration on Democracy notes that holding free and fair elections which allow the expression of the peoplersquos will at regular intervals is a key element of democracy This Standard is seen as the best way of guaranteeing representative democracy Whatever the system used elections of legislators must be organized following an open and transparent process There must be full citizen participation without a suggestion of manipulation Legislators should not be required to run for office exclusively under the nomination of a Political party PTAS3 Transparent Adequate Political Financing and Compensation
Political finance The fight against corruption requires the adoption of clear rules for transparent political financing of legislators their campaigns and their political organizations need to be adopted These rules should include transparent compensation as well as the disclosure of campaign account income and assets of legislators Anticorruption Treaties Adequate compensation Legislators should receive adequate salaries and benefits which are comparable to those of equivalent positions in the other branches of government and private sector CLHG IPU-DD
The financing of any parliamentary candidate by his her political party should be transparent and there should be clear written rules and regulations on the types of political financing which are impermissible and illegal and those which are permitted and legal
15
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Clear rules for political party and campaign financing ndash these rules should foster financial transparency and integrity
bull Income and asset disclosure requirements bull Oversight by an independent authority (internal ie Parliamentary Committee or
external) and publication of information To the extent possible political parties and parliamentary candidates should be required to place all contributions above a certain limit in official bank accounts and use these accounts for all campaign expenditures Official bank accounts are accounts which are fully documented and disclosed Disclosure requirements should cover all income assets and expenditures related to the campaign and should be made to an independent official agency Uniform and reliable software will help monitor all income and expenditure during political campaigns The independent official agency should verify and report on the parliamentary campaign finance data Additional independent verifications and reports should be undertaken by civil society to avoid collusion A serious problem in many countries has been the use of parliamentary resources such as office space staff time or funds by incumbents This is a practice which should be seriously discouraged or even outlawed as it constitutes a misuse of funds by parliamentarians Legislators should also be adequately compensated for their work Compensation includes both their salary and any additional benefit granted to workers The adequacy of compensation will be assessed in comparison with the cost of living and the compensation-level of senior officials in the Executive judiciary and private sector Due to high turnover in parliamentary office an appropriate compensation level is important to attract high-quality people and to shield legislators from outside pressure Pension entitlement by virtue of office is a widely recognized right in most Parliaments independently of the diversity of the methods and procedures chosen to implement it A number of other countries in which no recognized pension scheme currently exists for Legislators have indicated that this subject is currently under review (Egypt Lesotho Nigeria Thailand) The great majority of legislators today benefit from social security (sickness maternity invalidity death and industrial injury insurance) coverage while in office This is for the most part organized within the framework of the common labor rights legislation of each country9 Transparency regarding all amounts received by legislators as compensation is necessary to promoting parliamentary accountability and ethics Legislators and if possible their dependents should be required to disclose all their incomes assets and relevant interests to an independent official agency The public should have an opportunity to access information about the salaries and other benefits of the legislators whom they have elected Like with parliamentary campaign finance uniform and reliable software will
9 Helene Ponceau AGSP Report April 2001 This report is based on a questionnaire of the Association of General Secretaries of Parliaments approved at the Berlin session in October 1999 and sent to 56 countries
16
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
help monitor the disclosures and verification and reporting by the independent official agency as well as civil society will foster more transparency and accountability PTAS4 Representative Parliament
Broad-Based Representation An inclusive fully representative Parliament across gender ethnicity political affiliation religion etc is one of the main tenets of a democratic society CLHG CSCE-CD ECOWAS-P IPU-GD IPU-Res03 UNHCHR UPA-Res00
There is increasing consensus at the international level that democratic institutions must be representative of the diversities of society Parliament should therefore be composed of a broad cross-section of society including members of different genders ethnicity political affiliation religion etc Diversity in institutional membership echoes the Standards enshrined in the numerous conventions against discrimination which have been ratified in the past decades10
A broad-based representative Parliament will contribute to the promotion of the right of everyone to take part in government and of all interests to be given expression As noted by the IPU in its Declaration on Democracy ldquoDemocracy is founded on the right of everyone to take part in the management of public affairs it therefore requires the existence of representative institutions at all levels and in particular a Parliament in which all components of society are represented and which has the requisite powers and means to express the will of the people by legislating and overseeing government actionrdquo Some countries have taken additional steps to encourage participation by marginalized groups such as women or minorities For example in Pakistan quotas for gender participation were established 33 quota in direct elections (local) and 17 quota in indirect national elections (legislature and senate) Women membership in the legislature is currently at 21 slightly above the mandatory quota PTAS5 Security of Tenure
Security of tenure ldquoSecurity of Members during their Parliamentary term is fundamental to Parliamentary independencerdquo CLHG CSCE-CD
The legitimacy of Parliament rests on the fact that its membership is rooted in the will of the people who chose representatives in periodic elections In order to guarantee that their will is respected the term of office of legislators must be respected Certain classes of legislators may have life terms (cite House of Lords other examples) but most legislators are elected for fixed terms Exceptionally the tenure of legislators may be terminated but such mechanisms must be narrowly defined and follow clear transparent
10 See for example the International Convention on the Elimination of All Forms of Racial Discrimination [CERD] (1965) and the International Convention on the Elimination of All Forms of Discrimination against Women [CEDAW] (1979)
17
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
legal procedures This may be the case for immunity waivers in case of criminal offences committed by a legislator or of dissolution of parliament by the executive The CLHG lists three requirements to protect the security of tenure of legislators in its guideline number 2
ldquo (a) The expulsion of members from Parliament as a penalty for leaving their parties (floor-crossing) should be viewed as a possible infringement of membersrsquo independence anti-defection measures may be necessary in some jurisdictions to deal with corrupt practices
(b) Laws allowing for the recall of members during their elected term should be viewed with caution as a potential threat to the independence of members
(c) The cessation of membership of a political party of itself should not lead to the loss of a Memberrsquos seatrdquo
PTAS6 Freed Parliamentary Speech
Freedom of Speech The true expression of democracy lies in the right to free speech This should not just be a right guaranteed to the general public but legislators also must be free from censorship and defamation laws that restrict the right to criticize government thereby curtailing parliamentary oversight of the Executive Banjul CLHG CLHP CPA-Media CPA-Rec03 ECHR IACHR ICCPR IPU-GD IPU-DD UPA-Res00
The International Covenant on Civil and Political Rights (ICCPR) expressly states in article 19(1) that everyone shall have the right to hold opinions without interference Article 19(2) guarantees the right to freedom of expression and broadens it to include the freedom to seek receive and impart information and ideas of all kinds regardless of frontiers either orally in writing or in print in the form of art or through any other media of choice These rights are not absolute and may be restricted under specific circumstances as outlined in article 19(3) Most international human rights instruments provide that every individual shall have the right to express and disseminate his opinions within the law Other instruments recognize the right of freedom of expression as an inalienable fundamental right Free speech rights should entitle legislators to
bull Put written and oral questions to members of the government and receive answers to these questions The opposition in Parliament should also be entitled to speaking time proportionate to its numbers in sittings set aside for oral questions
bull Request documents and receive such documents in a timely manner National security concerns constitute one of the main reasons why governments restrict freedom of expression Freedom of expression should not be restricted on public order or national security grounds unless there is a real risk of harm to a legitimate interest and there is a causal link between the risk of harm and the expression
18
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Defamation laws are a serious concern for legislators when seeking to protect or exercise their freedom of expression rights Legislators should be free from improper pressures in the discharge of their functions These improper pressures can be in the form of criminal laws and the use of defamation proceedings restricting legitimate criticism of the government by legislators Criminal defamation laws need to be carefully reviewed Similarly the defense of qualified privilege with respect to reports of parliamentary proceedings should be drawn as broadly as possible to permit full public reporting and discussion of public affairs and offence of contempt of Parliament should be drawn as narrowly as possible There is a need to achieve a balance between the free speech rights of Legislators vis-agrave-vis the government and the publicrsquos right of free speech vis-agrave-vis the Parliament PTAS7 Participatory Transparent Law and Decision-Making Processes
Parliamentary Processes Parliament must be open transparent and accountable to the public in its lawmaking and policymaking functions In this regard the free flow of information from Parliament to its members and the public as well as avenues for effective public participation is fundamental to a democratic Parliament CLHG CLHP ECOWAS-P IPU-GD IPU-Res03 UPA-Res00
Law and policy-making are the primary responsibilities of Parliament as the elected body representing the people The Executive may initiate laws and policies and the Judiciary may be constructive and purposive in the interpretation of legislation neither must be seen as usurping Parliamentrsquos legislative function Ultimately only the Parliament is entitled to adopt laws for the country Consequently legislators should be encouraged to adopt national policies and laws through open processes which allow for consultation and citizen participation Parliamentary processes must be not only transparent but also participatory Participation starts with the right to form democratic political parties and entails the need for transparent and fairness in the electoral process including through appropriate access to funds and free independent and pluralistic media Transparent decision-making and law-making processes create ownership in governance by the public which is necessary in a democratic society The Parliament should implement efficient mechanisms to allow and encourage public participation in the different stages of the law making process From the moment that Parliament receives a bill from the Executive or from the moment a bill is drafted by a committee civil society representatives should have a voice and be consulted Civil society participation will add a fresh look and ensure a better response to community needs Legislators will benefit from input and the resulting laws will better reflect real needs and local buy-in Committees meetings and parliamentary sessions should be usually open to the public Information on meetings and final decisions should be broadly disseminated Parliament should be consulted by the government on important questions affecting the life of the nation war national security human rights economic policy social rights
19
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
labor markets etc This will enable the opposition to take part in the debate and provide its input to the decision-making process The opposition must also be able to raise matters regarding the Constitution with a view to its amendment PTAS8 Transparent Oversight of the Executive
General Oversight One of the core functions of Parliament is to provide a continuous check on the activities of the Executive In performing this oversight function Parliament must follow transparent procedures and respect strict standards of accountability CLHG CLHP IPU-GD UPA-Res00
The separation of powers not only means that each branch of government is independent from the other two but also that mechanisms of checks and balances are in place to avoid abuses and encroachments To that end the Parliament is traditionally entrusted with the responsibility of overseeing the activities of the Executive The Executive as Parliament must follow high standards of accountability transparency and responsibility in the performance of its duties Parliament is responsible for ensuring that these standards are met and for providing adequate mechanisms to challenge the Executive for failure to meet these standards Oversight may take place in the form of periodic questions to the government in a parliamentary sessions or investigations undertaken by parliamentary commissions or votes of confidencenon-confidence Parliamentary procedures should be transparent and allow for public scrutiny Governments should be required to announce publicly within a defined time period their responses to committee investigations PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
Budget Design and Oversight Parliament is traditionally responsibly for adopting the national budget There is a growing international consensus that Parliaments around the world need to make maximum use of existing processes for exerting influence in national budget control scrutiny and accountability IPU-Res03 UPA-Res00
Parliament must have a certain amount of authority to affect the budget otherwise its role in establishing national policy and representing citizen interests will remain limited11 Involvement should extend beyond budget approval and include budget formulation tracking and accountability Unless it has substantial involvement beyond approval Parliament will do no more than rubberstamp the Executiversquos budgetary and policy decisions To promote more accountability in government Parliament should be entitled to monitor income and expenditures especially how effectively government programs and activities are administered
11 USAID Handbook
20
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Parliamentary procedures should therefore provide adequate mechanisms to oversee the Executive including accountability mechanisms targeted at budget development effective money flows budget implementation etc This can be achieved by allowing independent audits of public accounts establishing that the opposition will chair the Public Accounts Committee or a combination of the mechanisms andor others PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
International Obligations and Parliament International treaties carry a general obligation for signatory States to ratify and to adopt all necessary measures for their implementation Both functions should fall on Parliament CLHG CLHP IPU-Res03
The need for governments to respect their international law obligations has become more urgent post World War II particularly as inter-State conflicts are on the rise Legislators as law makers and representatives of the people need to be more proficient in their knowledge and understanding of human rights and humanitarian law instruments including those relating to economic social and cultural rights In a 2000 Declaration the Conference of Presiding Officers of National Parliaments outlined the four inter-connected levels of intervention for Parliaments in relation to international obligations
bull ldquoInfluencing their respective countriesrsquo policy on matters dealt with in the United Nations and other international negotiating forums
bull Keeping themselves informed of the progress and outcome of these negotiations bull Deciding on ratification where the Constitution so foresees of texts and treaties
signed by governments and bull Contributing actively to the subsequent implementation processrdquo12
Parliaments play a central role in adjusting domestic law to international standards According to the legal systems of many countries Parliaments are not only the bodies entitled to ratify international obligations but also the ones responsible for adopting the necessary implementing legislation Many international treaties particularly those related to human rights the environment gender and corruption require that States parties adjust their national legislation to match the minimum standards laid out in the treaties For example United Nations Convention against Corruption (2004) is explicitly applicable to legislators Indeed its scope covers ldquopublic officialsrdquo who are defined as including any person holding parliamentary office in a State party Compliance with this provision and others often requires the adoption of legislation Conventions generally include explicit requirements for the adoption of new laws by national Parliaments
12 Conference of Presiding Officers of National Parliaments organized by the IPU in cooperation with the UN Declaration adopted by at UN Headquarters New York 30 August ndash 1st September 2000
21
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The United Nations Convention against Corruption (2004) establishes that each State party should develop and implement anti-corruption policies
bull The Inter-American Convention against Corruption (1996) requires in its article VII the adoption by State parties of all ldquonecessary legislative or other measures to establish as criminal offences under their domestic law the acts of corruption described in Article VI(1) and to facilitate cooperation among themselves pursuant to this Conventionrdquo
As guardians of the Constitution legislators have an obligation to protect the human rights of people This obligation is reinforced by the requirement to comply with international and regional human rights treaties This obligation to protect and legislate in support of human rights should lead to increased oversight by Parliament in areas in which the Executive has traditional exercised blanket discretionary powers such as national security There has been a growing consensus on the need to shift focus away from military security to broader factors of ldquohuman securityrdquo such as environmental economic social as well as political13 PTAS11 Transparent Efficient Parliamentary Committees
Parliamentary Committees The legislative and oversight functions of Parliament are actually undertaken by Parliamentary Committees the powers and structures of which differ from country to country It is essential for these committees to be properly structured and well funded to enable them to be effective in discharging Parliamentrsquos legislative and policy making functions CLHG CPA-Media CPA-CP CPA-Rec03 CPA-REc04 IPU-GD
Committee structures may vary depending on the size of Parliament its constitutional mandate and other country-specific factors However all committees should have adequate resources both human and financial and have the power to summon witnesses including ministers as necessary to fulfill their mission Committee meetings should be generally open and allow for public attendance and participation Committee reports should be published and made readily available to both the government and the public PTAS12 Adequate Independent Parliamentary Budget
Parliamentary Budget It is the duty of the State to provide adequate resources to enable Parliament to perform its functions properly CLHG
Parliamentary independence and effectiveness to carry out its functions is eroded when Parliament lacks control over its own budget or has inadequate finances to manage its committees and carry out various other internal administrative duties14 Parliament 13 IPU and the Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born Philipp H Fluri amp Anders B Johnsson page 16 (Found at httpwwwdcafchpublicationse-publicationsHandbook_eng ) 14 Indeed without adequate resources for the training of new members secretarial office library and research facilities drafting assistance for bills etc Parliament is handicapped
22
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
should be able to design its own budget based on its needs and negotiate with the Executive the amount allocated to it from the national budget There should be sufficient autonomy over these finances by Parliament to protect the institutional independence and integrity It has been suggested that an all-party committee of members of Parliament should review and administer the parliamentary budget Moreover the parliamentary budget should not be subject to amendment by the Executive15 It is the Parliamentary budget that inter alia funds training of parliamentary support staff ensures that library and research facilities are properly and adequately equipped guarantees that legislators have the necessary support staff to undertake their functions and funds security services PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
Parliamentary Conduct Legislators are required to exhibit and promote high standards of professional conduct in order to reinforce public confidence in Parliament which is fundamental to its independence and legitimacy in a democratic society ANTICORRUPTION TREATIES CLHG CLHP
The CLHG outline three components for a comprehensive ethical framework applicable to Parliament
bull Conflict of interest rules and codes of conduct requiring disclosure of interests bull Access to ethics advisors and bull Restrictions on lobbying and interest group influence
Ethical professional conduct requires legislators not only to conform to high standards of ethics in practice but also to avoid the appearance of impropriety The need for financial transparency by public officials has increasingly gained acceptance as anti-corruption issues have become global Legislatorsrsquo professional and private conduct must be subject to some system of internal codified rules regulating standards of behavior and making disclosure of personal income and assets mandatory Other professions have codes of ethics regulating membersrsquo behavior for example doctors and lawyers Ethical rules should include conflict of interest rules outlining incompatible professional activities or interests such as holding another governmental office and restricting certain ventures such as participation or shareholding in corporations These rules should also require the submission to an independent oversight authority of disclosures of income assets and interests These disclosures should then be publicized for broader ethical monitoring by the public Disclosure of interests will go a long way in establishing institutional integrity trust and respect by the public and effective discharge of duties on the part of legislators as they are fully conscious of the ethical parameters which govern them as a profession 15 Commonwealth Latimer House Guidelines Number VII6
23
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
Discipline Just as other professionals have quasi-judicial bodies to regulate discipline and even remove members there should also be an internal or external authority to sanction legislators conduct investigations and hearings and adopt findings and conclusions There should also be a clear appeals process available to any member aggrieved by a decision CLHG
ldquoThe Committee recommends
bull The House should appoint a person of independent standing who should have a degree of tenure and not be a career member of the House of Commons staff as Parliamentary Commissioner for Standards
bull The Commissioners should have independent discretion to decide whether or not a complaint merits investigation or to initiate an investigationrdquo Recommendations of Committee on Standards in Public Life First Report16
Just as any other citizen legislators should be bound by the law In cases when legislators commit acts contrary to the laws and regulations they expose themselves to disciplinary action and prosecution Moreover there are special conditions only for the status of being public servants that they must observe such as compliance of high standards of ethics assets disclosure and conflict of interest rules There must be a clear system of sanctions for non-compliance with the laws and regulations The disciplinary process in representative bodies is a very sensitive one It should not be used to punish the opposition or dissidents In this sense the existence of an objective internal or external body to sanction legislators is essential to the proper operation of the system An additional problem represents the immunity that all legislators should have The immunity is a protection to ensure that legislators can perform their duties without interference it should not however be used as an excuse to avoid sanctions for common misconducts or crimes PTAS15 Parliamentary Immunity
Immunity Legislators shall enjoy personal immunity from civil suits and criminal prosecution for acts and omissions in the exercise of their functions CLHG ECOWAS-P IPU-GD
Legislators should enjoy some degree of immunity from prosecution or civil suit for acts and omissions in the exercise of their functions However no one should be exempted from accountability The requirements of parliamentary independence from political institutional and societal forces must be balanced against those of public accountability
16 These recommendations were implemented by the House of Commons England A Standing Order setting up the office of Parliamentary Commissioner for Standards was set up on 6 November 1995
24
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Consequently the immunity regime should be strictly regulated especially through the recognition of
bull Clear limited scope of immunity (for example it should not cover acts performed outside of office nor common crimes) and
bull Possibility of waivers in clearly defined cases and following a transparent procedure
Regarding the scope of parliamentary immunity its historical roots lie with the freedom of speech of legislators as recognized in the British and American Bills of Rights The underlying justification for immunity is that it allows legislators to fulfill their mandate without fear of retaliatory measures on account of their positions or votes Legislators must therefore be protected against arrest and detention or civil and criminal prosecution for any acts performed or words spoken while in office or in the conduct of parliamentary affairs Legislators should not be subject to any form of inquiry detention or legal proceedings in respect of opinions expressed or votes cast by them in the performance of their duties Immunity should not be limited to acts or speech within the parliamentary facilities Rather immunity must be interpreted as broadly as possible For example the members of the European Parliament enjoy immunity in their own States in the territories of other Member States and whilst traveling to and from the place of the meeting of the European Parliament However immunity should not be absolute The immunity regime applicable to legislators should provide for the possibility of waiving this immunity in limited circumstances in the interests of justice Immunity is not a privilege benefiting individual members but rather a guarantee protecting the independence of Parliament and its members in their relations with other governmental and private bodies17 Parliamentary privileges must be clearly defined and established by law These immunities are not meant to place legislators above the law but to protect them from possible groundless proceedings or accusations that may be politically motivated The grounds and terms for lifting of immunity must be clearly specified by law so that this may only occur following a decision taken by a competent body on a non-partisan basis PTAS16 Parliamentary and Public Access to Information
Access to Information Legislators as well as the general public must have access to accurate timely information and data including legislation parliamentary procedures governmental data and relevant research data Banjul CLHG CLHP CPA-Media CPA-CP CPA-Rec03 CPA-Rec04 CSCE-CD ECHR IACHR ICCPR IPU-DD IPU-GD IPU-Res03 UNHCHR
17 ECPRD Parliamentary Codes of Conduct in Europe by Veronica Williams November 2001
25
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
The free flow of information is essential in a democratic society Access to information should not only be viewed in relation to the media and civil societyrsquos right to access governmental documents but also in relation to the legislatorsrsquo right to access relevant research and information from the government and other sources Access to information can be facilitated by the use of databases networks and information technology in general The media should be free to report the activities of Parliament and the public should be able to attend parliamentary meetings and Committee sittings where appropriate The CPA encouraged Parliaments ldquoto provide live coverage of their proceedings on a dedicated channel andor onlinerdquo in its Recommendations for an Informed Democracy The environment should be made conducive for civil society organizations the public and multiple stakeholders to exchange information with legislators to enable Parliament to effectively discharge its duties of oversight policy making law making representation and recruitment This could be achieved through the establishment of a public information office within Parliament Bills and Acts of Parliament must be published regularly and should be freely available to the public Indeed the CSCE Copenhagen Document notes that ldquolegislation adopted at the end of a public procedure and regulations will be published that being the condition of their applicability Those texts will be accessible to everyonerdquo In its recommendations following a conference on ldquoWhat Parliament and Legislators Can Dordquo the CPA noted that access should be granted ldquoto basic information and documents produced by the parliamentary process such as access to parliamentary libraries the provision of on-line information and the distribution of Parliamentary speeches promptly after delivery in the Houserdquo18 The type of information available to the public and to legislators should include
bull Attendance and voting records bull Registers of membersrsquo interests bull Bills and Acts of Parliament bull Procedural rules bull Codes of Conduct
Legislators should also have access to parliamentary archives as well as all necessary information and data from the government The IPU Guidelines note that ldquolegislators from the majority and the opposition alike are equally entitled to receive in a timely manner the same information from the governmentrdquo
18 Parliament and The Media Building an Effective Relationship 15-18 February 2000 [CPA-Media]
26
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS17 Adequate Facilities Equipment and Technology
Adequate Infrastructure Parliament should have at a minimum the necessary infrastructure and technical assistance including research capacity adequate facilities and equipment to enable it to carry out its basic democratic functions CPA-Rec03 CPA-Rec04 IPU-GD
The working conditions of legislators must be adequate and reflect the importance of Parliament as a key democratic institution Parliament must be housed in one or more buildings with the necessary equipment and office space for legislators and their staff including tables chairs and all other necessary office equipment Adequate resources must be allocated to Parliament andor legislators and support services to maintain and equip their facilities Some of the facilities and services which can be reasonably expected to be available to legislators include
bull Offices bull Secretarial services (general andor individual) bull Library and archive facilities bull Research services (to which requests for information can be submitted) and bull Information technology
In its 2002 Report the CPA Study Group highlights the importance of information technology including ldquoimproved networking between legislators and constituents among legislators between legislators and Parliament and better information sharing and record keepingrdquo Information technology can also facilitate access to information and best practices on the broad range of issues which fall under the purview of parliament including human rights socioeconomic rights and gender issues The use of information technology could include the development of intra-parliament networks and of searchable public databases on parliamentary activity as well as the increased access to outside information for legislators PTAS18 Professional Training for Legislators and Staff
Adequate Training Resources must be allocated to training programs both for new legislators and for the continuing education of sitting legislators These programs must be geared towards developing the skills required by parliamentary functions as well as exposing legislators to substantive issues and developments affecting their legislative oversight and representative functions CLHG CPA-CP
Training should be geared towards providing legislators with the specific skills and knowledge necessary to fulfill their parliamentary functions Legislators just like other professionals need continuing education programs and professional development to keep them updated on emerging democracy and governance trends Equally significant is the need to properly train new or incoming legislators on the constitutional rights and obligations of Parliament internal procedures and order of business ethics etc
27
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS19 Adequately-Compensated Research Library and Committee Staff
Support Staff ldquoParliament should be serviced by professional staff independent of the regular public servicerdquo CLHG IPU-GD
Parliamentary support staff in sufficient numbers and with the appropriate professional skills is crucial for an effective institution Parliamentary staff performs duties such as
bull Assisting in bill drafting bull Tracking the status of bills in the legislative process bull Maintaining and in some cases designing web sites bull Producing and drafting documents about the legislature bull Undertaking accounting and various other clerkship duties
High turnover of parliamentary staff requires more money for attracting new competent staff and providing them with the necessary training It is important to ensure that staff is reasonably well compensated to attract good candidates for the job who will retain their jobs longer When vacancies are not rapidly filled parliamentary work can be undermined resulting in misplacement of documents errors and overall inefficiency Parliamentary staff should be independent from other public service offices Their selection promotion and discipline must be clearly defined and reflect merit-based criteria and transparent processes Professional development opportunities and training should be offered to them The longer support staff stay in Parliament the more it benefits the institution especially as it may provide new legislators with the information and support necessary to adapt to their new functions faster
28
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 1 List of Acronyms
Banjul African Charter on Human and Peoplersquos Rights (1986) CEDAW Convention on the Elimination of All Forms of Discrimination
against Women ICERD Convention on the Elimination of All Forms of Racial
Discrimination CLHP Commonwealth Latimer House Principles on the Accountability and Relationship between the Three Branches of Government (2003) CLHG Commonwealth Latimer House Guidelines (1998) CPA Commonwealth Parliamentary Association CPA-Media Parliament and the Media Building an Effective Relationship
CPA (2000) CPA-CP Capetown Principles for an Informed Democracy CPA (2002) CPA-Rec03 Recommendation for an Informed Democracy CPA (2003) CPA-Rec04 Recommendation for Transparent Governance CPA (2004 CSCE Conference on Security and Cooperation in Europe CSCE-CD Copenhagen Document CSCE (1990) CSCE-MD Moscow Document CSCE (1991) ECHR European Convention on Human Rights and Fundamental
Liberties (1951) ECOWAS-P Protocol ASP11202 on Democracy and Good Governance
ECOWAS (2001) IACHR Inter-American Convention on Human Rights (1978) ICCPR International Covenant on Civil and Political Rights (1966) IPU Inter-Parliamentary Union IPU-DD Universal Declaration on Democracy IPU (1997) IPU-GD Guidelines and Duties for the Opposition in Parliament IPU (1999) IPU-Res03 Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World IPU (2003) UPA Union des Parlementaires Africains [African Parliamentary Union] UPA-Res00 Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence Building between Peoples and their Institutions (2000) UNHCHR United Nations High Commissioner for Human Rights Resolution
200047
29
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 2 Bibliography Governmental Documents
bull Commonwealth Latimer House Standards bull Commonwealth Latimer House Guidelines bull Commonwealth Parliamentary Association (CPA) Parliament and the Media
Building an Effective Relationship bull English Bill of Rights 1689 bull Inter-Parliamentary Union (IPU) Guidelines bull ECOWAS Protocol on Democracy and Good Governance Supplementary to the
Protocol Relating to the Mechanism for Conflict Prevention Management Resolution Peacekeeping and Security
bull Protocol on the Privileges and Immunities of the European Communities bull ECPRD Parliamentary Codes of Conduct in Europe (Compilation by the Council
of Europe Parliamentary Assembly) bull IPU Universal Declaration on Democracy bull International Covenant on Civil and Political Rights (ICCPR) bull The African (Banjul) Charter on Human and Peoplersquos Rights bull The Johannesburg Standards National Security Freedom of Expression and
Access to Information bull Document of the Copenhagen Meeting of the Conference on the Human
Dimension of the CSCE 1990 bull Declaration of Principle on Freedom of Expression in Africa bull Union des Parliamentaires Africains on the Role of Parliaments in the
Consolidation of Democracy and Confidence-Building Between the Peoples and their Institutions 23rd Conference in Addis Ababa 24-25 November 2000
bull The Harare Declaration bull IPU Conference of Presiding Officers of National Parliaments bull International Convention on the Elimination of All Forms of Racial
Discrimination bull Convention on the Elimination of All Forms of Discrimination Against Women bull Report of the Ethics Reform Task Force on H Res 168 105th Congress 1st
Session 17 June 1997 (found at httpwwwhousegovethicsethicsreporttxt ) bull Parliamentary Standards and the Wicks Committee Report Standard Note
SNPC2200 24 June 2003 by Ruth Winstone (found at httpwwwparliamentukcommonslibresearchnotessnpc-02200pdf )
bull Committee on Standards in Public Life First Report Cm 2850 Volume 1 11 May 1995 (found at httpwwwarchiveofficial-documentscoukdocumentcm282850285002pdf )
bull Committee on Standards in Public Life Sixth Report Reinforcing Standards Cm 4557 Volume 1 January 2000 (found at httpwwwpublic-standardsgovuk )
bull Committee on Standards in Public Life Eighth Report Cm 5663 Standards of Conduct in the House of Commons November 2002 (found at httpwww-standardsgovukreports8th_reportreporteighthreportpdf
bull African Union Declarations and Decisions
30
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The African Commission Declaration of Principle on Freedom of Expression in Africa
bull United Nations High Commissioner for Human Rights Resolution 200047
Non-Governmental Documents Transparency and Accountability of the Parliament
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Anti-Corruption Commissions Panacea or Real Medicine to Fight Corruption By John Heilbrunn 2004
bull PREM Notes Public Sector No 74 October 2002 Strengthening Oversight by Legislatures (found at httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull PREM Notes Public Sector No63 March 2002 Strengthening Legislatures Implications from Industrial Countries (found at httpwww1worldbankorgpremPREMNotespremnote63pdf )
bull WBI Working Papers Building a Clean Machine Anti-Corruption Coalitions and Sustainable Reforms by Michael Johnston and Sahr J Kpundeh 2002
bull IFES IFES Parliamentary Toolkit Transparency and Accountability Tools for Civil Society
bull PREM Notes Public Sector No59 October 2001 Features and Functions of Supreme Audit Institutions
bull World Bank Institute Improving Governance and Controlling Corruption Towards a Participatory and Action-oriented Approach Grounded on Empirical Rigor October 2001
bull World Bank Towards Transparency in Finance and Governance by Tara Vishwanath and Daniel Kaufman September 6 1999
bull World Bank Institute Pillars of Integrity The Importance of Supreme Audit Institutions in Curbing Corruption by Kenneth M Dye and Rick Stapenhurst 1998
bull Association of Secretaries General of Parliaments (ASGP) Promoting the Work of Parliament Report by Mr Ian Harris Clerk of the House of Representatives of Australia19 Autumn 2000 (found at httpwwwasgpinfodiscussionshtmstudies)
bull USAID Handbook on Legislative Strengthening httpwwwusaidgovour_workdemocracy_and_governancegovhtml
bull Parliamentary Centre Canada Controlling Corruption A Parliamentarianrsquos Handbook httpwwwparlcentcaindex_ephp
bull Parliamentary Centre Canada Parliamentary Accountability and Good Governance httpwwwparlcentcaindex_ephp
19 This report contains a detailed analysis of the answers from a Questionnaire of how the public is provided information about the operation and work of Parliament The review was launched at the Conference of the Association of Secretaries General of Parliaments which was held in Autumn 2000 in Jakarta
31
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Center for Democracy and Governance February 2000 USAID Handbook on Legislative Strengthening
bull Parliamentary Centre Parliamentary Accountability and Good Governance A Parliamentarianrsquos Handbook
bull Parliamentary Centre Forum on Parliamentary Reform bull NEPAD Library Emerging Legislatures in Emerging African Democracies bull Commonwealth Parliamentary Association and World Bank Institute
Recommendations for Transparent Governance Conclusions of a CPA Study Group on Access to Information Accra Ghana 5-9 July 2004
bull GOPAC Parliamentarians Fighting Corruption A Conceptual Overview PCentrefsPCentreSProjectsParliamentary_RelationsGOPACWBI
bull International IDEA Democracy Assessment Questionnaire wwwideaintideas_work14_statedemocracy_assessmentpdf
bull NDI and UNDP Parliaments and Poverty Series Toolkit No1 Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Strengthening the Accountability Process and Parliamentary Reform A Report on the Parliamentary Roundtable Held in Bhurban Pakistan March 1-2 1997
Independence of the Parliament bull NDI Strengthening Legislative Capacity in Legislative-Executive Relations
Paper 6 httpwwwndiorgglobalpgovgovernanceasp bull Venice Commission Opinion on the Draft Proposal for Rules of Procedure of the
Assembly of the Republic of Macedonia by Georg Nolte July 5 2002 bull Venice Commission Report on the Referral of a Law Back to Parliament by the
Head of State November 15 1996 bull AGSP The Role of the Secretary General in the Administration of Parliament
Report by Mr Ugo Zampetti General Secretary of the Chamber of Deputies (Italy) October 2000 Review no 180
bull AGSP Constitutional and Parliamentary Information The Status of Parliamentary Groups
Parliamentary Immunity
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union Part Three Immunity in the European Parliament June 2001
bull Venice Commission Opinion 11995 Report on the Regime of Parliamentary Immunity CDL ndash INF(1996) 007 6496 (found at httpvenicecoeintsitedynamicsN_Opinion_efaspampL=EampOID=1 )
bull Venice Commission Supplementary Opinion on the Revision of the Constitution of Romania October 18 2002
32
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Venice Commission Draft Report ndash The Regime of Parliamentary Immunity April 29 1996
bull Venice Commission Questionnaire on Parliamentary Immunity prepared by Mr GW Maas-Geesteranus June 19 1995
Freedom of Parliamentary Speech
bull AGSP The Immunities of Members of Parliament Report prepared by Mr Robert Myttenaere September 1998
bull AGSP Position of Witnesses before Parliamentary Committees Report prepared by Mr Demaree JB Raval April 1997
Conflict of Interest amp Ethics
bull Parliamentary Affairs A Journal of Comparative Politics Volume 55 No 4 October 2002 Conduct Unbecoming The Regulation of Legislative Ethics in Britain and the United States by Robert Williams
bull Parliamentary Affairs A Journal of Comparative Politics Volume 52 No 3 July 1999 Parliament in the Age of Internet by S Coleman JA Taylor and W Van de Donk
bull European Centre for Parliamentary Research and Documentation (ECPRD) Parliamentary Codes of Conduct in Europe an Overview November 2001
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union June 2001
bull Research Paper Commissioned on behalf of The Committee on Standards in Public Life May 2002 The Regulation of Parliamentary Standards ndash A Comparative Perspective (found at httpwwwpublic-standardsgovukreports8th_reportreportresearchdoc
bull House of Representatives Resolution 168 on the Report of the Ethics Reform Task Force 18 June 1997
bull NDI Accountability Ethics and Transparency in Government Pakistan Study Mission to South Africa June 3 1997
bull NDI Report on Regional Consultative Workshops ndash Ethics Questionnaire August 1998
bull Council of Europe Steering Committee on Local and Regional Democracy (CDLR) Public Ethics at Local Level Model Initiatives Package November 25 2002
bull NDI Legislative Research Series Paper No 4 ndash Legislative Ethics A Comparative Analysis 1999
bull OECD United States Case Study ndash Ethics and Corruption The Management of Ethics and Conduct in the Public Service by Stuart Gilman December 1995
bull OECD Recommendations of the Council on Guidelines for Managing Conflict of Interest in the Public Service June 2003
33
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Sanction and Removal of Legislators bull Venice Commission Comments on the Draft Law of the Chechen Republic on
Elections to the Parliament of the Chechen Republic As Submitted to Referendum by Mr G Nolte March 23 2003
bull Venice Commission Opinion on the Draft Law on the Public Attorney (Ombudsman) of ldquoThe Former Yugoslav Republic of Macedoniardquo March 15 2003
bull Venice Commission Comments on the Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia by Ms Serra Lopes February 28 2003
bull Venice Commission Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia February 2003
bull WBI PREM Notes Public Sector Number 19 April 1999 Using an Ombudsman to oversee Public Officials
bull AGSP The Office of the Parliamentary Ombudsman March 1994 Salaries and Benefits of Legislators
bull AGSP The Social Protection of Parliamentarians Report by Mrs Helene Ponceau General Secretary of the Senate Quaestorrsquos Office [Havana Senate Treasurerrsquos Department] Review No 181 April 2001
Professional Development and Training
bull SADC Parliamentary Forum MPs Orientation Handbook ndash Professional Performance and Development httpwwwsadcpforgaboutindexasp
The Parliament and the Budget Cycle
bull OECD Development Centre Policy Brief No 22 Strengthening Participation in Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD May 2001 OECD Best Practices for Budget Transparency bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and
Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull ASGP The Administrative and Financial Autonomy of Parliamentary Assemblies Report prepared by Michel Couderc (France) adopted at the Moscow Session (September 1998)
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development The Legislature and the Budget by Frederick Stapenhurst 2004 httpwwwworldbankorgwbigovernanceparliament
34
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull WBI Working Papers Series on Contemporary Issues in Parliamentary
Development Parliaments and the PRSP Process by Scott Hubli and Alicia P Mandaville 2004
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull WBI PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull WBI PREM Notes Public Sector Number 74 October 2002 Strengthening Oversight by Legislatures
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull Commonwealth Parliamentary Association (CPA) The Parliamentarian 2002
Issue Two 179 Parliaments and Poverty by Ms Frannie A Lrsquoeautier bull Parliamentary Centre Canada and WBI and CIDA (with support from the
International Development Research Centre) Handbook on Parliamentarians and Policies to Reduce Poverty May 2001
bull Parliamentary Centre Cambodia Focus Group on Parliamentrsquos Role in the Budget Process Analysis
bull Parliamentary Centre Indicators of Parliamentary Performance in the Budget Process
bull The International Budget Project Legislatures and Budget Oversight httpwwwinternationalbudgetorgthemesLEGindexhtm
bull NDI Legislatures and the Budget Process An International Survey 2003 httpwwwndiorgglobalpgovgovernanceasp
bull NDI Parliaments and Poverty Series Toolkit No1 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Parliaments and Poverty Series Toolkit No2 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives
35
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull NDI Parliaments and Poverty Series Toolkit No3 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative Public Outreach on Poverty Issues
bull UNDP IPU WBI and UNIFEM Parliament The Budget and Gender httpwwwundporgdpapublicationsgovernancehtml
bull IMF Finance amp Development Magazine December 2002 Volume 39 Number 4 A Bigger Role for Legislators
bull Case Study PRSPs and Parliament by Stephen Langdon bull Ministry of Foreign Affairs Netherlands March 2002 Economics and Finance
(b) Budget Impact Assessments (Gender Budgeting) bull Cagatay N M Keklik R Lal and J Lang (2000) ldquoBudgets As if People
Mattered Democratizing Macroeconomic Policiesrdquo SEPED Conference Paper Series Number 4 May
bull Navarro Z (1998) ldquoParticipation Democratizing Practices and the Formulation of a Modern Policy ndash the Case of ldquoParticipatory Budgetingrdquo in Porto Alegre Brazil (1989-1998) Development Sage London Volume 41 number 3 September
Representative and Inclusive Parliament
bull Commonwealth Parliamentary Association (CPA) Commonwealth Women Parliamentarians Into The Democratic Mainstream August 2002
bull CPA EnGendering Development and Democracy May 2004 bull IPU and UNDP Guidelines on the Rights and Duties of the Opposition in
Parliament May 19 1999 (Unanimously adopted by the participants at the Parliamentary Seminar on Relations Between Majority and Minority Parties in African Parliaments Libreville (Gabon) 17-19 May 1999)
bull AWEPA European Parliamentarians for Africa OPS7 Parliamentary Gender Handbook South Africa 2001 (found at httpwwwawepaorgdownloadsOPS07-_Parliamentary_Gender_Handbook-_South_Africapdf
Free Elections of Legislators
bull Venice Commission Opinion 2502003 Report on Electoral Systems - Overview of Available Solutions and Selection Criteria Adopted by the Venice Commission at its 57th Plenary Session CDL ndash AD(2004)003 (found at httpvenicecoeintdocs2004CDL-AD(2004)003-easp )
bull Venice Commission Opinion 2392003 Comments on the Draft Law of the Chechen Republic on Elections to the Parliament of the Chechen Republic CDL (2003)021rev (found at httpvenicecoeintdocs2003CDL(2003)021rev-easp )
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Resolution 1320 (2003) httpassemblycoeintDocumentsAdoptedTextTA03ERES1320htm
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Document 9267 15 October 2001
36
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
TABLE OF CONTENTS
IFES Parliamentary Toolkit Multiple Uses of the Annual State of Parliament Report 3 IFES Parliamentary Toolkit Parliamentary Transparency and Accountability Standards 4 Abstract 5 1 Overview Country Context and Methodology 6
a The Functions of Parliament in the Country Context 6 b Scope of the State of Parliament Report the IFES Parliamentary Transparency
and Accountability Standards PTAS 8 c Multifaceted Methodology 9
2 Relevant International and Domestic Legal and Institutional Framework 11 a International and Regional Obligations 11 b Constitutional Standards 12 c Country Legal Framework 12 d Country Institutional Framework 12
3 Assessment of the Level of Compliance with the PTAS 13
PTAS1 Independence of Parliament 13 PTAS2 Free and Fair Parliamentary Elections 14 PTAS3 Transparent Adequate Political Financing and Compensation 14 PTAS4 Representative Parliament 16 PTAS5 Security of Tenure 16 PTAS6 Free Parliamentary Speech 17 PTAS7 Participatory Transparent Law and Decision-Making Process 18 PTAS8 Transparent Oversight of the Executive 19 PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget 19 PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations 20 PTAS11 Transparent Efficient Parliamentary Committees 21 PTAS12 Adequate Independent Parliamentary Budget 21 PTAS13 Clear Effective Conflict of Interest Rules and Standards of Conduct 22 PTAS14 Clear Fair Transparent Disciplinary Rules Procedures and Sanctions 23 PTAS15 Parliamentary Immunity 23 PTAS16 Parliamentary and Public Access to Information 24 PTAS17 Adequate Facilities Equipment and Technology 25 PTAS18 Professional Training for Legislators and Staff 26 PTAS19 Adequately-Compensated Research Library and Committee Staff 27
ANNEX 1 List of Acronyms 28
2
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 2 Bibliography 29 ANNEX 3 Draft Indicators for Democratic Parliaments 41 ANNEX 4 Cross-Reference Table 54
3
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
IFES Parliamentary Toolkit
Multiple Uses of an Annual State of the Parliament Report
(i) Making parliamentary transparency and accountability reform a high priority
(ii) Developing broad-based coalitions and parliamentary reform strategies around a common agenda
(iii) Developing concrete action plans designed to implement prioritized legislative reforms based on regional and international best practices
(iv) Providing key stakeholders the media and the public in general with reliable and comprehensive information on the state of the Parliament
(v) Presenting an in-depth analysis of issues related to Parliament
(vi) Presenting prioritized recommendations for the development of reform strategies
(vii) Reporting on the state of the parliament its progress or regression in terms of transparency and accountability and its capacity to undertake its constitutional functions through uniform indicators and monitoring standards
(viii) Increasing ground for more parliamentary resources and donor and technical assistance
(ix) Promoting high-quality empirical research
(x) Providing the tools for a more coordinated strategic action among reformers international organizations and donors
(xi) Promoting more peer pressure among all actors in the reform process
(xii) Enhancing the importance of the Parliament and the legislators
(xiii) Increasing the quality and availability of information on the Parliament
(xiv) Increasing public understanding trust and respect for the Parliament and its members
(xv) Providing stakeholders and civil society with a tool for oversight and advocacy for reform and
(xvi) Qualifying for donor assistance through the Millennium Challenge Account and meeting terms of conditionality through the international financial institutions and development banks and free trade and anti-corruption conventions
4
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
IFES Parliamentary Toolkit
Parliamentary Transparency and Accountability Standards (PTAS)
The Right to Transparent and Accountable Governance Best Practices Standards for Democratic Parliaments
1 Independence of Parliament
2 Free and Fair Parliamentary Elections
3 Transparent Adequate Political Financing and Compensation
4 Representative Parliament
5 Parliamentary Security of Tenure
6 Free Parliamentary Speech
7 Participatory Transparent Law and Policy-Making Processes
8 Transparent Oversight of the Executive
9 Participation in the Formulation and Oversight of the Governmentrsquos
Budget
10 Participation in the Adoption of and Oversight of Compliance with
International Obligations
11 Transparent Efficient Committees
12 Adequate Independent Parliamentary Budget
13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
15 Parliamentary Immunity
16 Parliamentary and Public to Access Information
17 Adequate Facilities Equipment and Technology
18 Professional Training for Legislators and Staff
19 Adequately-Compensated Research Library and Committee Staff
5
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
GLOBAL BEST PRACTICES A MODEL ANNUAL STATE OF THE PARLIAMENT REPORT
A Strategic Tool for Promoting Monitoring and Reporting on Parliamentary Transparency and Accountability Reforms and Engendering Global Debate
ABSTRACT
The unfolding historic democratic global transition is not sustainable without viable democratic legislatures or parliaments The objective of this working white paper is to present a strategic monitoring and reporting framework that can be used by all stakeholders to ensure that parliaments have the capacity independence and support necessary to fulfill their constitutional responsibilities to both the government and the people they are supposed to represent This paper is primarily written for the benefit of and from the perspective of developing and transition countries Towards that end it posits that a minimal set of standards best practices and indicators of progress has emerged from global experience during the wave of democratic reforms that has swept the world over the last several decades While it is acknowledged that most developing and transition countries can not implement all of these standards simultaneously for various reasons it attempts to prioritize and link-up a set of minimal standards among the nineteen captured as being essential building blocks for a solid foundation upon which democracy can be built over time The paper notes that the parliament remains a very weak sister among democratic institutions in virtually all developing and transition countries and it notes that this essential democratic institution needs much more attention and support from reformers officials civil society and the international community
6
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
GLOBAL BEST PRACTICES A MODEL ANNAUL STATE OF THE PARLIAMENT REPORT
A Strategic Tool for Promoting Monitoring and Reporting on Parliamentary Transparency and Accountability Reforms and Engendering Global Debate
1 Overview Country Context and Methodology
a The Functions of Parliament in the Country Context ldquoParliament is the institution that embodies society in the diversity of its composition and its opinions and which relays and channels this diversity in the political process Its vocation is to regulate tensions and maintain equilibrium between the competing claims of diversity and uniformity individuality and collectivity in order to enhance social cohesion and solidarity Its role is to legislate inter alia by allocating financial resources and oversee the action of the Executiverdquo IPU Guidelines1 Number II4
The international consensus recognizes five broad and basic functions to Parliaments namely
Policymaking Lawmaking Oversight of the Executive Constituency representation Political recruitment2
The three most important functions are the representative the lawmaking and the oversight roles3 In order to monitor the state of the Parliament as a way to undertake reforms to strengthen institutional capacity and independence an analysis of compliance with standards of parliamentary structure and activity must be undertaken within the specific country context The analysis of the country-specific context must include
bull Political background bull Constitutional and international rights and obligations bull Relationships between the Parliament the Executive and the Judiciary bull Public perception and public access to Parliament and bull Socioeconomic cultural and traditional context
1 Inter-Parliamentary Union Guidelines on the Rights and Duties of the Opposition in Parliament Libreville (Gabon) 17-19 May 1999 2 Id 3 USAID Handbook on Legislative Strengthening page 1 Executive Summary Center for Democracy and Governance February 2000
7
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Political Background Key Issues
Assessment of the form of government presidential premiership or others Key developments relevant to the independence and capacity of Parliament Assessment of the level of political will to effect parliamentary reform and level
of political space allowed by the Executive for reform The relationship between the government and the opposition parties in
Parliament and The level of party discipline and control of legislators and parliamentary
Committees Constitutional and International Rights and Obligations Key Issues
Constitutional design attribution and scope of each of the three branches of government
Key constitutional and legal provisions designing the shape and functions of the Parliament
Practices that may differ or go beyond legal provisions affecting the Parliament and
International standards and obligations related to parliamentary matters Relationship between Parliament the Executive and the Judiciary Key Issues
Historical relationship between the three branches of government Role of the Parliament in practice as it relates to the other two branches Oversight powers of Parliament over the other two branches of government both
under the law and in practice Overlapping functions between the three branches of government Independence of the Parliament from the Executive and Intra-parliament and inter-institutional relations
Public Perception and Public Access to Parliament Key Issues
Public image of Parliament its members and the parliamentary process Public trust of Parliament Degree of interaction between Parliament and civil society the existence of a
institutional relations office a periodic publication to inform regarding parliamentary issues a parliamentary TV channel etc)
Citizensrsquo capacity to initiate bills Openness of parliamentary meetings and committee hearings Percentage of meetings commonly open to the public Frequency of citizen attendance to public meetings Media coverage of parliamentary issues and Reaction of the Parliament to public perception
8
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Socio-Economic Cultural and Traditional Context Key Issues
Analysis of the socioeconomic situation (ie class structure wealth distribution prevalence of patterns of corruption)
Traditional role of Parliament Traditional status of legislators Role of political parties in recruiting and expressing cultural demands and Degree to which cross-cutting issues such as religion and gender affect the
composition of the Parliament
b Scope of the State of Parliament Report the IFES Parliamentary Transparency and Accountability Standards PTAS4
This paper presents and explains 19 Parliamentary Transparency and Accountability Standards (PTAS) around which an Annual State of Parliament (SOP) report may be developed The PTAS are in part based on the overarching separation of powers principle which means that a democratic legislature should be an independent institution with the capacity resources and governmental and public support to perform its constitutional duties such as lawmaking government oversight and constituency representation in a transparent accountable manner The standards cover a broad range of transparency and accountability issues highlighting the rights and obligations of both the institution as well as its members This model framework presents a set of core standards guiding the design of a democratic Parliament including a targeted set of minimal standards that are designed to establish the foundation for democratic governance and broader sustainable reforms The minimal standards are based largely upon consensus global standards and practices found either in international law or actual democratic global experience This approach acknowledges the fact that most emerging democracies cannot simultaneously implement all of the nineteen (19) standards and that some are more crosscutting and fundamental than others While more debate needs to occur on the minimal principles approach one of the purposes of this paper is to engender this debate by placing them on the global discussion table In effect the paper advances the notion that these standards should be priority reforms in all transition countries and it encourages the inclusion of other priority standards within differing country contexts These crosscutting minimal standards we would like to center the global debate on are PTAS 1 2 6 7 9 10 11 12 and 16 While the other standards are clearly very important implementing these alone in most transition countries will be a very tall task It is also worth noting that these standards also capture some of the others that are closely inter-related such as PTAS 16-19 which are all contingent on having an adequate parliamentary budget (PTAS 12)
4 The Parliamentary Transparency and Accountability Standards are based on the overarching principle of Parliamentary independence distinct from the Executive and Judiciary arms of government and cover issues of transparency and accountability of the institution as well as the members
9
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
The PTAS emerged after a thorough review of international and regional governmental and non-governmental declarations standards guidelines and standards (cited in Annex 2) This review included in-depth analysis of relevant papers studies country and regional surveys and best practices including the work of Parliamentary Associations such as the Commonwealth Parliamentary Association the Canadian Parliamentary Centre the European Parliament and the Inter-Parliamentary Union IFES is now refining the framework in close consultation with a number of these organizations as well as the Consumer Rights Commission of Pakistan where we are developing a report for possible replication throughout the region IFES also reviewed the considerable research and experience of a number of governmental institutions such as the World Bank the National Democratic Institute UNDP USAID the OSCE and the OECD The PTAS are not intended to duplicate the work undertaken by these organizations and others Rather they constitute an attempt to identify consensus Standards which should be found in any democratic Parliament and to present them in a systematic framework Thus the PTAS can be used as the backbone for drafting annual country-specific SOP Reports The model framework for SOP Reports constitutes a component of the IFES Parliamentary Toolkit designed to help civil society and Parliament monitor report on and promote parliamentary transparency and accountability By reporting and monitoring progress against a core set of benchmarks and consensus Standards a SOP Report will assist a diverse range of civil society and governmental stakeholders to prioritize a parliamentary reform agenda in a systematic manner The SOP Report is intended to assess the effectiveness of Parliaments in emerging democracies but also to equip multiple civil society and governmental stakeholders with the information necessary to prioritize and implement parliamentary transparency and accountability reforms
The IFES PTAS and model SOP Framework are grounded in bull International and regional consensus Standards and best practices of
Parliamentary transparency and accountability bull Core international regional and constitutional obligations bull A general overview of the relevant country legal and institutional framework
c Multifaceted Methodology The model SOP framework is designed to lay out the standards and the methodology necessary to assess the transparency accountability and performance of Parliaments around the world against a set of core benchmarks grounded in international and regional best practices The framework captures consensus Parliamentary Transparency and Accountability Standards (PTAS) identified in a series of international and regional treaties declarations guidelines and practices related to the parliamentary structure and
10
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
responsibilities In identifying the PTAS and the framework we sought to include a variety of sources representing a broad consensus The sources are listed in annex Each of the consensus PTAS was disaggregated into qualitative and quantitative indicators5 Indicators designed to assess the level of compliance with each PTAS are a core element of the framework The use of indicators is necessary to obtain a clear picture of where improvements are needed and which achievements and shortcomings affect the Parliament These indicators are not designed to stigmatize countries in comparison to others While the use of a uniform framework and measurements based on indicators will allow for some degree of comparison each Parliament evolves in a set of country-specific circumstances Compliance with the PTAS within a given country-context is the objective of our endeavor Identifying the PTAS and disaggregating them into indicators is an evolving process Standards are slowly emerging as national stakeholders gather in the international arena in search of guidelines to improve independence and efficiency Like new standards emerging indicators can continuously be refined to clarify the contents of each PTAS Standards without indicators are empty concepts which can be interpreted in many different ways depending on the author of the report Indicators help define the PTAS and provide a concrete guide for the assessment of compliance The draft indicators are available in a separate attached document The framework is built around the need to implement and link up key reforms embedded in the PTAS Each country report is developed through a multifaceted methodology that incorporates an array of information resources necessary to assess the level of PTAS compliance (i) desk studies of all relevant laws institutions and international obligations (ii) analysis of existing best practices country studies and research (iii) interviews and surveys of experts and key stakeholders and (iv) analysis of the operation of Parliament in practice The PTAS and their accompanying indicators serve as the guideposts with which to measure implementation progress or regression on a periodic basis While all the PTAS are important and their relevance in the country context varies IFESrsquo working assumption for each report is that certain mutually supportive principles are essential to establishing the legal enabling environment necessary to build an independent accountable Parliament and a Rule of Law culture We also believe that for purposes of capturing global issues lessons learned model programs across borders it is also important for all country reports to uniformly cover a specific set of standards
5 We chose the term ldquoindicatorrdquo because is the most commonly used in the literature on similar topics and we recognize its value In fact we intend to describe and analyze the state and performance of the Parliaments through what can also be called ldquosearch questionsrdquo that will allow to look to the Parliaments uniformly Having indicators will bring coherence and systematization to the national SOP reports
11
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Compiling a National SOP Report The framework was created to serve both as (i) a tool for civil society to monitor parliamentary activity and identify spaces for improvement and participation and (ii) a tool for legislators to assess their own institution Each report should be compiled with the following in mind
Combining a civil society evaluation and a parliamentary self-evaluation will lead to a better report
Sharing information with civil society will be a first step towards strengthening collaborative partnerships between Parliament and the people
The indicators will provide two sorts of data (i) quantitative data such as how many legislators timing of elections number of commissions etc and (ii) qualitative data on the performance of Parliament through an analysis of the processes of parliamentary life and
The PTAS cover to three key aspects of parliamentary operations and activity transparency accountability and efficiency
Assessment of the level of compliance with each PTAS is guided by an examination of relevant laws and practices identified through a survey of legislation and interviews of key stakeholders There are three degrees of compliance
bull Formal compliance (laws and decrees) bull Compliance in practice (effective implementation of laws and decrees as well as
of constitutional and conventional principles) and bull Quality and integrity of the compliance in practice (fair implementation for all)
The Report outlines in the country context the legal and institutional framework within which the judiciary operates The indicators serve as guideposts for the analysis of the level of compliance with each PTAS This analytical process will lead to an overall judgment as to whether there is a ldquosatisfactoryrdquo ldquopartially satisfactoryrdquo or ldquounsatisfactoryrdquo JIP compliance with the possible nuance of ldquoimprovingrdquo or ldquoregressingrdquo and to present prioritized reform recommendations
2 Relevant International and Domestic Legal and Institutional Framework
a International and Regional Obligations IFES has examined various documents relating to the relevant international and regional governmental and non-governmental declarations Standards best practices and guidelines on issues of parliamentary independence transparency and accountability Each annual country-specific SOP Report should present a list of relevant applicable international and regional obligations including
Declarations on democracy and parliamentary independence and best practices guidelines and Standards by international and regional Parliamentary
12
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Associations eg the Commonwealth Latimer House Standards the IPU Declaration on Democracy
International and regional human rights treaties and human rights court and commission case law eg the Universal Declaration of Rights the International Covenant on Civil and Political Rights the UN High Commission on Human Rights Resolution 200047 and
Non-governmental guidelines
b Constitutional Standards Each annual country-specific SOP Report should outline the constitutional Standards related to the separation of powers and parliamentary independence including
The guarantees of parliamentary independence lawmaking powers and other key Standards
The roles of parliamentary committees and of party caucuses The powers to develop amend or review budget and levy taxes The power to question Ministers hold hearings conduct investigations and call
witnesses The power to appoint andor confirm candidates to high-level positions in the
other branches of government The power to access information about government activities and programs6
c Country Legal Framework
In presenting the legal framework each annual country-specific SOP Report should include a review of the relevant applicable legislation and regulations affecting parliamentary transparency and accountability such as
The institutional structure of the Parliament Standing Rules of Order Parliamentary internal regulatory framework Access to information legislation Anticorruption legislation Political party campaign financing regulations and Parliamentary Codes of Ethics and conflict of interest rules
d Country Institutional Framework
In presenting the institutional framework each annual country-specific SOP Report should present a review of the relevant institutional characteristics affecting the Parliament such as
Intra-parliamentary structures bicameralunicameral Committees support services etc
6 USAID Handbook on Legislative Strengthening page 15
13
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Extra-parliamentary structures and governmental relationships Ombudsman political parties Ministry of Justice civil society organizations with watchdog role and
Oversight mechanisms
3 Assessment of the Level of Compliance with the PTAS For each of the PTAS this Model Framework for an annual SOP Report will present
bull Guidelines based on international and regional standards and best practices and
bull Indicators to monitor the level of compliance or non-compliance PTAS1 Independence of Parliament
Institutional Independence Separation of power Standards mandate a Parliament independent from the other two branches of government the Executive and the Judiciary This independence must translate itself into freedom from external pressure and interference In the exercise of its functions Parliament should be subject only to the Constitution and the law CLHP ECOWAS-P UPA-Res00
The institutional independence of Parliaments rests in the doctrine of separation of powers This doctrine is widely accepted internationally as a tenet of democratic societies and is now formally recognized in the Constitutions of most countries7 The separation of powers is either expressly mandated in the Constitution or a document having constitutional value or it is found in the practical organization of the three powers8
Parliament must also be free to legislate and introduce legislation otherwise it is relegated to a rubber-stamping institution for the Executive Finally Parliament must be entrusted with the freedom to organize itself to decide on its own rules of procedures and the proceedings for parliamentary bodies The principle of independence has broader implications Indeed it is now agreed that independence must be recognized to not only Parliament as an institution but also to legislators in the exercise of their functions Both the institution and its members must be free from undue interference and external controls emanating of the other branches of government the Executive and the Judiciary as well as from forces within society such as political parties the private sector the media and others Indeed interferences would
7 ASGP Report dated September 1998 by Michael Couderc The Administrative and financial autonomy of Parliamentary Assemblies page 1 (found at wwwasgpinfopublicationshtm ) The report states that exceptions to this general rule appear the Cyprus Kenya and Switzerland Parliaments 8 Ibid Most countries now have adopted Constitutions but there are some noteworthy exceptions such as the United Kingdom
14
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
render impossible the exercise of the core functions of Parliament lawmaking and oversight In order to be independent legislators must be able to discharge their duties without fear for their physical security or the well being of their families and staff This principle requires the State to provide security services for legislators and to secure the House of Parliament PTAS2 Free and Fair Parliamentary Elections
Parliamentary Elections The process of the election of members of Parliament should be open and transparent allowing for full citizen participation and free of coercion fraud or violence CLHG CSCE-CD ECOWAS-P IPU-DD IPU-Res03 UNHCHR UPA-Res00
The right of everyone to take part in the government of hisher country is expressed through the right to freely choose representatives Parliaments differ in the manner and types of election held to elect members There is an international consensus on the need to provide voting rights for all citizens on the basis of universal equal and secret suffrage so that all voters can choose their representatives in an environment conducive to equality and political competition The different systems include direct and indirect proportional versus single constituency The IPU Declaration on Democracy notes that holding free and fair elections which allow the expression of the peoplersquos will at regular intervals is a key element of democracy This Standard is seen as the best way of guaranteeing representative democracy Whatever the system used elections of legislators must be organized following an open and transparent process There must be full citizen participation without a suggestion of manipulation Legislators should not be required to run for office exclusively under the nomination of a Political party PTAS3 Transparent Adequate Political Financing and Compensation
Political finance The fight against corruption requires the adoption of clear rules for transparent political financing of legislators their campaigns and their political organizations need to be adopted These rules should include transparent compensation as well as the disclosure of campaign account income and assets of legislators Anticorruption Treaties Adequate compensation Legislators should receive adequate salaries and benefits which are comparable to those of equivalent positions in the other branches of government and private sector CLHG IPU-DD
The financing of any parliamentary candidate by his her political party should be transparent and there should be clear written rules and regulations on the types of political financing which are impermissible and illegal and those which are permitted and legal
15
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Clear rules for political party and campaign financing ndash these rules should foster financial transparency and integrity
bull Income and asset disclosure requirements bull Oversight by an independent authority (internal ie Parliamentary Committee or
external) and publication of information To the extent possible political parties and parliamentary candidates should be required to place all contributions above a certain limit in official bank accounts and use these accounts for all campaign expenditures Official bank accounts are accounts which are fully documented and disclosed Disclosure requirements should cover all income assets and expenditures related to the campaign and should be made to an independent official agency Uniform and reliable software will help monitor all income and expenditure during political campaigns The independent official agency should verify and report on the parliamentary campaign finance data Additional independent verifications and reports should be undertaken by civil society to avoid collusion A serious problem in many countries has been the use of parliamentary resources such as office space staff time or funds by incumbents This is a practice which should be seriously discouraged or even outlawed as it constitutes a misuse of funds by parliamentarians Legislators should also be adequately compensated for their work Compensation includes both their salary and any additional benefit granted to workers The adequacy of compensation will be assessed in comparison with the cost of living and the compensation-level of senior officials in the Executive judiciary and private sector Due to high turnover in parliamentary office an appropriate compensation level is important to attract high-quality people and to shield legislators from outside pressure Pension entitlement by virtue of office is a widely recognized right in most Parliaments independently of the diversity of the methods and procedures chosen to implement it A number of other countries in which no recognized pension scheme currently exists for Legislators have indicated that this subject is currently under review (Egypt Lesotho Nigeria Thailand) The great majority of legislators today benefit from social security (sickness maternity invalidity death and industrial injury insurance) coverage while in office This is for the most part organized within the framework of the common labor rights legislation of each country9 Transparency regarding all amounts received by legislators as compensation is necessary to promoting parliamentary accountability and ethics Legislators and if possible their dependents should be required to disclose all their incomes assets and relevant interests to an independent official agency The public should have an opportunity to access information about the salaries and other benefits of the legislators whom they have elected Like with parliamentary campaign finance uniform and reliable software will
9 Helene Ponceau AGSP Report April 2001 This report is based on a questionnaire of the Association of General Secretaries of Parliaments approved at the Berlin session in October 1999 and sent to 56 countries
16
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
help monitor the disclosures and verification and reporting by the independent official agency as well as civil society will foster more transparency and accountability PTAS4 Representative Parliament
Broad-Based Representation An inclusive fully representative Parliament across gender ethnicity political affiliation religion etc is one of the main tenets of a democratic society CLHG CSCE-CD ECOWAS-P IPU-GD IPU-Res03 UNHCHR UPA-Res00
There is increasing consensus at the international level that democratic institutions must be representative of the diversities of society Parliament should therefore be composed of a broad cross-section of society including members of different genders ethnicity political affiliation religion etc Diversity in institutional membership echoes the Standards enshrined in the numerous conventions against discrimination which have been ratified in the past decades10
A broad-based representative Parliament will contribute to the promotion of the right of everyone to take part in government and of all interests to be given expression As noted by the IPU in its Declaration on Democracy ldquoDemocracy is founded on the right of everyone to take part in the management of public affairs it therefore requires the existence of representative institutions at all levels and in particular a Parliament in which all components of society are represented and which has the requisite powers and means to express the will of the people by legislating and overseeing government actionrdquo Some countries have taken additional steps to encourage participation by marginalized groups such as women or minorities For example in Pakistan quotas for gender participation were established 33 quota in direct elections (local) and 17 quota in indirect national elections (legislature and senate) Women membership in the legislature is currently at 21 slightly above the mandatory quota PTAS5 Security of Tenure
Security of tenure ldquoSecurity of Members during their Parliamentary term is fundamental to Parliamentary independencerdquo CLHG CSCE-CD
The legitimacy of Parliament rests on the fact that its membership is rooted in the will of the people who chose representatives in periodic elections In order to guarantee that their will is respected the term of office of legislators must be respected Certain classes of legislators may have life terms (cite House of Lords other examples) but most legislators are elected for fixed terms Exceptionally the tenure of legislators may be terminated but such mechanisms must be narrowly defined and follow clear transparent
10 See for example the International Convention on the Elimination of All Forms of Racial Discrimination [CERD] (1965) and the International Convention on the Elimination of All Forms of Discrimination against Women [CEDAW] (1979)
17
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
legal procedures This may be the case for immunity waivers in case of criminal offences committed by a legislator or of dissolution of parliament by the executive The CLHG lists three requirements to protect the security of tenure of legislators in its guideline number 2
ldquo (a) The expulsion of members from Parliament as a penalty for leaving their parties (floor-crossing) should be viewed as a possible infringement of membersrsquo independence anti-defection measures may be necessary in some jurisdictions to deal with corrupt practices
(b) Laws allowing for the recall of members during their elected term should be viewed with caution as a potential threat to the independence of members
(c) The cessation of membership of a political party of itself should not lead to the loss of a Memberrsquos seatrdquo
PTAS6 Freed Parliamentary Speech
Freedom of Speech The true expression of democracy lies in the right to free speech This should not just be a right guaranteed to the general public but legislators also must be free from censorship and defamation laws that restrict the right to criticize government thereby curtailing parliamentary oversight of the Executive Banjul CLHG CLHP CPA-Media CPA-Rec03 ECHR IACHR ICCPR IPU-GD IPU-DD UPA-Res00
The International Covenant on Civil and Political Rights (ICCPR) expressly states in article 19(1) that everyone shall have the right to hold opinions without interference Article 19(2) guarantees the right to freedom of expression and broadens it to include the freedom to seek receive and impart information and ideas of all kinds regardless of frontiers either orally in writing or in print in the form of art or through any other media of choice These rights are not absolute and may be restricted under specific circumstances as outlined in article 19(3) Most international human rights instruments provide that every individual shall have the right to express and disseminate his opinions within the law Other instruments recognize the right of freedom of expression as an inalienable fundamental right Free speech rights should entitle legislators to
bull Put written and oral questions to members of the government and receive answers to these questions The opposition in Parliament should also be entitled to speaking time proportionate to its numbers in sittings set aside for oral questions
bull Request documents and receive such documents in a timely manner National security concerns constitute one of the main reasons why governments restrict freedom of expression Freedom of expression should not be restricted on public order or national security grounds unless there is a real risk of harm to a legitimate interest and there is a causal link between the risk of harm and the expression
18
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Defamation laws are a serious concern for legislators when seeking to protect or exercise their freedom of expression rights Legislators should be free from improper pressures in the discharge of their functions These improper pressures can be in the form of criminal laws and the use of defamation proceedings restricting legitimate criticism of the government by legislators Criminal defamation laws need to be carefully reviewed Similarly the defense of qualified privilege with respect to reports of parliamentary proceedings should be drawn as broadly as possible to permit full public reporting and discussion of public affairs and offence of contempt of Parliament should be drawn as narrowly as possible There is a need to achieve a balance between the free speech rights of Legislators vis-agrave-vis the government and the publicrsquos right of free speech vis-agrave-vis the Parliament PTAS7 Participatory Transparent Law and Decision-Making Processes
Parliamentary Processes Parliament must be open transparent and accountable to the public in its lawmaking and policymaking functions In this regard the free flow of information from Parliament to its members and the public as well as avenues for effective public participation is fundamental to a democratic Parliament CLHG CLHP ECOWAS-P IPU-GD IPU-Res03 UPA-Res00
Law and policy-making are the primary responsibilities of Parliament as the elected body representing the people The Executive may initiate laws and policies and the Judiciary may be constructive and purposive in the interpretation of legislation neither must be seen as usurping Parliamentrsquos legislative function Ultimately only the Parliament is entitled to adopt laws for the country Consequently legislators should be encouraged to adopt national policies and laws through open processes which allow for consultation and citizen participation Parliamentary processes must be not only transparent but also participatory Participation starts with the right to form democratic political parties and entails the need for transparent and fairness in the electoral process including through appropriate access to funds and free independent and pluralistic media Transparent decision-making and law-making processes create ownership in governance by the public which is necessary in a democratic society The Parliament should implement efficient mechanisms to allow and encourage public participation in the different stages of the law making process From the moment that Parliament receives a bill from the Executive or from the moment a bill is drafted by a committee civil society representatives should have a voice and be consulted Civil society participation will add a fresh look and ensure a better response to community needs Legislators will benefit from input and the resulting laws will better reflect real needs and local buy-in Committees meetings and parliamentary sessions should be usually open to the public Information on meetings and final decisions should be broadly disseminated Parliament should be consulted by the government on important questions affecting the life of the nation war national security human rights economic policy social rights
19
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
labor markets etc This will enable the opposition to take part in the debate and provide its input to the decision-making process The opposition must also be able to raise matters regarding the Constitution with a view to its amendment PTAS8 Transparent Oversight of the Executive
General Oversight One of the core functions of Parliament is to provide a continuous check on the activities of the Executive In performing this oversight function Parliament must follow transparent procedures and respect strict standards of accountability CLHG CLHP IPU-GD UPA-Res00
The separation of powers not only means that each branch of government is independent from the other two but also that mechanisms of checks and balances are in place to avoid abuses and encroachments To that end the Parliament is traditionally entrusted with the responsibility of overseeing the activities of the Executive The Executive as Parliament must follow high standards of accountability transparency and responsibility in the performance of its duties Parliament is responsible for ensuring that these standards are met and for providing adequate mechanisms to challenge the Executive for failure to meet these standards Oversight may take place in the form of periodic questions to the government in a parliamentary sessions or investigations undertaken by parliamentary commissions or votes of confidencenon-confidence Parliamentary procedures should be transparent and allow for public scrutiny Governments should be required to announce publicly within a defined time period their responses to committee investigations PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
Budget Design and Oversight Parliament is traditionally responsibly for adopting the national budget There is a growing international consensus that Parliaments around the world need to make maximum use of existing processes for exerting influence in national budget control scrutiny and accountability IPU-Res03 UPA-Res00
Parliament must have a certain amount of authority to affect the budget otherwise its role in establishing national policy and representing citizen interests will remain limited11 Involvement should extend beyond budget approval and include budget formulation tracking and accountability Unless it has substantial involvement beyond approval Parliament will do no more than rubberstamp the Executiversquos budgetary and policy decisions To promote more accountability in government Parliament should be entitled to monitor income and expenditures especially how effectively government programs and activities are administered
11 USAID Handbook
20
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Parliamentary procedures should therefore provide adequate mechanisms to oversee the Executive including accountability mechanisms targeted at budget development effective money flows budget implementation etc This can be achieved by allowing independent audits of public accounts establishing that the opposition will chair the Public Accounts Committee or a combination of the mechanisms andor others PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
International Obligations and Parliament International treaties carry a general obligation for signatory States to ratify and to adopt all necessary measures for their implementation Both functions should fall on Parliament CLHG CLHP IPU-Res03
The need for governments to respect their international law obligations has become more urgent post World War II particularly as inter-State conflicts are on the rise Legislators as law makers and representatives of the people need to be more proficient in their knowledge and understanding of human rights and humanitarian law instruments including those relating to economic social and cultural rights In a 2000 Declaration the Conference of Presiding Officers of National Parliaments outlined the four inter-connected levels of intervention for Parliaments in relation to international obligations
bull ldquoInfluencing their respective countriesrsquo policy on matters dealt with in the United Nations and other international negotiating forums
bull Keeping themselves informed of the progress and outcome of these negotiations bull Deciding on ratification where the Constitution so foresees of texts and treaties
signed by governments and bull Contributing actively to the subsequent implementation processrdquo12
Parliaments play a central role in adjusting domestic law to international standards According to the legal systems of many countries Parliaments are not only the bodies entitled to ratify international obligations but also the ones responsible for adopting the necessary implementing legislation Many international treaties particularly those related to human rights the environment gender and corruption require that States parties adjust their national legislation to match the minimum standards laid out in the treaties For example United Nations Convention against Corruption (2004) is explicitly applicable to legislators Indeed its scope covers ldquopublic officialsrdquo who are defined as including any person holding parliamentary office in a State party Compliance with this provision and others often requires the adoption of legislation Conventions generally include explicit requirements for the adoption of new laws by national Parliaments
12 Conference of Presiding Officers of National Parliaments organized by the IPU in cooperation with the UN Declaration adopted by at UN Headquarters New York 30 August ndash 1st September 2000
21
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The United Nations Convention against Corruption (2004) establishes that each State party should develop and implement anti-corruption policies
bull The Inter-American Convention against Corruption (1996) requires in its article VII the adoption by State parties of all ldquonecessary legislative or other measures to establish as criminal offences under their domestic law the acts of corruption described in Article VI(1) and to facilitate cooperation among themselves pursuant to this Conventionrdquo
As guardians of the Constitution legislators have an obligation to protect the human rights of people This obligation is reinforced by the requirement to comply with international and regional human rights treaties This obligation to protect and legislate in support of human rights should lead to increased oversight by Parliament in areas in which the Executive has traditional exercised blanket discretionary powers such as national security There has been a growing consensus on the need to shift focus away from military security to broader factors of ldquohuman securityrdquo such as environmental economic social as well as political13 PTAS11 Transparent Efficient Parliamentary Committees
Parliamentary Committees The legislative and oversight functions of Parliament are actually undertaken by Parliamentary Committees the powers and structures of which differ from country to country It is essential for these committees to be properly structured and well funded to enable them to be effective in discharging Parliamentrsquos legislative and policy making functions CLHG CPA-Media CPA-CP CPA-Rec03 CPA-REc04 IPU-GD
Committee structures may vary depending on the size of Parliament its constitutional mandate and other country-specific factors However all committees should have adequate resources both human and financial and have the power to summon witnesses including ministers as necessary to fulfill their mission Committee meetings should be generally open and allow for public attendance and participation Committee reports should be published and made readily available to both the government and the public PTAS12 Adequate Independent Parliamentary Budget
Parliamentary Budget It is the duty of the State to provide adequate resources to enable Parliament to perform its functions properly CLHG
Parliamentary independence and effectiveness to carry out its functions is eroded when Parliament lacks control over its own budget or has inadequate finances to manage its committees and carry out various other internal administrative duties14 Parliament 13 IPU and the Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born Philipp H Fluri amp Anders B Johnsson page 16 (Found at httpwwwdcafchpublicationse-publicationsHandbook_eng ) 14 Indeed without adequate resources for the training of new members secretarial office library and research facilities drafting assistance for bills etc Parliament is handicapped
22
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
should be able to design its own budget based on its needs and negotiate with the Executive the amount allocated to it from the national budget There should be sufficient autonomy over these finances by Parliament to protect the institutional independence and integrity It has been suggested that an all-party committee of members of Parliament should review and administer the parliamentary budget Moreover the parliamentary budget should not be subject to amendment by the Executive15 It is the Parliamentary budget that inter alia funds training of parliamentary support staff ensures that library and research facilities are properly and adequately equipped guarantees that legislators have the necessary support staff to undertake their functions and funds security services PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
Parliamentary Conduct Legislators are required to exhibit and promote high standards of professional conduct in order to reinforce public confidence in Parliament which is fundamental to its independence and legitimacy in a democratic society ANTICORRUPTION TREATIES CLHG CLHP
The CLHG outline three components for a comprehensive ethical framework applicable to Parliament
bull Conflict of interest rules and codes of conduct requiring disclosure of interests bull Access to ethics advisors and bull Restrictions on lobbying and interest group influence
Ethical professional conduct requires legislators not only to conform to high standards of ethics in practice but also to avoid the appearance of impropriety The need for financial transparency by public officials has increasingly gained acceptance as anti-corruption issues have become global Legislatorsrsquo professional and private conduct must be subject to some system of internal codified rules regulating standards of behavior and making disclosure of personal income and assets mandatory Other professions have codes of ethics regulating membersrsquo behavior for example doctors and lawyers Ethical rules should include conflict of interest rules outlining incompatible professional activities or interests such as holding another governmental office and restricting certain ventures such as participation or shareholding in corporations These rules should also require the submission to an independent oversight authority of disclosures of income assets and interests These disclosures should then be publicized for broader ethical monitoring by the public Disclosure of interests will go a long way in establishing institutional integrity trust and respect by the public and effective discharge of duties on the part of legislators as they are fully conscious of the ethical parameters which govern them as a profession 15 Commonwealth Latimer House Guidelines Number VII6
23
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
Discipline Just as other professionals have quasi-judicial bodies to regulate discipline and even remove members there should also be an internal or external authority to sanction legislators conduct investigations and hearings and adopt findings and conclusions There should also be a clear appeals process available to any member aggrieved by a decision CLHG
ldquoThe Committee recommends
bull The House should appoint a person of independent standing who should have a degree of tenure and not be a career member of the House of Commons staff as Parliamentary Commissioner for Standards
bull The Commissioners should have independent discretion to decide whether or not a complaint merits investigation or to initiate an investigationrdquo Recommendations of Committee on Standards in Public Life First Report16
Just as any other citizen legislators should be bound by the law In cases when legislators commit acts contrary to the laws and regulations they expose themselves to disciplinary action and prosecution Moreover there are special conditions only for the status of being public servants that they must observe such as compliance of high standards of ethics assets disclosure and conflict of interest rules There must be a clear system of sanctions for non-compliance with the laws and regulations The disciplinary process in representative bodies is a very sensitive one It should not be used to punish the opposition or dissidents In this sense the existence of an objective internal or external body to sanction legislators is essential to the proper operation of the system An additional problem represents the immunity that all legislators should have The immunity is a protection to ensure that legislators can perform their duties without interference it should not however be used as an excuse to avoid sanctions for common misconducts or crimes PTAS15 Parliamentary Immunity
Immunity Legislators shall enjoy personal immunity from civil suits and criminal prosecution for acts and omissions in the exercise of their functions CLHG ECOWAS-P IPU-GD
Legislators should enjoy some degree of immunity from prosecution or civil suit for acts and omissions in the exercise of their functions However no one should be exempted from accountability The requirements of parliamentary independence from political institutional and societal forces must be balanced against those of public accountability
16 These recommendations were implemented by the House of Commons England A Standing Order setting up the office of Parliamentary Commissioner for Standards was set up on 6 November 1995
24
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Consequently the immunity regime should be strictly regulated especially through the recognition of
bull Clear limited scope of immunity (for example it should not cover acts performed outside of office nor common crimes) and
bull Possibility of waivers in clearly defined cases and following a transparent procedure
Regarding the scope of parliamentary immunity its historical roots lie with the freedom of speech of legislators as recognized in the British and American Bills of Rights The underlying justification for immunity is that it allows legislators to fulfill their mandate without fear of retaliatory measures on account of their positions or votes Legislators must therefore be protected against arrest and detention or civil and criminal prosecution for any acts performed or words spoken while in office or in the conduct of parliamentary affairs Legislators should not be subject to any form of inquiry detention or legal proceedings in respect of opinions expressed or votes cast by them in the performance of their duties Immunity should not be limited to acts or speech within the parliamentary facilities Rather immunity must be interpreted as broadly as possible For example the members of the European Parliament enjoy immunity in their own States in the territories of other Member States and whilst traveling to and from the place of the meeting of the European Parliament However immunity should not be absolute The immunity regime applicable to legislators should provide for the possibility of waiving this immunity in limited circumstances in the interests of justice Immunity is not a privilege benefiting individual members but rather a guarantee protecting the independence of Parliament and its members in their relations with other governmental and private bodies17 Parliamentary privileges must be clearly defined and established by law These immunities are not meant to place legislators above the law but to protect them from possible groundless proceedings or accusations that may be politically motivated The grounds and terms for lifting of immunity must be clearly specified by law so that this may only occur following a decision taken by a competent body on a non-partisan basis PTAS16 Parliamentary and Public Access to Information
Access to Information Legislators as well as the general public must have access to accurate timely information and data including legislation parliamentary procedures governmental data and relevant research data Banjul CLHG CLHP CPA-Media CPA-CP CPA-Rec03 CPA-Rec04 CSCE-CD ECHR IACHR ICCPR IPU-DD IPU-GD IPU-Res03 UNHCHR
17 ECPRD Parliamentary Codes of Conduct in Europe by Veronica Williams November 2001
25
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
The free flow of information is essential in a democratic society Access to information should not only be viewed in relation to the media and civil societyrsquos right to access governmental documents but also in relation to the legislatorsrsquo right to access relevant research and information from the government and other sources Access to information can be facilitated by the use of databases networks and information technology in general The media should be free to report the activities of Parliament and the public should be able to attend parliamentary meetings and Committee sittings where appropriate The CPA encouraged Parliaments ldquoto provide live coverage of their proceedings on a dedicated channel andor onlinerdquo in its Recommendations for an Informed Democracy The environment should be made conducive for civil society organizations the public and multiple stakeholders to exchange information with legislators to enable Parliament to effectively discharge its duties of oversight policy making law making representation and recruitment This could be achieved through the establishment of a public information office within Parliament Bills and Acts of Parliament must be published regularly and should be freely available to the public Indeed the CSCE Copenhagen Document notes that ldquolegislation adopted at the end of a public procedure and regulations will be published that being the condition of their applicability Those texts will be accessible to everyonerdquo In its recommendations following a conference on ldquoWhat Parliament and Legislators Can Dordquo the CPA noted that access should be granted ldquoto basic information and documents produced by the parliamentary process such as access to parliamentary libraries the provision of on-line information and the distribution of Parliamentary speeches promptly after delivery in the Houserdquo18 The type of information available to the public and to legislators should include
bull Attendance and voting records bull Registers of membersrsquo interests bull Bills and Acts of Parliament bull Procedural rules bull Codes of Conduct
Legislators should also have access to parliamentary archives as well as all necessary information and data from the government The IPU Guidelines note that ldquolegislators from the majority and the opposition alike are equally entitled to receive in a timely manner the same information from the governmentrdquo
18 Parliament and The Media Building an Effective Relationship 15-18 February 2000 [CPA-Media]
26
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS17 Adequate Facilities Equipment and Technology
Adequate Infrastructure Parliament should have at a minimum the necessary infrastructure and technical assistance including research capacity adequate facilities and equipment to enable it to carry out its basic democratic functions CPA-Rec03 CPA-Rec04 IPU-GD
The working conditions of legislators must be adequate and reflect the importance of Parliament as a key democratic institution Parliament must be housed in one or more buildings with the necessary equipment and office space for legislators and their staff including tables chairs and all other necessary office equipment Adequate resources must be allocated to Parliament andor legislators and support services to maintain and equip their facilities Some of the facilities and services which can be reasonably expected to be available to legislators include
bull Offices bull Secretarial services (general andor individual) bull Library and archive facilities bull Research services (to which requests for information can be submitted) and bull Information technology
In its 2002 Report the CPA Study Group highlights the importance of information technology including ldquoimproved networking between legislators and constituents among legislators between legislators and Parliament and better information sharing and record keepingrdquo Information technology can also facilitate access to information and best practices on the broad range of issues which fall under the purview of parliament including human rights socioeconomic rights and gender issues The use of information technology could include the development of intra-parliament networks and of searchable public databases on parliamentary activity as well as the increased access to outside information for legislators PTAS18 Professional Training for Legislators and Staff
Adequate Training Resources must be allocated to training programs both for new legislators and for the continuing education of sitting legislators These programs must be geared towards developing the skills required by parliamentary functions as well as exposing legislators to substantive issues and developments affecting their legislative oversight and representative functions CLHG CPA-CP
Training should be geared towards providing legislators with the specific skills and knowledge necessary to fulfill their parliamentary functions Legislators just like other professionals need continuing education programs and professional development to keep them updated on emerging democracy and governance trends Equally significant is the need to properly train new or incoming legislators on the constitutional rights and obligations of Parliament internal procedures and order of business ethics etc
27
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS19 Adequately-Compensated Research Library and Committee Staff
Support Staff ldquoParliament should be serviced by professional staff independent of the regular public servicerdquo CLHG IPU-GD
Parliamentary support staff in sufficient numbers and with the appropriate professional skills is crucial for an effective institution Parliamentary staff performs duties such as
bull Assisting in bill drafting bull Tracking the status of bills in the legislative process bull Maintaining and in some cases designing web sites bull Producing and drafting documents about the legislature bull Undertaking accounting and various other clerkship duties
High turnover of parliamentary staff requires more money for attracting new competent staff and providing them with the necessary training It is important to ensure that staff is reasonably well compensated to attract good candidates for the job who will retain their jobs longer When vacancies are not rapidly filled parliamentary work can be undermined resulting in misplacement of documents errors and overall inefficiency Parliamentary staff should be independent from other public service offices Their selection promotion and discipline must be clearly defined and reflect merit-based criteria and transparent processes Professional development opportunities and training should be offered to them The longer support staff stay in Parliament the more it benefits the institution especially as it may provide new legislators with the information and support necessary to adapt to their new functions faster
28
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 1 List of Acronyms
Banjul African Charter on Human and Peoplersquos Rights (1986) CEDAW Convention on the Elimination of All Forms of Discrimination
against Women ICERD Convention on the Elimination of All Forms of Racial
Discrimination CLHP Commonwealth Latimer House Principles on the Accountability and Relationship between the Three Branches of Government (2003) CLHG Commonwealth Latimer House Guidelines (1998) CPA Commonwealth Parliamentary Association CPA-Media Parliament and the Media Building an Effective Relationship
CPA (2000) CPA-CP Capetown Principles for an Informed Democracy CPA (2002) CPA-Rec03 Recommendation for an Informed Democracy CPA (2003) CPA-Rec04 Recommendation for Transparent Governance CPA (2004 CSCE Conference on Security and Cooperation in Europe CSCE-CD Copenhagen Document CSCE (1990) CSCE-MD Moscow Document CSCE (1991) ECHR European Convention on Human Rights and Fundamental
Liberties (1951) ECOWAS-P Protocol ASP11202 on Democracy and Good Governance
ECOWAS (2001) IACHR Inter-American Convention on Human Rights (1978) ICCPR International Covenant on Civil and Political Rights (1966) IPU Inter-Parliamentary Union IPU-DD Universal Declaration on Democracy IPU (1997) IPU-GD Guidelines and Duties for the Opposition in Parliament IPU (1999) IPU-Res03 Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World IPU (2003) UPA Union des Parlementaires Africains [African Parliamentary Union] UPA-Res00 Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence Building between Peoples and their Institutions (2000) UNHCHR United Nations High Commissioner for Human Rights Resolution
200047
29
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 2 Bibliography Governmental Documents
bull Commonwealth Latimer House Standards bull Commonwealth Latimer House Guidelines bull Commonwealth Parliamentary Association (CPA) Parliament and the Media
Building an Effective Relationship bull English Bill of Rights 1689 bull Inter-Parliamentary Union (IPU) Guidelines bull ECOWAS Protocol on Democracy and Good Governance Supplementary to the
Protocol Relating to the Mechanism for Conflict Prevention Management Resolution Peacekeeping and Security
bull Protocol on the Privileges and Immunities of the European Communities bull ECPRD Parliamentary Codes of Conduct in Europe (Compilation by the Council
of Europe Parliamentary Assembly) bull IPU Universal Declaration on Democracy bull International Covenant on Civil and Political Rights (ICCPR) bull The African (Banjul) Charter on Human and Peoplersquos Rights bull The Johannesburg Standards National Security Freedom of Expression and
Access to Information bull Document of the Copenhagen Meeting of the Conference on the Human
Dimension of the CSCE 1990 bull Declaration of Principle on Freedom of Expression in Africa bull Union des Parliamentaires Africains on the Role of Parliaments in the
Consolidation of Democracy and Confidence-Building Between the Peoples and their Institutions 23rd Conference in Addis Ababa 24-25 November 2000
bull The Harare Declaration bull IPU Conference of Presiding Officers of National Parliaments bull International Convention on the Elimination of All Forms of Racial
Discrimination bull Convention on the Elimination of All Forms of Discrimination Against Women bull Report of the Ethics Reform Task Force on H Res 168 105th Congress 1st
Session 17 June 1997 (found at httpwwwhousegovethicsethicsreporttxt ) bull Parliamentary Standards and the Wicks Committee Report Standard Note
SNPC2200 24 June 2003 by Ruth Winstone (found at httpwwwparliamentukcommonslibresearchnotessnpc-02200pdf )
bull Committee on Standards in Public Life First Report Cm 2850 Volume 1 11 May 1995 (found at httpwwwarchiveofficial-documentscoukdocumentcm282850285002pdf )
bull Committee on Standards in Public Life Sixth Report Reinforcing Standards Cm 4557 Volume 1 January 2000 (found at httpwwwpublic-standardsgovuk )
bull Committee on Standards in Public Life Eighth Report Cm 5663 Standards of Conduct in the House of Commons November 2002 (found at httpwww-standardsgovukreports8th_reportreporteighthreportpdf
bull African Union Declarations and Decisions
30
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The African Commission Declaration of Principle on Freedom of Expression in Africa
bull United Nations High Commissioner for Human Rights Resolution 200047
Non-Governmental Documents Transparency and Accountability of the Parliament
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Anti-Corruption Commissions Panacea or Real Medicine to Fight Corruption By John Heilbrunn 2004
bull PREM Notes Public Sector No 74 October 2002 Strengthening Oversight by Legislatures (found at httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull PREM Notes Public Sector No63 March 2002 Strengthening Legislatures Implications from Industrial Countries (found at httpwww1worldbankorgpremPREMNotespremnote63pdf )
bull WBI Working Papers Building a Clean Machine Anti-Corruption Coalitions and Sustainable Reforms by Michael Johnston and Sahr J Kpundeh 2002
bull IFES IFES Parliamentary Toolkit Transparency and Accountability Tools for Civil Society
bull PREM Notes Public Sector No59 October 2001 Features and Functions of Supreme Audit Institutions
bull World Bank Institute Improving Governance and Controlling Corruption Towards a Participatory and Action-oriented Approach Grounded on Empirical Rigor October 2001
bull World Bank Towards Transparency in Finance and Governance by Tara Vishwanath and Daniel Kaufman September 6 1999
bull World Bank Institute Pillars of Integrity The Importance of Supreme Audit Institutions in Curbing Corruption by Kenneth M Dye and Rick Stapenhurst 1998
bull Association of Secretaries General of Parliaments (ASGP) Promoting the Work of Parliament Report by Mr Ian Harris Clerk of the House of Representatives of Australia19 Autumn 2000 (found at httpwwwasgpinfodiscussionshtmstudies)
bull USAID Handbook on Legislative Strengthening httpwwwusaidgovour_workdemocracy_and_governancegovhtml
bull Parliamentary Centre Canada Controlling Corruption A Parliamentarianrsquos Handbook httpwwwparlcentcaindex_ephp
bull Parliamentary Centre Canada Parliamentary Accountability and Good Governance httpwwwparlcentcaindex_ephp
19 This report contains a detailed analysis of the answers from a Questionnaire of how the public is provided information about the operation and work of Parliament The review was launched at the Conference of the Association of Secretaries General of Parliaments which was held in Autumn 2000 in Jakarta
31
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Center for Democracy and Governance February 2000 USAID Handbook on Legislative Strengthening
bull Parliamentary Centre Parliamentary Accountability and Good Governance A Parliamentarianrsquos Handbook
bull Parliamentary Centre Forum on Parliamentary Reform bull NEPAD Library Emerging Legislatures in Emerging African Democracies bull Commonwealth Parliamentary Association and World Bank Institute
Recommendations for Transparent Governance Conclusions of a CPA Study Group on Access to Information Accra Ghana 5-9 July 2004
bull GOPAC Parliamentarians Fighting Corruption A Conceptual Overview PCentrefsPCentreSProjectsParliamentary_RelationsGOPACWBI
bull International IDEA Democracy Assessment Questionnaire wwwideaintideas_work14_statedemocracy_assessmentpdf
bull NDI and UNDP Parliaments and Poverty Series Toolkit No1 Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Strengthening the Accountability Process and Parliamentary Reform A Report on the Parliamentary Roundtable Held in Bhurban Pakistan March 1-2 1997
Independence of the Parliament bull NDI Strengthening Legislative Capacity in Legislative-Executive Relations
Paper 6 httpwwwndiorgglobalpgovgovernanceasp bull Venice Commission Opinion on the Draft Proposal for Rules of Procedure of the
Assembly of the Republic of Macedonia by Georg Nolte July 5 2002 bull Venice Commission Report on the Referral of a Law Back to Parliament by the
Head of State November 15 1996 bull AGSP The Role of the Secretary General in the Administration of Parliament
Report by Mr Ugo Zampetti General Secretary of the Chamber of Deputies (Italy) October 2000 Review no 180
bull AGSP Constitutional and Parliamentary Information The Status of Parliamentary Groups
Parliamentary Immunity
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union Part Three Immunity in the European Parliament June 2001
bull Venice Commission Opinion 11995 Report on the Regime of Parliamentary Immunity CDL ndash INF(1996) 007 6496 (found at httpvenicecoeintsitedynamicsN_Opinion_efaspampL=EampOID=1 )
bull Venice Commission Supplementary Opinion on the Revision of the Constitution of Romania October 18 2002
32
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Venice Commission Draft Report ndash The Regime of Parliamentary Immunity April 29 1996
bull Venice Commission Questionnaire on Parliamentary Immunity prepared by Mr GW Maas-Geesteranus June 19 1995
Freedom of Parliamentary Speech
bull AGSP The Immunities of Members of Parliament Report prepared by Mr Robert Myttenaere September 1998
bull AGSP Position of Witnesses before Parliamentary Committees Report prepared by Mr Demaree JB Raval April 1997
Conflict of Interest amp Ethics
bull Parliamentary Affairs A Journal of Comparative Politics Volume 55 No 4 October 2002 Conduct Unbecoming The Regulation of Legislative Ethics in Britain and the United States by Robert Williams
bull Parliamentary Affairs A Journal of Comparative Politics Volume 52 No 3 July 1999 Parliament in the Age of Internet by S Coleman JA Taylor and W Van de Donk
bull European Centre for Parliamentary Research and Documentation (ECPRD) Parliamentary Codes of Conduct in Europe an Overview November 2001
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union June 2001
bull Research Paper Commissioned on behalf of The Committee on Standards in Public Life May 2002 The Regulation of Parliamentary Standards ndash A Comparative Perspective (found at httpwwwpublic-standardsgovukreports8th_reportreportresearchdoc
bull House of Representatives Resolution 168 on the Report of the Ethics Reform Task Force 18 June 1997
bull NDI Accountability Ethics and Transparency in Government Pakistan Study Mission to South Africa June 3 1997
bull NDI Report on Regional Consultative Workshops ndash Ethics Questionnaire August 1998
bull Council of Europe Steering Committee on Local and Regional Democracy (CDLR) Public Ethics at Local Level Model Initiatives Package November 25 2002
bull NDI Legislative Research Series Paper No 4 ndash Legislative Ethics A Comparative Analysis 1999
bull OECD United States Case Study ndash Ethics and Corruption The Management of Ethics and Conduct in the Public Service by Stuart Gilman December 1995
bull OECD Recommendations of the Council on Guidelines for Managing Conflict of Interest in the Public Service June 2003
33
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Sanction and Removal of Legislators bull Venice Commission Comments on the Draft Law of the Chechen Republic on
Elections to the Parliament of the Chechen Republic As Submitted to Referendum by Mr G Nolte March 23 2003
bull Venice Commission Opinion on the Draft Law on the Public Attorney (Ombudsman) of ldquoThe Former Yugoslav Republic of Macedoniardquo March 15 2003
bull Venice Commission Comments on the Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia by Ms Serra Lopes February 28 2003
bull Venice Commission Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia February 2003
bull WBI PREM Notes Public Sector Number 19 April 1999 Using an Ombudsman to oversee Public Officials
bull AGSP The Office of the Parliamentary Ombudsman March 1994 Salaries and Benefits of Legislators
bull AGSP The Social Protection of Parliamentarians Report by Mrs Helene Ponceau General Secretary of the Senate Quaestorrsquos Office [Havana Senate Treasurerrsquos Department] Review No 181 April 2001
Professional Development and Training
bull SADC Parliamentary Forum MPs Orientation Handbook ndash Professional Performance and Development httpwwwsadcpforgaboutindexasp
The Parliament and the Budget Cycle
bull OECD Development Centre Policy Brief No 22 Strengthening Participation in Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD May 2001 OECD Best Practices for Budget Transparency bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and
Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull ASGP The Administrative and Financial Autonomy of Parliamentary Assemblies Report prepared by Michel Couderc (France) adopted at the Moscow Session (September 1998)
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development The Legislature and the Budget by Frederick Stapenhurst 2004 httpwwwworldbankorgwbigovernanceparliament
34
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull WBI Working Papers Series on Contemporary Issues in Parliamentary
Development Parliaments and the PRSP Process by Scott Hubli and Alicia P Mandaville 2004
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull WBI PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull WBI PREM Notes Public Sector Number 74 October 2002 Strengthening Oversight by Legislatures
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull Commonwealth Parliamentary Association (CPA) The Parliamentarian 2002
Issue Two 179 Parliaments and Poverty by Ms Frannie A Lrsquoeautier bull Parliamentary Centre Canada and WBI and CIDA (with support from the
International Development Research Centre) Handbook on Parliamentarians and Policies to Reduce Poverty May 2001
bull Parliamentary Centre Cambodia Focus Group on Parliamentrsquos Role in the Budget Process Analysis
bull Parliamentary Centre Indicators of Parliamentary Performance in the Budget Process
bull The International Budget Project Legislatures and Budget Oversight httpwwwinternationalbudgetorgthemesLEGindexhtm
bull NDI Legislatures and the Budget Process An International Survey 2003 httpwwwndiorgglobalpgovgovernanceasp
bull NDI Parliaments and Poverty Series Toolkit No1 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Parliaments and Poverty Series Toolkit No2 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives
35
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull NDI Parliaments and Poverty Series Toolkit No3 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative Public Outreach on Poverty Issues
bull UNDP IPU WBI and UNIFEM Parliament The Budget and Gender httpwwwundporgdpapublicationsgovernancehtml
bull IMF Finance amp Development Magazine December 2002 Volume 39 Number 4 A Bigger Role for Legislators
bull Case Study PRSPs and Parliament by Stephen Langdon bull Ministry of Foreign Affairs Netherlands March 2002 Economics and Finance
(b) Budget Impact Assessments (Gender Budgeting) bull Cagatay N M Keklik R Lal and J Lang (2000) ldquoBudgets As if People
Mattered Democratizing Macroeconomic Policiesrdquo SEPED Conference Paper Series Number 4 May
bull Navarro Z (1998) ldquoParticipation Democratizing Practices and the Formulation of a Modern Policy ndash the Case of ldquoParticipatory Budgetingrdquo in Porto Alegre Brazil (1989-1998) Development Sage London Volume 41 number 3 September
Representative and Inclusive Parliament
bull Commonwealth Parliamentary Association (CPA) Commonwealth Women Parliamentarians Into The Democratic Mainstream August 2002
bull CPA EnGendering Development and Democracy May 2004 bull IPU and UNDP Guidelines on the Rights and Duties of the Opposition in
Parliament May 19 1999 (Unanimously adopted by the participants at the Parliamentary Seminar on Relations Between Majority and Minority Parties in African Parliaments Libreville (Gabon) 17-19 May 1999)
bull AWEPA European Parliamentarians for Africa OPS7 Parliamentary Gender Handbook South Africa 2001 (found at httpwwwawepaorgdownloadsOPS07-_Parliamentary_Gender_Handbook-_South_Africapdf
Free Elections of Legislators
bull Venice Commission Opinion 2502003 Report on Electoral Systems - Overview of Available Solutions and Selection Criteria Adopted by the Venice Commission at its 57th Plenary Session CDL ndash AD(2004)003 (found at httpvenicecoeintdocs2004CDL-AD(2004)003-easp )
bull Venice Commission Opinion 2392003 Comments on the Draft Law of the Chechen Republic on Elections to the Parliament of the Chechen Republic CDL (2003)021rev (found at httpvenicecoeintdocs2003CDL(2003)021rev-easp )
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Resolution 1320 (2003) httpassemblycoeintDocumentsAdoptedTextTA03ERES1320htm
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Document 9267 15 October 2001
36
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 2 Bibliography 29 ANNEX 3 Draft Indicators for Democratic Parliaments 41 ANNEX 4 Cross-Reference Table 54
3
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
IFES Parliamentary Toolkit
Multiple Uses of an Annual State of the Parliament Report
(i) Making parliamentary transparency and accountability reform a high priority
(ii) Developing broad-based coalitions and parliamentary reform strategies around a common agenda
(iii) Developing concrete action plans designed to implement prioritized legislative reforms based on regional and international best practices
(iv) Providing key stakeholders the media and the public in general with reliable and comprehensive information on the state of the Parliament
(v) Presenting an in-depth analysis of issues related to Parliament
(vi) Presenting prioritized recommendations for the development of reform strategies
(vii) Reporting on the state of the parliament its progress or regression in terms of transparency and accountability and its capacity to undertake its constitutional functions through uniform indicators and monitoring standards
(viii) Increasing ground for more parliamentary resources and donor and technical assistance
(ix) Promoting high-quality empirical research
(x) Providing the tools for a more coordinated strategic action among reformers international organizations and donors
(xi) Promoting more peer pressure among all actors in the reform process
(xii) Enhancing the importance of the Parliament and the legislators
(xiii) Increasing the quality and availability of information on the Parliament
(xiv) Increasing public understanding trust and respect for the Parliament and its members
(xv) Providing stakeholders and civil society with a tool for oversight and advocacy for reform and
(xvi) Qualifying for donor assistance through the Millennium Challenge Account and meeting terms of conditionality through the international financial institutions and development banks and free trade and anti-corruption conventions
4
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
IFES Parliamentary Toolkit
Parliamentary Transparency and Accountability Standards (PTAS)
The Right to Transparent and Accountable Governance Best Practices Standards for Democratic Parliaments
1 Independence of Parliament
2 Free and Fair Parliamentary Elections
3 Transparent Adequate Political Financing and Compensation
4 Representative Parliament
5 Parliamentary Security of Tenure
6 Free Parliamentary Speech
7 Participatory Transparent Law and Policy-Making Processes
8 Transparent Oversight of the Executive
9 Participation in the Formulation and Oversight of the Governmentrsquos
Budget
10 Participation in the Adoption of and Oversight of Compliance with
International Obligations
11 Transparent Efficient Committees
12 Adequate Independent Parliamentary Budget
13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
15 Parliamentary Immunity
16 Parliamentary and Public to Access Information
17 Adequate Facilities Equipment and Technology
18 Professional Training for Legislators and Staff
19 Adequately-Compensated Research Library and Committee Staff
5
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
GLOBAL BEST PRACTICES A MODEL ANNUAL STATE OF THE PARLIAMENT REPORT
A Strategic Tool for Promoting Monitoring and Reporting on Parliamentary Transparency and Accountability Reforms and Engendering Global Debate
ABSTRACT
The unfolding historic democratic global transition is not sustainable without viable democratic legislatures or parliaments The objective of this working white paper is to present a strategic monitoring and reporting framework that can be used by all stakeholders to ensure that parliaments have the capacity independence and support necessary to fulfill their constitutional responsibilities to both the government and the people they are supposed to represent This paper is primarily written for the benefit of and from the perspective of developing and transition countries Towards that end it posits that a minimal set of standards best practices and indicators of progress has emerged from global experience during the wave of democratic reforms that has swept the world over the last several decades While it is acknowledged that most developing and transition countries can not implement all of these standards simultaneously for various reasons it attempts to prioritize and link-up a set of minimal standards among the nineteen captured as being essential building blocks for a solid foundation upon which democracy can be built over time The paper notes that the parliament remains a very weak sister among democratic institutions in virtually all developing and transition countries and it notes that this essential democratic institution needs much more attention and support from reformers officials civil society and the international community
6
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
GLOBAL BEST PRACTICES A MODEL ANNAUL STATE OF THE PARLIAMENT REPORT
A Strategic Tool for Promoting Monitoring and Reporting on Parliamentary Transparency and Accountability Reforms and Engendering Global Debate
1 Overview Country Context and Methodology
a The Functions of Parliament in the Country Context ldquoParliament is the institution that embodies society in the diversity of its composition and its opinions and which relays and channels this diversity in the political process Its vocation is to regulate tensions and maintain equilibrium between the competing claims of diversity and uniformity individuality and collectivity in order to enhance social cohesion and solidarity Its role is to legislate inter alia by allocating financial resources and oversee the action of the Executiverdquo IPU Guidelines1 Number II4
The international consensus recognizes five broad and basic functions to Parliaments namely
Policymaking Lawmaking Oversight of the Executive Constituency representation Political recruitment2
The three most important functions are the representative the lawmaking and the oversight roles3 In order to monitor the state of the Parliament as a way to undertake reforms to strengthen institutional capacity and independence an analysis of compliance with standards of parliamentary structure and activity must be undertaken within the specific country context The analysis of the country-specific context must include
bull Political background bull Constitutional and international rights and obligations bull Relationships between the Parliament the Executive and the Judiciary bull Public perception and public access to Parliament and bull Socioeconomic cultural and traditional context
1 Inter-Parliamentary Union Guidelines on the Rights and Duties of the Opposition in Parliament Libreville (Gabon) 17-19 May 1999 2 Id 3 USAID Handbook on Legislative Strengthening page 1 Executive Summary Center for Democracy and Governance February 2000
7
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Political Background Key Issues
Assessment of the form of government presidential premiership or others Key developments relevant to the independence and capacity of Parliament Assessment of the level of political will to effect parliamentary reform and level
of political space allowed by the Executive for reform The relationship between the government and the opposition parties in
Parliament and The level of party discipline and control of legislators and parliamentary
Committees Constitutional and International Rights and Obligations Key Issues
Constitutional design attribution and scope of each of the three branches of government
Key constitutional and legal provisions designing the shape and functions of the Parliament
Practices that may differ or go beyond legal provisions affecting the Parliament and
International standards and obligations related to parliamentary matters Relationship between Parliament the Executive and the Judiciary Key Issues
Historical relationship between the three branches of government Role of the Parliament in practice as it relates to the other two branches Oversight powers of Parliament over the other two branches of government both
under the law and in practice Overlapping functions between the three branches of government Independence of the Parliament from the Executive and Intra-parliament and inter-institutional relations
Public Perception and Public Access to Parliament Key Issues
Public image of Parliament its members and the parliamentary process Public trust of Parliament Degree of interaction between Parliament and civil society the existence of a
institutional relations office a periodic publication to inform regarding parliamentary issues a parliamentary TV channel etc)
Citizensrsquo capacity to initiate bills Openness of parliamentary meetings and committee hearings Percentage of meetings commonly open to the public Frequency of citizen attendance to public meetings Media coverage of parliamentary issues and Reaction of the Parliament to public perception
8
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Socio-Economic Cultural and Traditional Context Key Issues
Analysis of the socioeconomic situation (ie class structure wealth distribution prevalence of patterns of corruption)
Traditional role of Parliament Traditional status of legislators Role of political parties in recruiting and expressing cultural demands and Degree to which cross-cutting issues such as religion and gender affect the
composition of the Parliament
b Scope of the State of Parliament Report the IFES Parliamentary Transparency and Accountability Standards PTAS4
This paper presents and explains 19 Parliamentary Transparency and Accountability Standards (PTAS) around which an Annual State of Parliament (SOP) report may be developed The PTAS are in part based on the overarching separation of powers principle which means that a democratic legislature should be an independent institution with the capacity resources and governmental and public support to perform its constitutional duties such as lawmaking government oversight and constituency representation in a transparent accountable manner The standards cover a broad range of transparency and accountability issues highlighting the rights and obligations of both the institution as well as its members This model framework presents a set of core standards guiding the design of a democratic Parliament including a targeted set of minimal standards that are designed to establish the foundation for democratic governance and broader sustainable reforms The minimal standards are based largely upon consensus global standards and practices found either in international law or actual democratic global experience This approach acknowledges the fact that most emerging democracies cannot simultaneously implement all of the nineteen (19) standards and that some are more crosscutting and fundamental than others While more debate needs to occur on the minimal principles approach one of the purposes of this paper is to engender this debate by placing them on the global discussion table In effect the paper advances the notion that these standards should be priority reforms in all transition countries and it encourages the inclusion of other priority standards within differing country contexts These crosscutting minimal standards we would like to center the global debate on are PTAS 1 2 6 7 9 10 11 12 and 16 While the other standards are clearly very important implementing these alone in most transition countries will be a very tall task It is also worth noting that these standards also capture some of the others that are closely inter-related such as PTAS 16-19 which are all contingent on having an adequate parliamentary budget (PTAS 12)
4 The Parliamentary Transparency and Accountability Standards are based on the overarching principle of Parliamentary independence distinct from the Executive and Judiciary arms of government and cover issues of transparency and accountability of the institution as well as the members
9
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
The PTAS emerged after a thorough review of international and regional governmental and non-governmental declarations standards guidelines and standards (cited in Annex 2) This review included in-depth analysis of relevant papers studies country and regional surveys and best practices including the work of Parliamentary Associations such as the Commonwealth Parliamentary Association the Canadian Parliamentary Centre the European Parliament and the Inter-Parliamentary Union IFES is now refining the framework in close consultation with a number of these organizations as well as the Consumer Rights Commission of Pakistan where we are developing a report for possible replication throughout the region IFES also reviewed the considerable research and experience of a number of governmental institutions such as the World Bank the National Democratic Institute UNDP USAID the OSCE and the OECD The PTAS are not intended to duplicate the work undertaken by these organizations and others Rather they constitute an attempt to identify consensus Standards which should be found in any democratic Parliament and to present them in a systematic framework Thus the PTAS can be used as the backbone for drafting annual country-specific SOP Reports The model framework for SOP Reports constitutes a component of the IFES Parliamentary Toolkit designed to help civil society and Parliament monitor report on and promote parliamentary transparency and accountability By reporting and monitoring progress against a core set of benchmarks and consensus Standards a SOP Report will assist a diverse range of civil society and governmental stakeholders to prioritize a parliamentary reform agenda in a systematic manner The SOP Report is intended to assess the effectiveness of Parliaments in emerging democracies but also to equip multiple civil society and governmental stakeholders with the information necessary to prioritize and implement parliamentary transparency and accountability reforms
The IFES PTAS and model SOP Framework are grounded in bull International and regional consensus Standards and best practices of
Parliamentary transparency and accountability bull Core international regional and constitutional obligations bull A general overview of the relevant country legal and institutional framework
c Multifaceted Methodology The model SOP framework is designed to lay out the standards and the methodology necessary to assess the transparency accountability and performance of Parliaments around the world against a set of core benchmarks grounded in international and regional best practices The framework captures consensus Parliamentary Transparency and Accountability Standards (PTAS) identified in a series of international and regional treaties declarations guidelines and practices related to the parliamentary structure and
10
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
responsibilities In identifying the PTAS and the framework we sought to include a variety of sources representing a broad consensus The sources are listed in annex Each of the consensus PTAS was disaggregated into qualitative and quantitative indicators5 Indicators designed to assess the level of compliance with each PTAS are a core element of the framework The use of indicators is necessary to obtain a clear picture of where improvements are needed and which achievements and shortcomings affect the Parliament These indicators are not designed to stigmatize countries in comparison to others While the use of a uniform framework and measurements based on indicators will allow for some degree of comparison each Parliament evolves in a set of country-specific circumstances Compliance with the PTAS within a given country-context is the objective of our endeavor Identifying the PTAS and disaggregating them into indicators is an evolving process Standards are slowly emerging as national stakeholders gather in the international arena in search of guidelines to improve independence and efficiency Like new standards emerging indicators can continuously be refined to clarify the contents of each PTAS Standards without indicators are empty concepts which can be interpreted in many different ways depending on the author of the report Indicators help define the PTAS and provide a concrete guide for the assessment of compliance The draft indicators are available in a separate attached document The framework is built around the need to implement and link up key reforms embedded in the PTAS Each country report is developed through a multifaceted methodology that incorporates an array of information resources necessary to assess the level of PTAS compliance (i) desk studies of all relevant laws institutions and international obligations (ii) analysis of existing best practices country studies and research (iii) interviews and surveys of experts and key stakeholders and (iv) analysis of the operation of Parliament in practice The PTAS and their accompanying indicators serve as the guideposts with which to measure implementation progress or regression on a periodic basis While all the PTAS are important and their relevance in the country context varies IFESrsquo working assumption for each report is that certain mutually supportive principles are essential to establishing the legal enabling environment necessary to build an independent accountable Parliament and a Rule of Law culture We also believe that for purposes of capturing global issues lessons learned model programs across borders it is also important for all country reports to uniformly cover a specific set of standards
5 We chose the term ldquoindicatorrdquo because is the most commonly used in the literature on similar topics and we recognize its value In fact we intend to describe and analyze the state and performance of the Parliaments through what can also be called ldquosearch questionsrdquo that will allow to look to the Parliaments uniformly Having indicators will bring coherence and systematization to the national SOP reports
11
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Compiling a National SOP Report The framework was created to serve both as (i) a tool for civil society to monitor parliamentary activity and identify spaces for improvement and participation and (ii) a tool for legislators to assess their own institution Each report should be compiled with the following in mind
Combining a civil society evaluation and a parliamentary self-evaluation will lead to a better report
Sharing information with civil society will be a first step towards strengthening collaborative partnerships between Parliament and the people
The indicators will provide two sorts of data (i) quantitative data such as how many legislators timing of elections number of commissions etc and (ii) qualitative data on the performance of Parliament through an analysis of the processes of parliamentary life and
The PTAS cover to three key aspects of parliamentary operations and activity transparency accountability and efficiency
Assessment of the level of compliance with each PTAS is guided by an examination of relevant laws and practices identified through a survey of legislation and interviews of key stakeholders There are three degrees of compliance
bull Formal compliance (laws and decrees) bull Compliance in practice (effective implementation of laws and decrees as well as
of constitutional and conventional principles) and bull Quality and integrity of the compliance in practice (fair implementation for all)
The Report outlines in the country context the legal and institutional framework within which the judiciary operates The indicators serve as guideposts for the analysis of the level of compliance with each PTAS This analytical process will lead to an overall judgment as to whether there is a ldquosatisfactoryrdquo ldquopartially satisfactoryrdquo or ldquounsatisfactoryrdquo JIP compliance with the possible nuance of ldquoimprovingrdquo or ldquoregressingrdquo and to present prioritized reform recommendations
2 Relevant International and Domestic Legal and Institutional Framework
a International and Regional Obligations IFES has examined various documents relating to the relevant international and regional governmental and non-governmental declarations Standards best practices and guidelines on issues of parliamentary independence transparency and accountability Each annual country-specific SOP Report should present a list of relevant applicable international and regional obligations including
Declarations on democracy and parliamentary independence and best practices guidelines and Standards by international and regional Parliamentary
12
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Associations eg the Commonwealth Latimer House Standards the IPU Declaration on Democracy
International and regional human rights treaties and human rights court and commission case law eg the Universal Declaration of Rights the International Covenant on Civil and Political Rights the UN High Commission on Human Rights Resolution 200047 and
Non-governmental guidelines
b Constitutional Standards Each annual country-specific SOP Report should outline the constitutional Standards related to the separation of powers and parliamentary independence including
The guarantees of parliamentary independence lawmaking powers and other key Standards
The roles of parliamentary committees and of party caucuses The powers to develop amend or review budget and levy taxes The power to question Ministers hold hearings conduct investigations and call
witnesses The power to appoint andor confirm candidates to high-level positions in the
other branches of government The power to access information about government activities and programs6
c Country Legal Framework
In presenting the legal framework each annual country-specific SOP Report should include a review of the relevant applicable legislation and regulations affecting parliamentary transparency and accountability such as
The institutional structure of the Parliament Standing Rules of Order Parliamentary internal regulatory framework Access to information legislation Anticorruption legislation Political party campaign financing regulations and Parliamentary Codes of Ethics and conflict of interest rules
d Country Institutional Framework
In presenting the institutional framework each annual country-specific SOP Report should present a review of the relevant institutional characteristics affecting the Parliament such as
Intra-parliamentary structures bicameralunicameral Committees support services etc
6 USAID Handbook on Legislative Strengthening page 15
13
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Extra-parliamentary structures and governmental relationships Ombudsman political parties Ministry of Justice civil society organizations with watchdog role and
Oversight mechanisms
3 Assessment of the Level of Compliance with the PTAS For each of the PTAS this Model Framework for an annual SOP Report will present
bull Guidelines based on international and regional standards and best practices and
bull Indicators to monitor the level of compliance or non-compliance PTAS1 Independence of Parliament
Institutional Independence Separation of power Standards mandate a Parliament independent from the other two branches of government the Executive and the Judiciary This independence must translate itself into freedom from external pressure and interference In the exercise of its functions Parliament should be subject only to the Constitution and the law CLHP ECOWAS-P UPA-Res00
The institutional independence of Parliaments rests in the doctrine of separation of powers This doctrine is widely accepted internationally as a tenet of democratic societies and is now formally recognized in the Constitutions of most countries7 The separation of powers is either expressly mandated in the Constitution or a document having constitutional value or it is found in the practical organization of the three powers8
Parliament must also be free to legislate and introduce legislation otherwise it is relegated to a rubber-stamping institution for the Executive Finally Parliament must be entrusted with the freedom to organize itself to decide on its own rules of procedures and the proceedings for parliamentary bodies The principle of independence has broader implications Indeed it is now agreed that independence must be recognized to not only Parliament as an institution but also to legislators in the exercise of their functions Both the institution and its members must be free from undue interference and external controls emanating of the other branches of government the Executive and the Judiciary as well as from forces within society such as political parties the private sector the media and others Indeed interferences would
7 ASGP Report dated September 1998 by Michael Couderc The Administrative and financial autonomy of Parliamentary Assemblies page 1 (found at wwwasgpinfopublicationshtm ) The report states that exceptions to this general rule appear the Cyprus Kenya and Switzerland Parliaments 8 Ibid Most countries now have adopted Constitutions but there are some noteworthy exceptions such as the United Kingdom
14
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
render impossible the exercise of the core functions of Parliament lawmaking and oversight In order to be independent legislators must be able to discharge their duties without fear for their physical security or the well being of their families and staff This principle requires the State to provide security services for legislators and to secure the House of Parliament PTAS2 Free and Fair Parliamentary Elections
Parliamentary Elections The process of the election of members of Parliament should be open and transparent allowing for full citizen participation and free of coercion fraud or violence CLHG CSCE-CD ECOWAS-P IPU-DD IPU-Res03 UNHCHR UPA-Res00
The right of everyone to take part in the government of hisher country is expressed through the right to freely choose representatives Parliaments differ in the manner and types of election held to elect members There is an international consensus on the need to provide voting rights for all citizens on the basis of universal equal and secret suffrage so that all voters can choose their representatives in an environment conducive to equality and political competition The different systems include direct and indirect proportional versus single constituency The IPU Declaration on Democracy notes that holding free and fair elections which allow the expression of the peoplersquos will at regular intervals is a key element of democracy This Standard is seen as the best way of guaranteeing representative democracy Whatever the system used elections of legislators must be organized following an open and transparent process There must be full citizen participation without a suggestion of manipulation Legislators should not be required to run for office exclusively under the nomination of a Political party PTAS3 Transparent Adequate Political Financing and Compensation
Political finance The fight against corruption requires the adoption of clear rules for transparent political financing of legislators their campaigns and their political organizations need to be adopted These rules should include transparent compensation as well as the disclosure of campaign account income and assets of legislators Anticorruption Treaties Adequate compensation Legislators should receive adequate salaries and benefits which are comparable to those of equivalent positions in the other branches of government and private sector CLHG IPU-DD
The financing of any parliamentary candidate by his her political party should be transparent and there should be clear written rules and regulations on the types of political financing which are impermissible and illegal and those which are permitted and legal
15
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Clear rules for political party and campaign financing ndash these rules should foster financial transparency and integrity
bull Income and asset disclosure requirements bull Oversight by an independent authority (internal ie Parliamentary Committee or
external) and publication of information To the extent possible political parties and parliamentary candidates should be required to place all contributions above a certain limit in official bank accounts and use these accounts for all campaign expenditures Official bank accounts are accounts which are fully documented and disclosed Disclosure requirements should cover all income assets and expenditures related to the campaign and should be made to an independent official agency Uniform and reliable software will help monitor all income and expenditure during political campaigns The independent official agency should verify and report on the parliamentary campaign finance data Additional independent verifications and reports should be undertaken by civil society to avoid collusion A serious problem in many countries has been the use of parliamentary resources such as office space staff time or funds by incumbents This is a practice which should be seriously discouraged or even outlawed as it constitutes a misuse of funds by parliamentarians Legislators should also be adequately compensated for their work Compensation includes both their salary and any additional benefit granted to workers The adequacy of compensation will be assessed in comparison with the cost of living and the compensation-level of senior officials in the Executive judiciary and private sector Due to high turnover in parliamentary office an appropriate compensation level is important to attract high-quality people and to shield legislators from outside pressure Pension entitlement by virtue of office is a widely recognized right in most Parliaments independently of the diversity of the methods and procedures chosen to implement it A number of other countries in which no recognized pension scheme currently exists for Legislators have indicated that this subject is currently under review (Egypt Lesotho Nigeria Thailand) The great majority of legislators today benefit from social security (sickness maternity invalidity death and industrial injury insurance) coverage while in office This is for the most part organized within the framework of the common labor rights legislation of each country9 Transparency regarding all amounts received by legislators as compensation is necessary to promoting parliamentary accountability and ethics Legislators and if possible their dependents should be required to disclose all their incomes assets and relevant interests to an independent official agency The public should have an opportunity to access information about the salaries and other benefits of the legislators whom they have elected Like with parliamentary campaign finance uniform and reliable software will
9 Helene Ponceau AGSP Report April 2001 This report is based on a questionnaire of the Association of General Secretaries of Parliaments approved at the Berlin session in October 1999 and sent to 56 countries
16
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
help monitor the disclosures and verification and reporting by the independent official agency as well as civil society will foster more transparency and accountability PTAS4 Representative Parliament
Broad-Based Representation An inclusive fully representative Parliament across gender ethnicity political affiliation religion etc is one of the main tenets of a democratic society CLHG CSCE-CD ECOWAS-P IPU-GD IPU-Res03 UNHCHR UPA-Res00
There is increasing consensus at the international level that democratic institutions must be representative of the diversities of society Parliament should therefore be composed of a broad cross-section of society including members of different genders ethnicity political affiliation religion etc Diversity in institutional membership echoes the Standards enshrined in the numerous conventions against discrimination which have been ratified in the past decades10
A broad-based representative Parliament will contribute to the promotion of the right of everyone to take part in government and of all interests to be given expression As noted by the IPU in its Declaration on Democracy ldquoDemocracy is founded on the right of everyone to take part in the management of public affairs it therefore requires the existence of representative institutions at all levels and in particular a Parliament in which all components of society are represented and which has the requisite powers and means to express the will of the people by legislating and overseeing government actionrdquo Some countries have taken additional steps to encourage participation by marginalized groups such as women or minorities For example in Pakistan quotas for gender participation were established 33 quota in direct elections (local) and 17 quota in indirect national elections (legislature and senate) Women membership in the legislature is currently at 21 slightly above the mandatory quota PTAS5 Security of Tenure
Security of tenure ldquoSecurity of Members during their Parliamentary term is fundamental to Parliamentary independencerdquo CLHG CSCE-CD
The legitimacy of Parliament rests on the fact that its membership is rooted in the will of the people who chose representatives in periodic elections In order to guarantee that their will is respected the term of office of legislators must be respected Certain classes of legislators may have life terms (cite House of Lords other examples) but most legislators are elected for fixed terms Exceptionally the tenure of legislators may be terminated but such mechanisms must be narrowly defined and follow clear transparent
10 See for example the International Convention on the Elimination of All Forms of Racial Discrimination [CERD] (1965) and the International Convention on the Elimination of All Forms of Discrimination against Women [CEDAW] (1979)
17
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
legal procedures This may be the case for immunity waivers in case of criminal offences committed by a legislator or of dissolution of parliament by the executive The CLHG lists three requirements to protect the security of tenure of legislators in its guideline number 2
ldquo (a) The expulsion of members from Parliament as a penalty for leaving their parties (floor-crossing) should be viewed as a possible infringement of membersrsquo independence anti-defection measures may be necessary in some jurisdictions to deal with corrupt practices
(b) Laws allowing for the recall of members during their elected term should be viewed with caution as a potential threat to the independence of members
(c) The cessation of membership of a political party of itself should not lead to the loss of a Memberrsquos seatrdquo
PTAS6 Freed Parliamentary Speech
Freedom of Speech The true expression of democracy lies in the right to free speech This should not just be a right guaranteed to the general public but legislators also must be free from censorship and defamation laws that restrict the right to criticize government thereby curtailing parliamentary oversight of the Executive Banjul CLHG CLHP CPA-Media CPA-Rec03 ECHR IACHR ICCPR IPU-GD IPU-DD UPA-Res00
The International Covenant on Civil and Political Rights (ICCPR) expressly states in article 19(1) that everyone shall have the right to hold opinions without interference Article 19(2) guarantees the right to freedom of expression and broadens it to include the freedom to seek receive and impart information and ideas of all kinds regardless of frontiers either orally in writing or in print in the form of art or through any other media of choice These rights are not absolute and may be restricted under specific circumstances as outlined in article 19(3) Most international human rights instruments provide that every individual shall have the right to express and disseminate his opinions within the law Other instruments recognize the right of freedom of expression as an inalienable fundamental right Free speech rights should entitle legislators to
bull Put written and oral questions to members of the government and receive answers to these questions The opposition in Parliament should also be entitled to speaking time proportionate to its numbers in sittings set aside for oral questions
bull Request documents and receive such documents in a timely manner National security concerns constitute one of the main reasons why governments restrict freedom of expression Freedom of expression should not be restricted on public order or national security grounds unless there is a real risk of harm to a legitimate interest and there is a causal link between the risk of harm and the expression
18
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Defamation laws are a serious concern for legislators when seeking to protect or exercise their freedom of expression rights Legislators should be free from improper pressures in the discharge of their functions These improper pressures can be in the form of criminal laws and the use of defamation proceedings restricting legitimate criticism of the government by legislators Criminal defamation laws need to be carefully reviewed Similarly the defense of qualified privilege with respect to reports of parliamentary proceedings should be drawn as broadly as possible to permit full public reporting and discussion of public affairs and offence of contempt of Parliament should be drawn as narrowly as possible There is a need to achieve a balance between the free speech rights of Legislators vis-agrave-vis the government and the publicrsquos right of free speech vis-agrave-vis the Parliament PTAS7 Participatory Transparent Law and Decision-Making Processes
Parliamentary Processes Parliament must be open transparent and accountable to the public in its lawmaking and policymaking functions In this regard the free flow of information from Parliament to its members and the public as well as avenues for effective public participation is fundamental to a democratic Parliament CLHG CLHP ECOWAS-P IPU-GD IPU-Res03 UPA-Res00
Law and policy-making are the primary responsibilities of Parliament as the elected body representing the people The Executive may initiate laws and policies and the Judiciary may be constructive and purposive in the interpretation of legislation neither must be seen as usurping Parliamentrsquos legislative function Ultimately only the Parliament is entitled to adopt laws for the country Consequently legislators should be encouraged to adopt national policies and laws through open processes which allow for consultation and citizen participation Parliamentary processes must be not only transparent but also participatory Participation starts with the right to form democratic political parties and entails the need for transparent and fairness in the electoral process including through appropriate access to funds and free independent and pluralistic media Transparent decision-making and law-making processes create ownership in governance by the public which is necessary in a democratic society The Parliament should implement efficient mechanisms to allow and encourage public participation in the different stages of the law making process From the moment that Parliament receives a bill from the Executive or from the moment a bill is drafted by a committee civil society representatives should have a voice and be consulted Civil society participation will add a fresh look and ensure a better response to community needs Legislators will benefit from input and the resulting laws will better reflect real needs and local buy-in Committees meetings and parliamentary sessions should be usually open to the public Information on meetings and final decisions should be broadly disseminated Parliament should be consulted by the government on important questions affecting the life of the nation war national security human rights economic policy social rights
19
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
labor markets etc This will enable the opposition to take part in the debate and provide its input to the decision-making process The opposition must also be able to raise matters regarding the Constitution with a view to its amendment PTAS8 Transparent Oversight of the Executive
General Oversight One of the core functions of Parliament is to provide a continuous check on the activities of the Executive In performing this oversight function Parliament must follow transparent procedures and respect strict standards of accountability CLHG CLHP IPU-GD UPA-Res00
The separation of powers not only means that each branch of government is independent from the other two but also that mechanisms of checks and balances are in place to avoid abuses and encroachments To that end the Parliament is traditionally entrusted with the responsibility of overseeing the activities of the Executive The Executive as Parliament must follow high standards of accountability transparency and responsibility in the performance of its duties Parliament is responsible for ensuring that these standards are met and for providing adequate mechanisms to challenge the Executive for failure to meet these standards Oversight may take place in the form of periodic questions to the government in a parliamentary sessions or investigations undertaken by parliamentary commissions or votes of confidencenon-confidence Parliamentary procedures should be transparent and allow for public scrutiny Governments should be required to announce publicly within a defined time period their responses to committee investigations PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
Budget Design and Oversight Parliament is traditionally responsibly for adopting the national budget There is a growing international consensus that Parliaments around the world need to make maximum use of existing processes for exerting influence in national budget control scrutiny and accountability IPU-Res03 UPA-Res00
Parliament must have a certain amount of authority to affect the budget otherwise its role in establishing national policy and representing citizen interests will remain limited11 Involvement should extend beyond budget approval and include budget formulation tracking and accountability Unless it has substantial involvement beyond approval Parliament will do no more than rubberstamp the Executiversquos budgetary and policy decisions To promote more accountability in government Parliament should be entitled to monitor income and expenditures especially how effectively government programs and activities are administered
11 USAID Handbook
20
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Parliamentary procedures should therefore provide adequate mechanisms to oversee the Executive including accountability mechanisms targeted at budget development effective money flows budget implementation etc This can be achieved by allowing independent audits of public accounts establishing that the opposition will chair the Public Accounts Committee or a combination of the mechanisms andor others PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
International Obligations and Parliament International treaties carry a general obligation for signatory States to ratify and to adopt all necessary measures for their implementation Both functions should fall on Parliament CLHG CLHP IPU-Res03
The need for governments to respect their international law obligations has become more urgent post World War II particularly as inter-State conflicts are on the rise Legislators as law makers and representatives of the people need to be more proficient in their knowledge and understanding of human rights and humanitarian law instruments including those relating to economic social and cultural rights In a 2000 Declaration the Conference of Presiding Officers of National Parliaments outlined the four inter-connected levels of intervention for Parliaments in relation to international obligations
bull ldquoInfluencing their respective countriesrsquo policy on matters dealt with in the United Nations and other international negotiating forums
bull Keeping themselves informed of the progress and outcome of these negotiations bull Deciding on ratification where the Constitution so foresees of texts and treaties
signed by governments and bull Contributing actively to the subsequent implementation processrdquo12
Parliaments play a central role in adjusting domestic law to international standards According to the legal systems of many countries Parliaments are not only the bodies entitled to ratify international obligations but also the ones responsible for adopting the necessary implementing legislation Many international treaties particularly those related to human rights the environment gender and corruption require that States parties adjust their national legislation to match the minimum standards laid out in the treaties For example United Nations Convention against Corruption (2004) is explicitly applicable to legislators Indeed its scope covers ldquopublic officialsrdquo who are defined as including any person holding parliamentary office in a State party Compliance with this provision and others often requires the adoption of legislation Conventions generally include explicit requirements for the adoption of new laws by national Parliaments
12 Conference of Presiding Officers of National Parliaments organized by the IPU in cooperation with the UN Declaration adopted by at UN Headquarters New York 30 August ndash 1st September 2000
21
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The United Nations Convention against Corruption (2004) establishes that each State party should develop and implement anti-corruption policies
bull The Inter-American Convention against Corruption (1996) requires in its article VII the adoption by State parties of all ldquonecessary legislative or other measures to establish as criminal offences under their domestic law the acts of corruption described in Article VI(1) and to facilitate cooperation among themselves pursuant to this Conventionrdquo
As guardians of the Constitution legislators have an obligation to protect the human rights of people This obligation is reinforced by the requirement to comply with international and regional human rights treaties This obligation to protect and legislate in support of human rights should lead to increased oversight by Parliament in areas in which the Executive has traditional exercised blanket discretionary powers such as national security There has been a growing consensus on the need to shift focus away from military security to broader factors of ldquohuman securityrdquo such as environmental economic social as well as political13 PTAS11 Transparent Efficient Parliamentary Committees
Parliamentary Committees The legislative and oversight functions of Parliament are actually undertaken by Parliamentary Committees the powers and structures of which differ from country to country It is essential for these committees to be properly structured and well funded to enable them to be effective in discharging Parliamentrsquos legislative and policy making functions CLHG CPA-Media CPA-CP CPA-Rec03 CPA-REc04 IPU-GD
Committee structures may vary depending on the size of Parliament its constitutional mandate and other country-specific factors However all committees should have adequate resources both human and financial and have the power to summon witnesses including ministers as necessary to fulfill their mission Committee meetings should be generally open and allow for public attendance and participation Committee reports should be published and made readily available to both the government and the public PTAS12 Adequate Independent Parliamentary Budget
Parliamentary Budget It is the duty of the State to provide adequate resources to enable Parliament to perform its functions properly CLHG
Parliamentary independence and effectiveness to carry out its functions is eroded when Parliament lacks control over its own budget or has inadequate finances to manage its committees and carry out various other internal administrative duties14 Parliament 13 IPU and the Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born Philipp H Fluri amp Anders B Johnsson page 16 (Found at httpwwwdcafchpublicationse-publicationsHandbook_eng ) 14 Indeed without adequate resources for the training of new members secretarial office library and research facilities drafting assistance for bills etc Parliament is handicapped
22
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
should be able to design its own budget based on its needs and negotiate with the Executive the amount allocated to it from the national budget There should be sufficient autonomy over these finances by Parliament to protect the institutional independence and integrity It has been suggested that an all-party committee of members of Parliament should review and administer the parliamentary budget Moreover the parliamentary budget should not be subject to amendment by the Executive15 It is the Parliamentary budget that inter alia funds training of parliamentary support staff ensures that library and research facilities are properly and adequately equipped guarantees that legislators have the necessary support staff to undertake their functions and funds security services PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
Parliamentary Conduct Legislators are required to exhibit and promote high standards of professional conduct in order to reinforce public confidence in Parliament which is fundamental to its independence and legitimacy in a democratic society ANTICORRUPTION TREATIES CLHG CLHP
The CLHG outline three components for a comprehensive ethical framework applicable to Parliament
bull Conflict of interest rules and codes of conduct requiring disclosure of interests bull Access to ethics advisors and bull Restrictions on lobbying and interest group influence
Ethical professional conduct requires legislators not only to conform to high standards of ethics in practice but also to avoid the appearance of impropriety The need for financial transparency by public officials has increasingly gained acceptance as anti-corruption issues have become global Legislatorsrsquo professional and private conduct must be subject to some system of internal codified rules regulating standards of behavior and making disclosure of personal income and assets mandatory Other professions have codes of ethics regulating membersrsquo behavior for example doctors and lawyers Ethical rules should include conflict of interest rules outlining incompatible professional activities or interests such as holding another governmental office and restricting certain ventures such as participation or shareholding in corporations These rules should also require the submission to an independent oversight authority of disclosures of income assets and interests These disclosures should then be publicized for broader ethical monitoring by the public Disclosure of interests will go a long way in establishing institutional integrity trust and respect by the public and effective discharge of duties on the part of legislators as they are fully conscious of the ethical parameters which govern them as a profession 15 Commonwealth Latimer House Guidelines Number VII6
23
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
Discipline Just as other professionals have quasi-judicial bodies to regulate discipline and even remove members there should also be an internal or external authority to sanction legislators conduct investigations and hearings and adopt findings and conclusions There should also be a clear appeals process available to any member aggrieved by a decision CLHG
ldquoThe Committee recommends
bull The House should appoint a person of independent standing who should have a degree of tenure and not be a career member of the House of Commons staff as Parliamentary Commissioner for Standards
bull The Commissioners should have independent discretion to decide whether or not a complaint merits investigation or to initiate an investigationrdquo Recommendations of Committee on Standards in Public Life First Report16
Just as any other citizen legislators should be bound by the law In cases when legislators commit acts contrary to the laws and regulations they expose themselves to disciplinary action and prosecution Moreover there are special conditions only for the status of being public servants that they must observe such as compliance of high standards of ethics assets disclosure and conflict of interest rules There must be a clear system of sanctions for non-compliance with the laws and regulations The disciplinary process in representative bodies is a very sensitive one It should not be used to punish the opposition or dissidents In this sense the existence of an objective internal or external body to sanction legislators is essential to the proper operation of the system An additional problem represents the immunity that all legislators should have The immunity is a protection to ensure that legislators can perform their duties without interference it should not however be used as an excuse to avoid sanctions for common misconducts or crimes PTAS15 Parliamentary Immunity
Immunity Legislators shall enjoy personal immunity from civil suits and criminal prosecution for acts and omissions in the exercise of their functions CLHG ECOWAS-P IPU-GD
Legislators should enjoy some degree of immunity from prosecution or civil suit for acts and omissions in the exercise of their functions However no one should be exempted from accountability The requirements of parliamentary independence from political institutional and societal forces must be balanced against those of public accountability
16 These recommendations were implemented by the House of Commons England A Standing Order setting up the office of Parliamentary Commissioner for Standards was set up on 6 November 1995
24
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Consequently the immunity regime should be strictly regulated especially through the recognition of
bull Clear limited scope of immunity (for example it should not cover acts performed outside of office nor common crimes) and
bull Possibility of waivers in clearly defined cases and following a transparent procedure
Regarding the scope of parliamentary immunity its historical roots lie with the freedom of speech of legislators as recognized in the British and American Bills of Rights The underlying justification for immunity is that it allows legislators to fulfill their mandate without fear of retaliatory measures on account of their positions or votes Legislators must therefore be protected against arrest and detention or civil and criminal prosecution for any acts performed or words spoken while in office or in the conduct of parliamentary affairs Legislators should not be subject to any form of inquiry detention or legal proceedings in respect of opinions expressed or votes cast by them in the performance of their duties Immunity should not be limited to acts or speech within the parliamentary facilities Rather immunity must be interpreted as broadly as possible For example the members of the European Parliament enjoy immunity in their own States in the territories of other Member States and whilst traveling to and from the place of the meeting of the European Parliament However immunity should not be absolute The immunity regime applicable to legislators should provide for the possibility of waiving this immunity in limited circumstances in the interests of justice Immunity is not a privilege benefiting individual members but rather a guarantee protecting the independence of Parliament and its members in their relations with other governmental and private bodies17 Parliamentary privileges must be clearly defined and established by law These immunities are not meant to place legislators above the law but to protect them from possible groundless proceedings or accusations that may be politically motivated The grounds and terms for lifting of immunity must be clearly specified by law so that this may only occur following a decision taken by a competent body on a non-partisan basis PTAS16 Parliamentary and Public Access to Information
Access to Information Legislators as well as the general public must have access to accurate timely information and data including legislation parliamentary procedures governmental data and relevant research data Banjul CLHG CLHP CPA-Media CPA-CP CPA-Rec03 CPA-Rec04 CSCE-CD ECHR IACHR ICCPR IPU-DD IPU-GD IPU-Res03 UNHCHR
17 ECPRD Parliamentary Codes of Conduct in Europe by Veronica Williams November 2001
25
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
The free flow of information is essential in a democratic society Access to information should not only be viewed in relation to the media and civil societyrsquos right to access governmental documents but also in relation to the legislatorsrsquo right to access relevant research and information from the government and other sources Access to information can be facilitated by the use of databases networks and information technology in general The media should be free to report the activities of Parliament and the public should be able to attend parliamentary meetings and Committee sittings where appropriate The CPA encouraged Parliaments ldquoto provide live coverage of their proceedings on a dedicated channel andor onlinerdquo in its Recommendations for an Informed Democracy The environment should be made conducive for civil society organizations the public and multiple stakeholders to exchange information with legislators to enable Parliament to effectively discharge its duties of oversight policy making law making representation and recruitment This could be achieved through the establishment of a public information office within Parliament Bills and Acts of Parliament must be published regularly and should be freely available to the public Indeed the CSCE Copenhagen Document notes that ldquolegislation adopted at the end of a public procedure and regulations will be published that being the condition of their applicability Those texts will be accessible to everyonerdquo In its recommendations following a conference on ldquoWhat Parliament and Legislators Can Dordquo the CPA noted that access should be granted ldquoto basic information and documents produced by the parliamentary process such as access to parliamentary libraries the provision of on-line information and the distribution of Parliamentary speeches promptly after delivery in the Houserdquo18 The type of information available to the public and to legislators should include
bull Attendance and voting records bull Registers of membersrsquo interests bull Bills and Acts of Parliament bull Procedural rules bull Codes of Conduct
Legislators should also have access to parliamentary archives as well as all necessary information and data from the government The IPU Guidelines note that ldquolegislators from the majority and the opposition alike are equally entitled to receive in a timely manner the same information from the governmentrdquo
18 Parliament and The Media Building an Effective Relationship 15-18 February 2000 [CPA-Media]
26
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS17 Adequate Facilities Equipment and Technology
Adequate Infrastructure Parliament should have at a minimum the necessary infrastructure and technical assistance including research capacity adequate facilities and equipment to enable it to carry out its basic democratic functions CPA-Rec03 CPA-Rec04 IPU-GD
The working conditions of legislators must be adequate and reflect the importance of Parliament as a key democratic institution Parliament must be housed in one or more buildings with the necessary equipment and office space for legislators and their staff including tables chairs and all other necessary office equipment Adequate resources must be allocated to Parliament andor legislators and support services to maintain and equip their facilities Some of the facilities and services which can be reasonably expected to be available to legislators include
bull Offices bull Secretarial services (general andor individual) bull Library and archive facilities bull Research services (to which requests for information can be submitted) and bull Information technology
In its 2002 Report the CPA Study Group highlights the importance of information technology including ldquoimproved networking between legislators and constituents among legislators between legislators and Parliament and better information sharing and record keepingrdquo Information technology can also facilitate access to information and best practices on the broad range of issues which fall under the purview of parliament including human rights socioeconomic rights and gender issues The use of information technology could include the development of intra-parliament networks and of searchable public databases on parliamentary activity as well as the increased access to outside information for legislators PTAS18 Professional Training for Legislators and Staff
Adequate Training Resources must be allocated to training programs both for new legislators and for the continuing education of sitting legislators These programs must be geared towards developing the skills required by parliamentary functions as well as exposing legislators to substantive issues and developments affecting their legislative oversight and representative functions CLHG CPA-CP
Training should be geared towards providing legislators with the specific skills and knowledge necessary to fulfill their parliamentary functions Legislators just like other professionals need continuing education programs and professional development to keep them updated on emerging democracy and governance trends Equally significant is the need to properly train new or incoming legislators on the constitutional rights and obligations of Parliament internal procedures and order of business ethics etc
27
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS19 Adequately-Compensated Research Library and Committee Staff
Support Staff ldquoParliament should be serviced by professional staff independent of the regular public servicerdquo CLHG IPU-GD
Parliamentary support staff in sufficient numbers and with the appropriate professional skills is crucial for an effective institution Parliamentary staff performs duties such as
bull Assisting in bill drafting bull Tracking the status of bills in the legislative process bull Maintaining and in some cases designing web sites bull Producing and drafting documents about the legislature bull Undertaking accounting and various other clerkship duties
High turnover of parliamentary staff requires more money for attracting new competent staff and providing them with the necessary training It is important to ensure that staff is reasonably well compensated to attract good candidates for the job who will retain their jobs longer When vacancies are not rapidly filled parliamentary work can be undermined resulting in misplacement of documents errors and overall inefficiency Parliamentary staff should be independent from other public service offices Their selection promotion and discipline must be clearly defined and reflect merit-based criteria and transparent processes Professional development opportunities and training should be offered to them The longer support staff stay in Parliament the more it benefits the institution especially as it may provide new legislators with the information and support necessary to adapt to their new functions faster
28
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 1 List of Acronyms
Banjul African Charter on Human and Peoplersquos Rights (1986) CEDAW Convention on the Elimination of All Forms of Discrimination
against Women ICERD Convention on the Elimination of All Forms of Racial
Discrimination CLHP Commonwealth Latimer House Principles on the Accountability and Relationship between the Three Branches of Government (2003) CLHG Commonwealth Latimer House Guidelines (1998) CPA Commonwealth Parliamentary Association CPA-Media Parliament and the Media Building an Effective Relationship
CPA (2000) CPA-CP Capetown Principles for an Informed Democracy CPA (2002) CPA-Rec03 Recommendation for an Informed Democracy CPA (2003) CPA-Rec04 Recommendation for Transparent Governance CPA (2004 CSCE Conference on Security and Cooperation in Europe CSCE-CD Copenhagen Document CSCE (1990) CSCE-MD Moscow Document CSCE (1991) ECHR European Convention on Human Rights and Fundamental
Liberties (1951) ECOWAS-P Protocol ASP11202 on Democracy and Good Governance
ECOWAS (2001) IACHR Inter-American Convention on Human Rights (1978) ICCPR International Covenant on Civil and Political Rights (1966) IPU Inter-Parliamentary Union IPU-DD Universal Declaration on Democracy IPU (1997) IPU-GD Guidelines and Duties for the Opposition in Parliament IPU (1999) IPU-Res03 Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World IPU (2003) UPA Union des Parlementaires Africains [African Parliamentary Union] UPA-Res00 Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence Building between Peoples and their Institutions (2000) UNHCHR United Nations High Commissioner for Human Rights Resolution
200047
29
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 2 Bibliography Governmental Documents
bull Commonwealth Latimer House Standards bull Commonwealth Latimer House Guidelines bull Commonwealth Parliamentary Association (CPA) Parliament and the Media
Building an Effective Relationship bull English Bill of Rights 1689 bull Inter-Parliamentary Union (IPU) Guidelines bull ECOWAS Protocol on Democracy and Good Governance Supplementary to the
Protocol Relating to the Mechanism for Conflict Prevention Management Resolution Peacekeeping and Security
bull Protocol on the Privileges and Immunities of the European Communities bull ECPRD Parliamentary Codes of Conduct in Europe (Compilation by the Council
of Europe Parliamentary Assembly) bull IPU Universal Declaration on Democracy bull International Covenant on Civil and Political Rights (ICCPR) bull The African (Banjul) Charter on Human and Peoplersquos Rights bull The Johannesburg Standards National Security Freedom of Expression and
Access to Information bull Document of the Copenhagen Meeting of the Conference on the Human
Dimension of the CSCE 1990 bull Declaration of Principle on Freedom of Expression in Africa bull Union des Parliamentaires Africains on the Role of Parliaments in the
Consolidation of Democracy and Confidence-Building Between the Peoples and their Institutions 23rd Conference in Addis Ababa 24-25 November 2000
bull The Harare Declaration bull IPU Conference of Presiding Officers of National Parliaments bull International Convention on the Elimination of All Forms of Racial
Discrimination bull Convention on the Elimination of All Forms of Discrimination Against Women bull Report of the Ethics Reform Task Force on H Res 168 105th Congress 1st
Session 17 June 1997 (found at httpwwwhousegovethicsethicsreporttxt ) bull Parliamentary Standards and the Wicks Committee Report Standard Note
SNPC2200 24 June 2003 by Ruth Winstone (found at httpwwwparliamentukcommonslibresearchnotessnpc-02200pdf )
bull Committee on Standards in Public Life First Report Cm 2850 Volume 1 11 May 1995 (found at httpwwwarchiveofficial-documentscoukdocumentcm282850285002pdf )
bull Committee on Standards in Public Life Sixth Report Reinforcing Standards Cm 4557 Volume 1 January 2000 (found at httpwwwpublic-standardsgovuk )
bull Committee on Standards in Public Life Eighth Report Cm 5663 Standards of Conduct in the House of Commons November 2002 (found at httpwww-standardsgovukreports8th_reportreporteighthreportpdf
bull African Union Declarations and Decisions
30
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The African Commission Declaration of Principle on Freedom of Expression in Africa
bull United Nations High Commissioner for Human Rights Resolution 200047
Non-Governmental Documents Transparency and Accountability of the Parliament
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Anti-Corruption Commissions Panacea or Real Medicine to Fight Corruption By John Heilbrunn 2004
bull PREM Notes Public Sector No 74 October 2002 Strengthening Oversight by Legislatures (found at httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull PREM Notes Public Sector No63 March 2002 Strengthening Legislatures Implications from Industrial Countries (found at httpwww1worldbankorgpremPREMNotespremnote63pdf )
bull WBI Working Papers Building a Clean Machine Anti-Corruption Coalitions and Sustainable Reforms by Michael Johnston and Sahr J Kpundeh 2002
bull IFES IFES Parliamentary Toolkit Transparency and Accountability Tools for Civil Society
bull PREM Notes Public Sector No59 October 2001 Features and Functions of Supreme Audit Institutions
bull World Bank Institute Improving Governance and Controlling Corruption Towards a Participatory and Action-oriented Approach Grounded on Empirical Rigor October 2001
bull World Bank Towards Transparency in Finance and Governance by Tara Vishwanath and Daniel Kaufman September 6 1999
bull World Bank Institute Pillars of Integrity The Importance of Supreme Audit Institutions in Curbing Corruption by Kenneth M Dye and Rick Stapenhurst 1998
bull Association of Secretaries General of Parliaments (ASGP) Promoting the Work of Parliament Report by Mr Ian Harris Clerk of the House of Representatives of Australia19 Autumn 2000 (found at httpwwwasgpinfodiscussionshtmstudies)
bull USAID Handbook on Legislative Strengthening httpwwwusaidgovour_workdemocracy_and_governancegovhtml
bull Parliamentary Centre Canada Controlling Corruption A Parliamentarianrsquos Handbook httpwwwparlcentcaindex_ephp
bull Parliamentary Centre Canada Parliamentary Accountability and Good Governance httpwwwparlcentcaindex_ephp
19 This report contains a detailed analysis of the answers from a Questionnaire of how the public is provided information about the operation and work of Parliament The review was launched at the Conference of the Association of Secretaries General of Parliaments which was held in Autumn 2000 in Jakarta
31
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Center for Democracy and Governance February 2000 USAID Handbook on Legislative Strengthening
bull Parliamentary Centre Parliamentary Accountability and Good Governance A Parliamentarianrsquos Handbook
bull Parliamentary Centre Forum on Parliamentary Reform bull NEPAD Library Emerging Legislatures in Emerging African Democracies bull Commonwealth Parliamentary Association and World Bank Institute
Recommendations for Transparent Governance Conclusions of a CPA Study Group on Access to Information Accra Ghana 5-9 July 2004
bull GOPAC Parliamentarians Fighting Corruption A Conceptual Overview PCentrefsPCentreSProjectsParliamentary_RelationsGOPACWBI
bull International IDEA Democracy Assessment Questionnaire wwwideaintideas_work14_statedemocracy_assessmentpdf
bull NDI and UNDP Parliaments and Poverty Series Toolkit No1 Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Strengthening the Accountability Process and Parliamentary Reform A Report on the Parliamentary Roundtable Held in Bhurban Pakistan March 1-2 1997
Independence of the Parliament bull NDI Strengthening Legislative Capacity in Legislative-Executive Relations
Paper 6 httpwwwndiorgglobalpgovgovernanceasp bull Venice Commission Opinion on the Draft Proposal for Rules of Procedure of the
Assembly of the Republic of Macedonia by Georg Nolte July 5 2002 bull Venice Commission Report on the Referral of a Law Back to Parliament by the
Head of State November 15 1996 bull AGSP The Role of the Secretary General in the Administration of Parliament
Report by Mr Ugo Zampetti General Secretary of the Chamber of Deputies (Italy) October 2000 Review no 180
bull AGSP Constitutional and Parliamentary Information The Status of Parliamentary Groups
Parliamentary Immunity
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union Part Three Immunity in the European Parliament June 2001
bull Venice Commission Opinion 11995 Report on the Regime of Parliamentary Immunity CDL ndash INF(1996) 007 6496 (found at httpvenicecoeintsitedynamicsN_Opinion_efaspampL=EampOID=1 )
bull Venice Commission Supplementary Opinion on the Revision of the Constitution of Romania October 18 2002
32
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Venice Commission Draft Report ndash The Regime of Parliamentary Immunity April 29 1996
bull Venice Commission Questionnaire on Parliamentary Immunity prepared by Mr GW Maas-Geesteranus June 19 1995
Freedom of Parliamentary Speech
bull AGSP The Immunities of Members of Parliament Report prepared by Mr Robert Myttenaere September 1998
bull AGSP Position of Witnesses before Parliamentary Committees Report prepared by Mr Demaree JB Raval April 1997
Conflict of Interest amp Ethics
bull Parliamentary Affairs A Journal of Comparative Politics Volume 55 No 4 October 2002 Conduct Unbecoming The Regulation of Legislative Ethics in Britain and the United States by Robert Williams
bull Parliamentary Affairs A Journal of Comparative Politics Volume 52 No 3 July 1999 Parliament in the Age of Internet by S Coleman JA Taylor and W Van de Donk
bull European Centre for Parliamentary Research and Documentation (ECPRD) Parliamentary Codes of Conduct in Europe an Overview November 2001
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union June 2001
bull Research Paper Commissioned on behalf of The Committee on Standards in Public Life May 2002 The Regulation of Parliamentary Standards ndash A Comparative Perspective (found at httpwwwpublic-standardsgovukreports8th_reportreportresearchdoc
bull House of Representatives Resolution 168 on the Report of the Ethics Reform Task Force 18 June 1997
bull NDI Accountability Ethics and Transparency in Government Pakistan Study Mission to South Africa June 3 1997
bull NDI Report on Regional Consultative Workshops ndash Ethics Questionnaire August 1998
bull Council of Europe Steering Committee on Local and Regional Democracy (CDLR) Public Ethics at Local Level Model Initiatives Package November 25 2002
bull NDI Legislative Research Series Paper No 4 ndash Legislative Ethics A Comparative Analysis 1999
bull OECD United States Case Study ndash Ethics and Corruption The Management of Ethics and Conduct in the Public Service by Stuart Gilman December 1995
bull OECD Recommendations of the Council on Guidelines for Managing Conflict of Interest in the Public Service June 2003
33
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Sanction and Removal of Legislators bull Venice Commission Comments on the Draft Law of the Chechen Republic on
Elections to the Parliament of the Chechen Republic As Submitted to Referendum by Mr G Nolte March 23 2003
bull Venice Commission Opinion on the Draft Law on the Public Attorney (Ombudsman) of ldquoThe Former Yugoslav Republic of Macedoniardquo March 15 2003
bull Venice Commission Comments on the Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia by Ms Serra Lopes February 28 2003
bull Venice Commission Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia February 2003
bull WBI PREM Notes Public Sector Number 19 April 1999 Using an Ombudsman to oversee Public Officials
bull AGSP The Office of the Parliamentary Ombudsman March 1994 Salaries and Benefits of Legislators
bull AGSP The Social Protection of Parliamentarians Report by Mrs Helene Ponceau General Secretary of the Senate Quaestorrsquos Office [Havana Senate Treasurerrsquos Department] Review No 181 April 2001
Professional Development and Training
bull SADC Parliamentary Forum MPs Orientation Handbook ndash Professional Performance and Development httpwwwsadcpforgaboutindexasp
The Parliament and the Budget Cycle
bull OECD Development Centre Policy Brief No 22 Strengthening Participation in Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD May 2001 OECD Best Practices for Budget Transparency bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and
Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull ASGP The Administrative and Financial Autonomy of Parliamentary Assemblies Report prepared by Michel Couderc (France) adopted at the Moscow Session (September 1998)
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development The Legislature and the Budget by Frederick Stapenhurst 2004 httpwwwworldbankorgwbigovernanceparliament
34
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull WBI Working Papers Series on Contemporary Issues in Parliamentary
Development Parliaments and the PRSP Process by Scott Hubli and Alicia P Mandaville 2004
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull WBI PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull WBI PREM Notes Public Sector Number 74 October 2002 Strengthening Oversight by Legislatures
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull Commonwealth Parliamentary Association (CPA) The Parliamentarian 2002
Issue Two 179 Parliaments and Poverty by Ms Frannie A Lrsquoeautier bull Parliamentary Centre Canada and WBI and CIDA (with support from the
International Development Research Centre) Handbook on Parliamentarians and Policies to Reduce Poverty May 2001
bull Parliamentary Centre Cambodia Focus Group on Parliamentrsquos Role in the Budget Process Analysis
bull Parliamentary Centre Indicators of Parliamentary Performance in the Budget Process
bull The International Budget Project Legislatures and Budget Oversight httpwwwinternationalbudgetorgthemesLEGindexhtm
bull NDI Legislatures and the Budget Process An International Survey 2003 httpwwwndiorgglobalpgovgovernanceasp
bull NDI Parliaments and Poverty Series Toolkit No1 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Parliaments and Poverty Series Toolkit No2 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives
35
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull NDI Parliaments and Poverty Series Toolkit No3 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative Public Outreach on Poverty Issues
bull UNDP IPU WBI and UNIFEM Parliament The Budget and Gender httpwwwundporgdpapublicationsgovernancehtml
bull IMF Finance amp Development Magazine December 2002 Volume 39 Number 4 A Bigger Role for Legislators
bull Case Study PRSPs and Parliament by Stephen Langdon bull Ministry of Foreign Affairs Netherlands March 2002 Economics and Finance
(b) Budget Impact Assessments (Gender Budgeting) bull Cagatay N M Keklik R Lal and J Lang (2000) ldquoBudgets As if People
Mattered Democratizing Macroeconomic Policiesrdquo SEPED Conference Paper Series Number 4 May
bull Navarro Z (1998) ldquoParticipation Democratizing Practices and the Formulation of a Modern Policy ndash the Case of ldquoParticipatory Budgetingrdquo in Porto Alegre Brazil (1989-1998) Development Sage London Volume 41 number 3 September
Representative and Inclusive Parliament
bull Commonwealth Parliamentary Association (CPA) Commonwealth Women Parliamentarians Into The Democratic Mainstream August 2002
bull CPA EnGendering Development and Democracy May 2004 bull IPU and UNDP Guidelines on the Rights and Duties of the Opposition in
Parliament May 19 1999 (Unanimously adopted by the participants at the Parliamentary Seminar on Relations Between Majority and Minority Parties in African Parliaments Libreville (Gabon) 17-19 May 1999)
bull AWEPA European Parliamentarians for Africa OPS7 Parliamentary Gender Handbook South Africa 2001 (found at httpwwwawepaorgdownloadsOPS07-_Parliamentary_Gender_Handbook-_South_Africapdf
Free Elections of Legislators
bull Venice Commission Opinion 2502003 Report on Electoral Systems - Overview of Available Solutions and Selection Criteria Adopted by the Venice Commission at its 57th Plenary Session CDL ndash AD(2004)003 (found at httpvenicecoeintdocs2004CDL-AD(2004)003-easp )
bull Venice Commission Opinion 2392003 Comments on the Draft Law of the Chechen Republic on Elections to the Parliament of the Chechen Republic CDL (2003)021rev (found at httpvenicecoeintdocs2003CDL(2003)021rev-easp )
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Resolution 1320 (2003) httpassemblycoeintDocumentsAdoptedTextTA03ERES1320htm
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Document 9267 15 October 2001
36
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
IFES Parliamentary Toolkit
Multiple Uses of an Annual State of the Parliament Report
(i) Making parliamentary transparency and accountability reform a high priority
(ii) Developing broad-based coalitions and parliamentary reform strategies around a common agenda
(iii) Developing concrete action plans designed to implement prioritized legislative reforms based on regional and international best practices
(iv) Providing key stakeholders the media and the public in general with reliable and comprehensive information on the state of the Parliament
(v) Presenting an in-depth analysis of issues related to Parliament
(vi) Presenting prioritized recommendations for the development of reform strategies
(vii) Reporting on the state of the parliament its progress or regression in terms of transparency and accountability and its capacity to undertake its constitutional functions through uniform indicators and monitoring standards
(viii) Increasing ground for more parliamentary resources and donor and technical assistance
(ix) Promoting high-quality empirical research
(x) Providing the tools for a more coordinated strategic action among reformers international organizations and donors
(xi) Promoting more peer pressure among all actors in the reform process
(xii) Enhancing the importance of the Parliament and the legislators
(xiii) Increasing the quality and availability of information on the Parliament
(xiv) Increasing public understanding trust and respect for the Parliament and its members
(xv) Providing stakeholders and civil society with a tool for oversight and advocacy for reform and
(xvi) Qualifying for donor assistance through the Millennium Challenge Account and meeting terms of conditionality through the international financial institutions and development banks and free trade and anti-corruption conventions
4
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
IFES Parliamentary Toolkit
Parliamentary Transparency and Accountability Standards (PTAS)
The Right to Transparent and Accountable Governance Best Practices Standards for Democratic Parliaments
1 Independence of Parliament
2 Free and Fair Parliamentary Elections
3 Transparent Adequate Political Financing and Compensation
4 Representative Parliament
5 Parliamentary Security of Tenure
6 Free Parliamentary Speech
7 Participatory Transparent Law and Policy-Making Processes
8 Transparent Oversight of the Executive
9 Participation in the Formulation and Oversight of the Governmentrsquos
Budget
10 Participation in the Adoption of and Oversight of Compliance with
International Obligations
11 Transparent Efficient Committees
12 Adequate Independent Parliamentary Budget
13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
15 Parliamentary Immunity
16 Parliamentary and Public to Access Information
17 Adequate Facilities Equipment and Technology
18 Professional Training for Legislators and Staff
19 Adequately-Compensated Research Library and Committee Staff
5
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
GLOBAL BEST PRACTICES A MODEL ANNUAL STATE OF THE PARLIAMENT REPORT
A Strategic Tool for Promoting Monitoring and Reporting on Parliamentary Transparency and Accountability Reforms and Engendering Global Debate
ABSTRACT
The unfolding historic democratic global transition is not sustainable without viable democratic legislatures or parliaments The objective of this working white paper is to present a strategic monitoring and reporting framework that can be used by all stakeholders to ensure that parliaments have the capacity independence and support necessary to fulfill their constitutional responsibilities to both the government and the people they are supposed to represent This paper is primarily written for the benefit of and from the perspective of developing and transition countries Towards that end it posits that a minimal set of standards best practices and indicators of progress has emerged from global experience during the wave of democratic reforms that has swept the world over the last several decades While it is acknowledged that most developing and transition countries can not implement all of these standards simultaneously for various reasons it attempts to prioritize and link-up a set of minimal standards among the nineteen captured as being essential building blocks for a solid foundation upon which democracy can be built over time The paper notes that the parliament remains a very weak sister among democratic institutions in virtually all developing and transition countries and it notes that this essential democratic institution needs much more attention and support from reformers officials civil society and the international community
6
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
GLOBAL BEST PRACTICES A MODEL ANNAUL STATE OF THE PARLIAMENT REPORT
A Strategic Tool for Promoting Monitoring and Reporting on Parliamentary Transparency and Accountability Reforms and Engendering Global Debate
1 Overview Country Context and Methodology
a The Functions of Parliament in the Country Context ldquoParliament is the institution that embodies society in the diversity of its composition and its opinions and which relays and channels this diversity in the political process Its vocation is to regulate tensions and maintain equilibrium between the competing claims of diversity and uniformity individuality and collectivity in order to enhance social cohesion and solidarity Its role is to legislate inter alia by allocating financial resources and oversee the action of the Executiverdquo IPU Guidelines1 Number II4
The international consensus recognizes five broad and basic functions to Parliaments namely
Policymaking Lawmaking Oversight of the Executive Constituency representation Political recruitment2
The three most important functions are the representative the lawmaking and the oversight roles3 In order to monitor the state of the Parliament as a way to undertake reforms to strengthen institutional capacity and independence an analysis of compliance with standards of parliamentary structure and activity must be undertaken within the specific country context The analysis of the country-specific context must include
bull Political background bull Constitutional and international rights and obligations bull Relationships between the Parliament the Executive and the Judiciary bull Public perception and public access to Parliament and bull Socioeconomic cultural and traditional context
1 Inter-Parliamentary Union Guidelines on the Rights and Duties of the Opposition in Parliament Libreville (Gabon) 17-19 May 1999 2 Id 3 USAID Handbook on Legislative Strengthening page 1 Executive Summary Center for Democracy and Governance February 2000
7
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Political Background Key Issues
Assessment of the form of government presidential premiership or others Key developments relevant to the independence and capacity of Parliament Assessment of the level of political will to effect parliamentary reform and level
of political space allowed by the Executive for reform The relationship between the government and the opposition parties in
Parliament and The level of party discipline and control of legislators and parliamentary
Committees Constitutional and International Rights and Obligations Key Issues
Constitutional design attribution and scope of each of the three branches of government
Key constitutional and legal provisions designing the shape and functions of the Parliament
Practices that may differ or go beyond legal provisions affecting the Parliament and
International standards and obligations related to parliamentary matters Relationship between Parliament the Executive and the Judiciary Key Issues
Historical relationship between the three branches of government Role of the Parliament in practice as it relates to the other two branches Oversight powers of Parliament over the other two branches of government both
under the law and in practice Overlapping functions between the three branches of government Independence of the Parliament from the Executive and Intra-parliament and inter-institutional relations
Public Perception and Public Access to Parliament Key Issues
Public image of Parliament its members and the parliamentary process Public trust of Parliament Degree of interaction between Parliament and civil society the existence of a
institutional relations office a periodic publication to inform regarding parliamentary issues a parliamentary TV channel etc)
Citizensrsquo capacity to initiate bills Openness of parliamentary meetings and committee hearings Percentage of meetings commonly open to the public Frequency of citizen attendance to public meetings Media coverage of parliamentary issues and Reaction of the Parliament to public perception
8
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Socio-Economic Cultural and Traditional Context Key Issues
Analysis of the socioeconomic situation (ie class structure wealth distribution prevalence of patterns of corruption)
Traditional role of Parliament Traditional status of legislators Role of political parties in recruiting and expressing cultural demands and Degree to which cross-cutting issues such as religion and gender affect the
composition of the Parliament
b Scope of the State of Parliament Report the IFES Parliamentary Transparency and Accountability Standards PTAS4
This paper presents and explains 19 Parliamentary Transparency and Accountability Standards (PTAS) around which an Annual State of Parliament (SOP) report may be developed The PTAS are in part based on the overarching separation of powers principle which means that a democratic legislature should be an independent institution with the capacity resources and governmental and public support to perform its constitutional duties such as lawmaking government oversight and constituency representation in a transparent accountable manner The standards cover a broad range of transparency and accountability issues highlighting the rights and obligations of both the institution as well as its members This model framework presents a set of core standards guiding the design of a democratic Parliament including a targeted set of minimal standards that are designed to establish the foundation for democratic governance and broader sustainable reforms The minimal standards are based largely upon consensus global standards and practices found either in international law or actual democratic global experience This approach acknowledges the fact that most emerging democracies cannot simultaneously implement all of the nineteen (19) standards and that some are more crosscutting and fundamental than others While more debate needs to occur on the minimal principles approach one of the purposes of this paper is to engender this debate by placing them on the global discussion table In effect the paper advances the notion that these standards should be priority reforms in all transition countries and it encourages the inclusion of other priority standards within differing country contexts These crosscutting minimal standards we would like to center the global debate on are PTAS 1 2 6 7 9 10 11 12 and 16 While the other standards are clearly very important implementing these alone in most transition countries will be a very tall task It is also worth noting that these standards also capture some of the others that are closely inter-related such as PTAS 16-19 which are all contingent on having an adequate parliamentary budget (PTAS 12)
4 The Parliamentary Transparency and Accountability Standards are based on the overarching principle of Parliamentary independence distinct from the Executive and Judiciary arms of government and cover issues of transparency and accountability of the institution as well as the members
9
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
The PTAS emerged after a thorough review of international and regional governmental and non-governmental declarations standards guidelines and standards (cited in Annex 2) This review included in-depth analysis of relevant papers studies country and regional surveys and best practices including the work of Parliamentary Associations such as the Commonwealth Parliamentary Association the Canadian Parliamentary Centre the European Parliament and the Inter-Parliamentary Union IFES is now refining the framework in close consultation with a number of these organizations as well as the Consumer Rights Commission of Pakistan where we are developing a report for possible replication throughout the region IFES also reviewed the considerable research and experience of a number of governmental institutions such as the World Bank the National Democratic Institute UNDP USAID the OSCE and the OECD The PTAS are not intended to duplicate the work undertaken by these organizations and others Rather they constitute an attempt to identify consensus Standards which should be found in any democratic Parliament and to present them in a systematic framework Thus the PTAS can be used as the backbone for drafting annual country-specific SOP Reports The model framework for SOP Reports constitutes a component of the IFES Parliamentary Toolkit designed to help civil society and Parliament monitor report on and promote parliamentary transparency and accountability By reporting and monitoring progress against a core set of benchmarks and consensus Standards a SOP Report will assist a diverse range of civil society and governmental stakeholders to prioritize a parliamentary reform agenda in a systematic manner The SOP Report is intended to assess the effectiveness of Parliaments in emerging democracies but also to equip multiple civil society and governmental stakeholders with the information necessary to prioritize and implement parliamentary transparency and accountability reforms
The IFES PTAS and model SOP Framework are grounded in bull International and regional consensus Standards and best practices of
Parliamentary transparency and accountability bull Core international regional and constitutional obligations bull A general overview of the relevant country legal and institutional framework
c Multifaceted Methodology The model SOP framework is designed to lay out the standards and the methodology necessary to assess the transparency accountability and performance of Parliaments around the world against a set of core benchmarks grounded in international and regional best practices The framework captures consensus Parliamentary Transparency and Accountability Standards (PTAS) identified in a series of international and regional treaties declarations guidelines and practices related to the parliamentary structure and
10
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
responsibilities In identifying the PTAS and the framework we sought to include a variety of sources representing a broad consensus The sources are listed in annex Each of the consensus PTAS was disaggregated into qualitative and quantitative indicators5 Indicators designed to assess the level of compliance with each PTAS are a core element of the framework The use of indicators is necessary to obtain a clear picture of where improvements are needed and which achievements and shortcomings affect the Parliament These indicators are not designed to stigmatize countries in comparison to others While the use of a uniform framework and measurements based on indicators will allow for some degree of comparison each Parliament evolves in a set of country-specific circumstances Compliance with the PTAS within a given country-context is the objective of our endeavor Identifying the PTAS and disaggregating them into indicators is an evolving process Standards are slowly emerging as national stakeholders gather in the international arena in search of guidelines to improve independence and efficiency Like new standards emerging indicators can continuously be refined to clarify the contents of each PTAS Standards without indicators are empty concepts which can be interpreted in many different ways depending on the author of the report Indicators help define the PTAS and provide a concrete guide for the assessment of compliance The draft indicators are available in a separate attached document The framework is built around the need to implement and link up key reforms embedded in the PTAS Each country report is developed through a multifaceted methodology that incorporates an array of information resources necessary to assess the level of PTAS compliance (i) desk studies of all relevant laws institutions and international obligations (ii) analysis of existing best practices country studies and research (iii) interviews and surveys of experts and key stakeholders and (iv) analysis of the operation of Parliament in practice The PTAS and their accompanying indicators serve as the guideposts with which to measure implementation progress or regression on a periodic basis While all the PTAS are important and their relevance in the country context varies IFESrsquo working assumption for each report is that certain mutually supportive principles are essential to establishing the legal enabling environment necessary to build an independent accountable Parliament and a Rule of Law culture We also believe that for purposes of capturing global issues lessons learned model programs across borders it is also important for all country reports to uniformly cover a specific set of standards
5 We chose the term ldquoindicatorrdquo because is the most commonly used in the literature on similar topics and we recognize its value In fact we intend to describe and analyze the state and performance of the Parliaments through what can also be called ldquosearch questionsrdquo that will allow to look to the Parliaments uniformly Having indicators will bring coherence and systematization to the national SOP reports
11
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Compiling a National SOP Report The framework was created to serve both as (i) a tool for civil society to monitor parliamentary activity and identify spaces for improvement and participation and (ii) a tool for legislators to assess their own institution Each report should be compiled with the following in mind
Combining a civil society evaluation and a parliamentary self-evaluation will lead to a better report
Sharing information with civil society will be a first step towards strengthening collaborative partnerships between Parliament and the people
The indicators will provide two sorts of data (i) quantitative data such as how many legislators timing of elections number of commissions etc and (ii) qualitative data on the performance of Parliament through an analysis of the processes of parliamentary life and
The PTAS cover to three key aspects of parliamentary operations and activity transparency accountability and efficiency
Assessment of the level of compliance with each PTAS is guided by an examination of relevant laws and practices identified through a survey of legislation and interviews of key stakeholders There are three degrees of compliance
bull Formal compliance (laws and decrees) bull Compliance in practice (effective implementation of laws and decrees as well as
of constitutional and conventional principles) and bull Quality and integrity of the compliance in practice (fair implementation for all)
The Report outlines in the country context the legal and institutional framework within which the judiciary operates The indicators serve as guideposts for the analysis of the level of compliance with each PTAS This analytical process will lead to an overall judgment as to whether there is a ldquosatisfactoryrdquo ldquopartially satisfactoryrdquo or ldquounsatisfactoryrdquo JIP compliance with the possible nuance of ldquoimprovingrdquo or ldquoregressingrdquo and to present prioritized reform recommendations
2 Relevant International and Domestic Legal and Institutional Framework
a International and Regional Obligations IFES has examined various documents relating to the relevant international and regional governmental and non-governmental declarations Standards best practices and guidelines on issues of parliamentary independence transparency and accountability Each annual country-specific SOP Report should present a list of relevant applicable international and regional obligations including
Declarations on democracy and parliamentary independence and best practices guidelines and Standards by international and regional Parliamentary
12
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Associations eg the Commonwealth Latimer House Standards the IPU Declaration on Democracy
International and regional human rights treaties and human rights court and commission case law eg the Universal Declaration of Rights the International Covenant on Civil and Political Rights the UN High Commission on Human Rights Resolution 200047 and
Non-governmental guidelines
b Constitutional Standards Each annual country-specific SOP Report should outline the constitutional Standards related to the separation of powers and parliamentary independence including
The guarantees of parliamentary independence lawmaking powers and other key Standards
The roles of parliamentary committees and of party caucuses The powers to develop amend or review budget and levy taxes The power to question Ministers hold hearings conduct investigations and call
witnesses The power to appoint andor confirm candidates to high-level positions in the
other branches of government The power to access information about government activities and programs6
c Country Legal Framework
In presenting the legal framework each annual country-specific SOP Report should include a review of the relevant applicable legislation and regulations affecting parliamentary transparency and accountability such as
The institutional structure of the Parliament Standing Rules of Order Parliamentary internal regulatory framework Access to information legislation Anticorruption legislation Political party campaign financing regulations and Parliamentary Codes of Ethics and conflict of interest rules
d Country Institutional Framework
In presenting the institutional framework each annual country-specific SOP Report should present a review of the relevant institutional characteristics affecting the Parliament such as
Intra-parliamentary structures bicameralunicameral Committees support services etc
6 USAID Handbook on Legislative Strengthening page 15
13
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Extra-parliamentary structures and governmental relationships Ombudsman political parties Ministry of Justice civil society organizations with watchdog role and
Oversight mechanisms
3 Assessment of the Level of Compliance with the PTAS For each of the PTAS this Model Framework for an annual SOP Report will present
bull Guidelines based on international and regional standards and best practices and
bull Indicators to monitor the level of compliance or non-compliance PTAS1 Independence of Parliament
Institutional Independence Separation of power Standards mandate a Parliament independent from the other two branches of government the Executive and the Judiciary This independence must translate itself into freedom from external pressure and interference In the exercise of its functions Parliament should be subject only to the Constitution and the law CLHP ECOWAS-P UPA-Res00
The institutional independence of Parliaments rests in the doctrine of separation of powers This doctrine is widely accepted internationally as a tenet of democratic societies and is now formally recognized in the Constitutions of most countries7 The separation of powers is either expressly mandated in the Constitution or a document having constitutional value or it is found in the practical organization of the three powers8
Parliament must also be free to legislate and introduce legislation otherwise it is relegated to a rubber-stamping institution for the Executive Finally Parliament must be entrusted with the freedom to organize itself to decide on its own rules of procedures and the proceedings for parliamentary bodies The principle of independence has broader implications Indeed it is now agreed that independence must be recognized to not only Parliament as an institution but also to legislators in the exercise of their functions Both the institution and its members must be free from undue interference and external controls emanating of the other branches of government the Executive and the Judiciary as well as from forces within society such as political parties the private sector the media and others Indeed interferences would
7 ASGP Report dated September 1998 by Michael Couderc The Administrative and financial autonomy of Parliamentary Assemblies page 1 (found at wwwasgpinfopublicationshtm ) The report states that exceptions to this general rule appear the Cyprus Kenya and Switzerland Parliaments 8 Ibid Most countries now have adopted Constitutions but there are some noteworthy exceptions such as the United Kingdom
14
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
render impossible the exercise of the core functions of Parliament lawmaking and oversight In order to be independent legislators must be able to discharge their duties without fear for their physical security or the well being of their families and staff This principle requires the State to provide security services for legislators and to secure the House of Parliament PTAS2 Free and Fair Parliamentary Elections
Parliamentary Elections The process of the election of members of Parliament should be open and transparent allowing for full citizen participation and free of coercion fraud or violence CLHG CSCE-CD ECOWAS-P IPU-DD IPU-Res03 UNHCHR UPA-Res00
The right of everyone to take part in the government of hisher country is expressed through the right to freely choose representatives Parliaments differ in the manner and types of election held to elect members There is an international consensus on the need to provide voting rights for all citizens on the basis of universal equal and secret suffrage so that all voters can choose their representatives in an environment conducive to equality and political competition The different systems include direct and indirect proportional versus single constituency The IPU Declaration on Democracy notes that holding free and fair elections which allow the expression of the peoplersquos will at regular intervals is a key element of democracy This Standard is seen as the best way of guaranteeing representative democracy Whatever the system used elections of legislators must be organized following an open and transparent process There must be full citizen participation without a suggestion of manipulation Legislators should not be required to run for office exclusively under the nomination of a Political party PTAS3 Transparent Adequate Political Financing and Compensation
Political finance The fight against corruption requires the adoption of clear rules for transparent political financing of legislators their campaigns and their political organizations need to be adopted These rules should include transparent compensation as well as the disclosure of campaign account income and assets of legislators Anticorruption Treaties Adequate compensation Legislators should receive adequate salaries and benefits which are comparable to those of equivalent positions in the other branches of government and private sector CLHG IPU-DD
The financing of any parliamentary candidate by his her political party should be transparent and there should be clear written rules and regulations on the types of political financing which are impermissible and illegal and those which are permitted and legal
15
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Clear rules for political party and campaign financing ndash these rules should foster financial transparency and integrity
bull Income and asset disclosure requirements bull Oversight by an independent authority (internal ie Parliamentary Committee or
external) and publication of information To the extent possible political parties and parliamentary candidates should be required to place all contributions above a certain limit in official bank accounts and use these accounts for all campaign expenditures Official bank accounts are accounts which are fully documented and disclosed Disclosure requirements should cover all income assets and expenditures related to the campaign and should be made to an independent official agency Uniform and reliable software will help monitor all income and expenditure during political campaigns The independent official agency should verify and report on the parliamentary campaign finance data Additional independent verifications and reports should be undertaken by civil society to avoid collusion A serious problem in many countries has been the use of parliamentary resources such as office space staff time or funds by incumbents This is a practice which should be seriously discouraged or even outlawed as it constitutes a misuse of funds by parliamentarians Legislators should also be adequately compensated for their work Compensation includes both their salary and any additional benefit granted to workers The adequacy of compensation will be assessed in comparison with the cost of living and the compensation-level of senior officials in the Executive judiciary and private sector Due to high turnover in parliamentary office an appropriate compensation level is important to attract high-quality people and to shield legislators from outside pressure Pension entitlement by virtue of office is a widely recognized right in most Parliaments independently of the diversity of the methods and procedures chosen to implement it A number of other countries in which no recognized pension scheme currently exists for Legislators have indicated that this subject is currently under review (Egypt Lesotho Nigeria Thailand) The great majority of legislators today benefit from social security (sickness maternity invalidity death and industrial injury insurance) coverage while in office This is for the most part organized within the framework of the common labor rights legislation of each country9 Transparency regarding all amounts received by legislators as compensation is necessary to promoting parliamentary accountability and ethics Legislators and if possible their dependents should be required to disclose all their incomes assets and relevant interests to an independent official agency The public should have an opportunity to access information about the salaries and other benefits of the legislators whom they have elected Like with parliamentary campaign finance uniform and reliable software will
9 Helene Ponceau AGSP Report April 2001 This report is based on a questionnaire of the Association of General Secretaries of Parliaments approved at the Berlin session in October 1999 and sent to 56 countries
16
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
help monitor the disclosures and verification and reporting by the independent official agency as well as civil society will foster more transparency and accountability PTAS4 Representative Parliament
Broad-Based Representation An inclusive fully representative Parliament across gender ethnicity political affiliation religion etc is one of the main tenets of a democratic society CLHG CSCE-CD ECOWAS-P IPU-GD IPU-Res03 UNHCHR UPA-Res00
There is increasing consensus at the international level that democratic institutions must be representative of the diversities of society Parliament should therefore be composed of a broad cross-section of society including members of different genders ethnicity political affiliation religion etc Diversity in institutional membership echoes the Standards enshrined in the numerous conventions against discrimination which have been ratified in the past decades10
A broad-based representative Parliament will contribute to the promotion of the right of everyone to take part in government and of all interests to be given expression As noted by the IPU in its Declaration on Democracy ldquoDemocracy is founded on the right of everyone to take part in the management of public affairs it therefore requires the existence of representative institutions at all levels and in particular a Parliament in which all components of society are represented and which has the requisite powers and means to express the will of the people by legislating and overseeing government actionrdquo Some countries have taken additional steps to encourage participation by marginalized groups such as women or minorities For example in Pakistan quotas for gender participation were established 33 quota in direct elections (local) and 17 quota in indirect national elections (legislature and senate) Women membership in the legislature is currently at 21 slightly above the mandatory quota PTAS5 Security of Tenure
Security of tenure ldquoSecurity of Members during their Parliamentary term is fundamental to Parliamentary independencerdquo CLHG CSCE-CD
The legitimacy of Parliament rests on the fact that its membership is rooted in the will of the people who chose representatives in periodic elections In order to guarantee that their will is respected the term of office of legislators must be respected Certain classes of legislators may have life terms (cite House of Lords other examples) but most legislators are elected for fixed terms Exceptionally the tenure of legislators may be terminated but such mechanisms must be narrowly defined and follow clear transparent
10 See for example the International Convention on the Elimination of All Forms of Racial Discrimination [CERD] (1965) and the International Convention on the Elimination of All Forms of Discrimination against Women [CEDAW] (1979)
17
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
legal procedures This may be the case for immunity waivers in case of criminal offences committed by a legislator or of dissolution of parliament by the executive The CLHG lists three requirements to protect the security of tenure of legislators in its guideline number 2
ldquo (a) The expulsion of members from Parliament as a penalty for leaving their parties (floor-crossing) should be viewed as a possible infringement of membersrsquo independence anti-defection measures may be necessary in some jurisdictions to deal with corrupt practices
(b) Laws allowing for the recall of members during their elected term should be viewed with caution as a potential threat to the independence of members
(c) The cessation of membership of a political party of itself should not lead to the loss of a Memberrsquos seatrdquo
PTAS6 Freed Parliamentary Speech
Freedom of Speech The true expression of democracy lies in the right to free speech This should not just be a right guaranteed to the general public but legislators also must be free from censorship and defamation laws that restrict the right to criticize government thereby curtailing parliamentary oversight of the Executive Banjul CLHG CLHP CPA-Media CPA-Rec03 ECHR IACHR ICCPR IPU-GD IPU-DD UPA-Res00
The International Covenant on Civil and Political Rights (ICCPR) expressly states in article 19(1) that everyone shall have the right to hold opinions without interference Article 19(2) guarantees the right to freedom of expression and broadens it to include the freedom to seek receive and impart information and ideas of all kinds regardless of frontiers either orally in writing or in print in the form of art or through any other media of choice These rights are not absolute and may be restricted under specific circumstances as outlined in article 19(3) Most international human rights instruments provide that every individual shall have the right to express and disseminate his opinions within the law Other instruments recognize the right of freedom of expression as an inalienable fundamental right Free speech rights should entitle legislators to
bull Put written and oral questions to members of the government and receive answers to these questions The opposition in Parliament should also be entitled to speaking time proportionate to its numbers in sittings set aside for oral questions
bull Request documents and receive such documents in a timely manner National security concerns constitute one of the main reasons why governments restrict freedom of expression Freedom of expression should not be restricted on public order or national security grounds unless there is a real risk of harm to a legitimate interest and there is a causal link between the risk of harm and the expression
18
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Defamation laws are a serious concern for legislators when seeking to protect or exercise their freedom of expression rights Legislators should be free from improper pressures in the discharge of their functions These improper pressures can be in the form of criminal laws and the use of defamation proceedings restricting legitimate criticism of the government by legislators Criminal defamation laws need to be carefully reviewed Similarly the defense of qualified privilege with respect to reports of parliamentary proceedings should be drawn as broadly as possible to permit full public reporting and discussion of public affairs and offence of contempt of Parliament should be drawn as narrowly as possible There is a need to achieve a balance between the free speech rights of Legislators vis-agrave-vis the government and the publicrsquos right of free speech vis-agrave-vis the Parliament PTAS7 Participatory Transparent Law and Decision-Making Processes
Parliamentary Processes Parliament must be open transparent and accountable to the public in its lawmaking and policymaking functions In this regard the free flow of information from Parliament to its members and the public as well as avenues for effective public participation is fundamental to a democratic Parliament CLHG CLHP ECOWAS-P IPU-GD IPU-Res03 UPA-Res00
Law and policy-making are the primary responsibilities of Parliament as the elected body representing the people The Executive may initiate laws and policies and the Judiciary may be constructive and purposive in the interpretation of legislation neither must be seen as usurping Parliamentrsquos legislative function Ultimately only the Parliament is entitled to adopt laws for the country Consequently legislators should be encouraged to adopt national policies and laws through open processes which allow for consultation and citizen participation Parliamentary processes must be not only transparent but also participatory Participation starts with the right to form democratic political parties and entails the need for transparent and fairness in the electoral process including through appropriate access to funds and free independent and pluralistic media Transparent decision-making and law-making processes create ownership in governance by the public which is necessary in a democratic society The Parliament should implement efficient mechanisms to allow and encourage public participation in the different stages of the law making process From the moment that Parliament receives a bill from the Executive or from the moment a bill is drafted by a committee civil society representatives should have a voice and be consulted Civil society participation will add a fresh look and ensure a better response to community needs Legislators will benefit from input and the resulting laws will better reflect real needs and local buy-in Committees meetings and parliamentary sessions should be usually open to the public Information on meetings and final decisions should be broadly disseminated Parliament should be consulted by the government on important questions affecting the life of the nation war national security human rights economic policy social rights
19
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
labor markets etc This will enable the opposition to take part in the debate and provide its input to the decision-making process The opposition must also be able to raise matters regarding the Constitution with a view to its amendment PTAS8 Transparent Oversight of the Executive
General Oversight One of the core functions of Parliament is to provide a continuous check on the activities of the Executive In performing this oversight function Parliament must follow transparent procedures and respect strict standards of accountability CLHG CLHP IPU-GD UPA-Res00
The separation of powers not only means that each branch of government is independent from the other two but also that mechanisms of checks and balances are in place to avoid abuses and encroachments To that end the Parliament is traditionally entrusted with the responsibility of overseeing the activities of the Executive The Executive as Parliament must follow high standards of accountability transparency and responsibility in the performance of its duties Parliament is responsible for ensuring that these standards are met and for providing adequate mechanisms to challenge the Executive for failure to meet these standards Oversight may take place in the form of periodic questions to the government in a parliamentary sessions or investigations undertaken by parliamentary commissions or votes of confidencenon-confidence Parliamentary procedures should be transparent and allow for public scrutiny Governments should be required to announce publicly within a defined time period their responses to committee investigations PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
Budget Design and Oversight Parliament is traditionally responsibly for adopting the national budget There is a growing international consensus that Parliaments around the world need to make maximum use of existing processes for exerting influence in national budget control scrutiny and accountability IPU-Res03 UPA-Res00
Parliament must have a certain amount of authority to affect the budget otherwise its role in establishing national policy and representing citizen interests will remain limited11 Involvement should extend beyond budget approval and include budget formulation tracking and accountability Unless it has substantial involvement beyond approval Parliament will do no more than rubberstamp the Executiversquos budgetary and policy decisions To promote more accountability in government Parliament should be entitled to monitor income and expenditures especially how effectively government programs and activities are administered
11 USAID Handbook
20
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Parliamentary procedures should therefore provide adequate mechanisms to oversee the Executive including accountability mechanisms targeted at budget development effective money flows budget implementation etc This can be achieved by allowing independent audits of public accounts establishing that the opposition will chair the Public Accounts Committee or a combination of the mechanisms andor others PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
International Obligations and Parliament International treaties carry a general obligation for signatory States to ratify and to adopt all necessary measures for their implementation Both functions should fall on Parliament CLHG CLHP IPU-Res03
The need for governments to respect their international law obligations has become more urgent post World War II particularly as inter-State conflicts are on the rise Legislators as law makers and representatives of the people need to be more proficient in their knowledge and understanding of human rights and humanitarian law instruments including those relating to economic social and cultural rights In a 2000 Declaration the Conference of Presiding Officers of National Parliaments outlined the four inter-connected levels of intervention for Parliaments in relation to international obligations
bull ldquoInfluencing their respective countriesrsquo policy on matters dealt with in the United Nations and other international negotiating forums
bull Keeping themselves informed of the progress and outcome of these negotiations bull Deciding on ratification where the Constitution so foresees of texts and treaties
signed by governments and bull Contributing actively to the subsequent implementation processrdquo12
Parliaments play a central role in adjusting domestic law to international standards According to the legal systems of many countries Parliaments are not only the bodies entitled to ratify international obligations but also the ones responsible for adopting the necessary implementing legislation Many international treaties particularly those related to human rights the environment gender and corruption require that States parties adjust their national legislation to match the minimum standards laid out in the treaties For example United Nations Convention against Corruption (2004) is explicitly applicable to legislators Indeed its scope covers ldquopublic officialsrdquo who are defined as including any person holding parliamentary office in a State party Compliance with this provision and others often requires the adoption of legislation Conventions generally include explicit requirements for the adoption of new laws by national Parliaments
12 Conference of Presiding Officers of National Parliaments organized by the IPU in cooperation with the UN Declaration adopted by at UN Headquarters New York 30 August ndash 1st September 2000
21
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The United Nations Convention against Corruption (2004) establishes that each State party should develop and implement anti-corruption policies
bull The Inter-American Convention against Corruption (1996) requires in its article VII the adoption by State parties of all ldquonecessary legislative or other measures to establish as criminal offences under their domestic law the acts of corruption described in Article VI(1) and to facilitate cooperation among themselves pursuant to this Conventionrdquo
As guardians of the Constitution legislators have an obligation to protect the human rights of people This obligation is reinforced by the requirement to comply with international and regional human rights treaties This obligation to protect and legislate in support of human rights should lead to increased oversight by Parliament in areas in which the Executive has traditional exercised blanket discretionary powers such as national security There has been a growing consensus on the need to shift focus away from military security to broader factors of ldquohuman securityrdquo such as environmental economic social as well as political13 PTAS11 Transparent Efficient Parliamentary Committees
Parliamentary Committees The legislative and oversight functions of Parliament are actually undertaken by Parliamentary Committees the powers and structures of which differ from country to country It is essential for these committees to be properly structured and well funded to enable them to be effective in discharging Parliamentrsquos legislative and policy making functions CLHG CPA-Media CPA-CP CPA-Rec03 CPA-REc04 IPU-GD
Committee structures may vary depending on the size of Parliament its constitutional mandate and other country-specific factors However all committees should have adequate resources both human and financial and have the power to summon witnesses including ministers as necessary to fulfill their mission Committee meetings should be generally open and allow for public attendance and participation Committee reports should be published and made readily available to both the government and the public PTAS12 Adequate Independent Parliamentary Budget
Parliamentary Budget It is the duty of the State to provide adequate resources to enable Parliament to perform its functions properly CLHG
Parliamentary independence and effectiveness to carry out its functions is eroded when Parliament lacks control over its own budget or has inadequate finances to manage its committees and carry out various other internal administrative duties14 Parliament 13 IPU and the Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born Philipp H Fluri amp Anders B Johnsson page 16 (Found at httpwwwdcafchpublicationse-publicationsHandbook_eng ) 14 Indeed without adequate resources for the training of new members secretarial office library and research facilities drafting assistance for bills etc Parliament is handicapped
22
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
should be able to design its own budget based on its needs and negotiate with the Executive the amount allocated to it from the national budget There should be sufficient autonomy over these finances by Parliament to protect the institutional independence and integrity It has been suggested that an all-party committee of members of Parliament should review and administer the parliamentary budget Moreover the parliamentary budget should not be subject to amendment by the Executive15 It is the Parliamentary budget that inter alia funds training of parliamentary support staff ensures that library and research facilities are properly and adequately equipped guarantees that legislators have the necessary support staff to undertake their functions and funds security services PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
Parliamentary Conduct Legislators are required to exhibit and promote high standards of professional conduct in order to reinforce public confidence in Parliament which is fundamental to its independence and legitimacy in a democratic society ANTICORRUPTION TREATIES CLHG CLHP
The CLHG outline three components for a comprehensive ethical framework applicable to Parliament
bull Conflict of interest rules and codes of conduct requiring disclosure of interests bull Access to ethics advisors and bull Restrictions on lobbying and interest group influence
Ethical professional conduct requires legislators not only to conform to high standards of ethics in practice but also to avoid the appearance of impropriety The need for financial transparency by public officials has increasingly gained acceptance as anti-corruption issues have become global Legislatorsrsquo professional and private conduct must be subject to some system of internal codified rules regulating standards of behavior and making disclosure of personal income and assets mandatory Other professions have codes of ethics regulating membersrsquo behavior for example doctors and lawyers Ethical rules should include conflict of interest rules outlining incompatible professional activities or interests such as holding another governmental office and restricting certain ventures such as participation or shareholding in corporations These rules should also require the submission to an independent oversight authority of disclosures of income assets and interests These disclosures should then be publicized for broader ethical monitoring by the public Disclosure of interests will go a long way in establishing institutional integrity trust and respect by the public and effective discharge of duties on the part of legislators as they are fully conscious of the ethical parameters which govern them as a profession 15 Commonwealth Latimer House Guidelines Number VII6
23
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
Discipline Just as other professionals have quasi-judicial bodies to regulate discipline and even remove members there should also be an internal or external authority to sanction legislators conduct investigations and hearings and adopt findings and conclusions There should also be a clear appeals process available to any member aggrieved by a decision CLHG
ldquoThe Committee recommends
bull The House should appoint a person of independent standing who should have a degree of tenure and not be a career member of the House of Commons staff as Parliamentary Commissioner for Standards
bull The Commissioners should have independent discretion to decide whether or not a complaint merits investigation or to initiate an investigationrdquo Recommendations of Committee on Standards in Public Life First Report16
Just as any other citizen legislators should be bound by the law In cases when legislators commit acts contrary to the laws and regulations they expose themselves to disciplinary action and prosecution Moreover there are special conditions only for the status of being public servants that they must observe such as compliance of high standards of ethics assets disclosure and conflict of interest rules There must be a clear system of sanctions for non-compliance with the laws and regulations The disciplinary process in representative bodies is a very sensitive one It should not be used to punish the opposition or dissidents In this sense the existence of an objective internal or external body to sanction legislators is essential to the proper operation of the system An additional problem represents the immunity that all legislators should have The immunity is a protection to ensure that legislators can perform their duties without interference it should not however be used as an excuse to avoid sanctions for common misconducts or crimes PTAS15 Parliamentary Immunity
Immunity Legislators shall enjoy personal immunity from civil suits and criminal prosecution for acts and omissions in the exercise of their functions CLHG ECOWAS-P IPU-GD
Legislators should enjoy some degree of immunity from prosecution or civil suit for acts and omissions in the exercise of their functions However no one should be exempted from accountability The requirements of parliamentary independence from political institutional and societal forces must be balanced against those of public accountability
16 These recommendations were implemented by the House of Commons England A Standing Order setting up the office of Parliamentary Commissioner for Standards was set up on 6 November 1995
24
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Consequently the immunity regime should be strictly regulated especially through the recognition of
bull Clear limited scope of immunity (for example it should not cover acts performed outside of office nor common crimes) and
bull Possibility of waivers in clearly defined cases and following a transparent procedure
Regarding the scope of parliamentary immunity its historical roots lie with the freedom of speech of legislators as recognized in the British and American Bills of Rights The underlying justification for immunity is that it allows legislators to fulfill their mandate without fear of retaliatory measures on account of their positions or votes Legislators must therefore be protected against arrest and detention or civil and criminal prosecution for any acts performed or words spoken while in office or in the conduct of parliamentary affairs Legislators should not be subject to any form of inquiry detention or legal proceedings in respect of opinions expressed or votes cast by them in the performance of their duties Immunity should not be limited to acts or speech within the parliamentary facilities Rather immunity must be interpreted as broadly as possible For example the members of the European Parliament enjoy immunity in their own States in the territories of other Member States and whilst traveling to and from the place of the meeting of the European Parliament However immunity should not be absolute The immunity regime applicable to legislators should provide for the possibility of waiving this immunity in limited circumstances in the interests of justice Immunity is not a privilege benefiting individual members but rather a guarantee protecting the independence of Parliament and its members in their relations with other governmental and private bodies17 Parliamentary privileges must be clearly defined and established by law These immunities are not meant to place legislators above the law but to protect them from possible groundless proceedings or accusations that may be politically motivated The grounds and terms for lifting of immunity must be clearly specified by law so that this may only occur following a decision taken by a competent body on a non-partisan basis PTAS16 Parliamentary and Public Access to Information
Access to Information Legislators as well as the general public must have access to accurate timely information and data including legislation parliamentary procedures governmental data and relevant research data Banjul CLHG CLHP CPA-Media CPA-CP CPA-Rec03 CPA-Rec04 CSCE-CD ECHR IACHR ICCPR IPU-DD IPU-GD IPU-Res03 UNHCHR
17 ECPRD Parliamentary Codes of Conduct in Europe by Veronica Williams November 2001
25
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
The free flow of information is essential in a democratic society Access to information should not only be viewed in relation to the media and civil societyrsquos right to access governmental documents but also in relation to the legislatorsrsquo right to access relevant research and information from the government and other sources Access to information can be facilitated by the use of databases networks and information technology in general The media should be free to report the activities of Parliament and the public should be able to attend parliamentary meetings and Committee sittings where appropriate The CPA encouraged Parliaments ldquoto provide live coverage of their proceedings on a dedicated channel andor onlinerdquo in its Recommendations for an Informed Democracy The environment should be made conducive for civil society organizations the public and multiple stakeholders to exchange information with legislators to enable Parliament to effectively discharge its duties of oversight policy making law making representation and recruitment This could be achieved through the establishment of a public information office within Parliament Bills and Acts of Parliament must be published regularly and should be freely available to the public Indeed the CSCE Copenhagen Document notes that ldquolegislation adopted at the end of a public procedure and regulations will be published that being the condition of their applicability Those texts will be accessible to everyonerdquo In its recommendations following a conference on ldquoWhat Parliament and Legislators Can Dordquo the CPA noted that access should be granted ldquoto basic information and documents produced by the parliamentary process such as access to parliamentary libraries the provision of on-line information and the distribution of Parliamentary speeches promptly after delivery in the Houserdquo18 The type of information available to the public and to legislators should include
bull Attendance and voting records bull Registers of membersrsquo interests bull Bills and Acts of Parliament bull Procedural rules bull Codes of Conduct
Legislators should also have access to parliamentary archives as well as all necessary information and data from the government The IPU Guidelines note that ldquolegislators from the majority and the opposition alike are equally entitled to receive in a timely manner the same information from the governmentrdquo
18 Parliament and The Media Building an Effective Relationship 15-18 February 2000 [CPA-Media]
26
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS17 Adequate Facilities Equipment and Technology
Adequate Infrastructure Parliament should have at a minimum the necessary infrastructure and technical assistance including research capacity adequate facilities and equipment to enable it to carry out its basic democratic functions CPA-Rec03 CPA-Rec04 IPU-GD
The working conditions of legislators must be adequate and reflect the importance of Parliament as a key democratic institution Parliament must be housed in one or more buildings with the necessary equipment and office space for legislators and their staff including tables chairs and all other necessary office equipment Adequate resources must be allocated to Parliament andor legislators and support services to maintain and equip their facilities Some of the facilities and services which can be reasonably expected to be available to legislators include
bull Offices bull Secretarial services (general andor individual) bull Library and archive facilities bull Research services (to which requests for information can be submitted) and bull Information technology
In its 2002 Report the CPA Study Group highlights the importance of information technology including ldquoimproved networking between legislators and constituents among legislators between legislators and Parliament and better information sharing and record keepingrdquo Information technology can also facilitate access to information and best practices on the broad range of issues which fall under the purview of parliament including human rights socioeconomic rights and gender issues The use of information technology could include the development of intra-parliament networks and of searchable public databases on parliamentary activity as well as the increased access to outside information for legislators PTAS18 Professional Training for Legislators and Staff
Adequate Training Resources must be allocated to training programs both for new legislators and for the continuing education of sitting legislators These programs must be geared towards developing the skills required by parliamentary functions as well as exposing legislators to substantive issues and developments affecting their legislative oversight and representative functions CLHG CPA-CP
Training should be geared towards providing legislators with the specific skills and knowledge necessary to fulfill their parliamentary functions Legislators just like other professionals need continuing education programs and professional development to keep them updated on emerging democracy and governance trends Equally significant is the need to properly train new or incoming legislators on the constitutional rights and obligations of Parliament internal procedures and order of business ethics etc
27
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS19 Adequately-Compensated Research Library and Committee Staff
Support Staff ldquoParliament should be serviced by professional staff independent of the regular public servicerdquo CLHG IPU-GD
Parliamentary support staff in sufficient numbers and with the appropriate professional skills is crucial for an effective institution Parliamentary staff performs duties such as
bull Assisting in bill drafting bull Tracking the status of bills in the legislative process bull Maintaining and in some cases designing web sites bull Producing and drafting documents about the legislature bull Undertaking accounting and various other clerkship duties
High turnover of parliamentary staff requires more money for attracting new competent staff and providing them with the necessary training It is important to ensure that staff is reasonably well compensated to attract good candidates for the job who will retain their jobs longer When vacancies are not rapidly filled parliamentary work can be undermined resulting in misplacement of documents errors and overall inefficiency Parliamentary staff should be independent from other public service offices Their selection promotion and discipline must be clearly defined and reflect merit-based criteria and transparent processes Professional development opportunities and training should be offered to them The longer support staff stay in Parliament the more it benefits the institution especially as it may provide new legislators with the information and support necessary to adapt to their new functions faster
28
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 1 List of Acronyms
Banjul African Charter on Human and Peoplersquos Rights (1986) CEDAW Convention on the Elimination of All Forms of Discrimination
against Women ICERD Convention on the Elimination of All Forms of Racial
Discrimination CLHP Commonwealth Latimer House Principles on the Accountability and Relationship between the Three Branches of Government (2003) CLHG Commonwealth Latimer House Guidelines (1998) CPA Commonwealth Parliamentary Association CPA-Media Parliament and the Media Building an Effective Relationship
CPA (2000) CPA-CP Capetown Principles for an Informed Democracy CPA (2002) CPA-Rec03 Recommendation for an Informed Democracy CPA (2003) CPA-Rec04 Recommendation for Transparent Governance CPA (2004 CSCE Conference on Security and Cooperation in Europe CSCE-CD Copenhagen Document CSCE (1990) CSCE-MD Moscow Document CSCE (1991) ECHR European Convention on Human Rights and Fundamental
Liberties (1951) ECOWAS-P Protocol ASP11202 on Democracy and Good Governance
ECOWAS (2001) IACHR Inter-American Convention on Human Rights (1978) ICCPR International Covenant on Civil and Political Rights (1966) IPU Inter-Parliamentary Union IPU-DD Universal Declaration on Democracy IPU (1997) IPU-GD Guidelines and Duties for the Opposition in Parliament IPU (1999) IPU-Res03 Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World IPU (2003) UPA Union des Parlementaires Africains [African Parliamentary Union] UPA-Res00 Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence Building between Peoples and their Institutions (2000) UNHCHR United Nations High Commissioner for Human Rights Resolution
200047
29
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 2 Bibliography Governmental Documents
bull Commonwealth Latimer House Standards bull Commonwealth Latimer House Guidelines bull Commonwealth Parliamentary Association (CPA) Parliament and the Media
Building an Effective Relationship bull English Bill of Rights 1689 bull Inter-Parliamentary Union (IPU) Guidelines bull ECOWAS Protocol on Democracy and Good Governance Supplementary to the
Protocol Relating to the Mechanism for Conflict Prevention Management Resolution Peacekeeping and Security
bull Protocol on the Privileges and Immunities of the European Communities bull ECPRD Parliamentary Codes of Conduct in Europe (Compilation by the Council
of Europe Parliamentary Assembly) bull IPU Universal Declaration on Democracy bull International Covenant on Civil and Political Rights (ICCPR) bull The African (Banjul) Charter on Human and Peoplersquos Rights bull The Johannesburg Standards National Security Freedom of Expression and
Access to Information bull Document of the Copenhagen Meeting of the Conference on the Human
Dimension of the CSCE 1990 bull Declaration of Principle on Freedom of Expression in Africa bull Union des Parliamentaires Africains on the Role of Parliaments in the
Consolidation of Democracy and Confidence-Building Between the Peoples and their Institutions 23rd Conference in Addis Ababa 24-25 November 2000
bull The Harare Declaration bull IPU Conference of Presiding Officers of National Parliaments bull International Convention on the Elimination of All Forms of Racial
Discrimination bull Convention on the Elimination of All Forms of Discrimination Against Women bull Report of the Ethics Reform Task Force on H Res 168 105th Congress 1st
Session 17 June 1997 (found at httpwwwhousegovethicsethicsreporttxt ) bull Parliamentary Standards and the Wicks Committee Report Standard Note
SNPC2200 24 June 2003 by Ruth Winstone (found at httpwwwparliamentukcommonslibresearchnotessnpc-02200pdf )
bull Committee on Standards in Public Life First Report Cm 2850 Volume 1 11 May 1995 (found at httpwwwarchiveofficial-documentscoukdocumentcm282850285002pdf )
bull Committee on Standards in Public Life Sixth Report Reinforcing Standards Cm 4557 Volume 1 January 2000 (found at httpwwwpublic-standardsgovuk )
bull Committee on Standards in Public Life Eighth Report Cm 5663 Standards of Conduct in the House of Commons November 2002 (found at httpwww-standardsgovukreports8th_reportreporteighthreportpdf
bull African Union Declarations and Decisions
30
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The African Commission Declaration of Principle on Freedom of Expression in Africa
bull United Nations High Commissioner for Human Rights Resolution 200047
Non-Governmental Documents Transparency and Accountability of the Parliament
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Anti-Corruption Commissions Panacea or Real Medicine to Fight Corruption By John Heilbrunn 2004
bull PREM Notes Public Sector No 74 October 2002 Strengthening Oversight by Legislatures (found at httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull PREM Notes Public Sector No63 March 2002 Strengthening Legislatures Implications from Industrial Countries (found at httpwww1worldbankorgpremPREMNotespremnote63pdf )
bull WBI Working Papers Building a Clean Machine Anti-Corruption Coalitions and Sustainable Reforms by Michael Johnston and Sahr J Kpundeh 2002
bull IFES IFES Parliamentary Toolkit Transparency and Accountability Tools for Civil Society
bull PREM Notes Public Sector No59 October 2001 Features and Functions of Supreme Audit Institutions
bull World Bank Institute Improving Governance and Controlling Corruption Towards a Participatory and Action-oriented Approach Grounded on Empirical Rigor October 2001
bull World Bank Towards Transparency in Finance and Governance by Tara Vishwanath and Daniel Kaufman September 6 1999
bull World Bank Institute Pillars of Integrity The Importance of Supreme Audit Institutions in Curbing Corruption by Kenneth M Dye and Rick Stapenhurst 1998
bull Association of Secretaries General of Parliaments (ASGP) Promoting the Work of Parliament Report by Mr Ian Harris Clerk of the House of Representatives of Australia19 Autumn 2000 (found at httpwwwasgpinfodiscussionshtmstudies)
bull USAID Handbook on Legislative Strengthening httpwwwusaidgovour_workdemocracy_and_governancegovhtml
bull Parliamentary Centre Canada Controlling Corruption A Parliamentarianrsquos Handbook httpwwwparlcentcaindex_ephp
bull Parliamentary Centre Canada Parliamentary Accountability and Good Governance httpwwwparlcentcaindex_ephp
19 This report contains a detailed analysis of the answers from a Questionnaire of how the public is provided information about the operation and work of Parliament The review was launched at the Conference of the Association of Secretaries General of Parliaments which was held in Autumn 2000 in Jakarta
31
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Center for Democracy and Governance February 2000 USAID Handbook on Legislative Strengthening
bull Parliamentary Centre Parliamentary Accountability and Good Governance A Parliamentarianrsquos Handbook
bull Parliamentary Centre Forum on Parliamentary Reform bull NEPAD Library Emerging Legislatures in Emerging African Democracies bull Commonwealth Parliamentary Association and World Bank Institute
Recommendations for Transparent Governance Conclusions of a CPA Study Group on Access to Information Accra Ghana 5-9 July 2004
bull GOPAC Parliamentarians Fighting Corruption A Conceptual Overview PCentrefsPCentreSProjectsParliamentary_RelationsGOPACWBI
bull International IDEA Democracy Assessment Questionnaire wwwideaintideas_work14_statedemocracy_assessmentpdf
bull NDI and UNDP Parliaments and Poverty Series Toolkit No1 Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Strengthening the Accountability Process and Parliamentary Reform A Report on the Parliamentary Roundtable Held in Bhurban Pakistan March 1-2 1997
Independence of the Parliament bull NDI Strengthening Legislative Capacity in Legislative-Executive Relations
Paper 6 httpwwwndiorgglobalpgovgovernanceasp bull Venice Commission Opinion on the Draft Proposal for Rules of Procedure of the
Assembly of the Republic of Macedonia by Georg Nolte July 5 2002 bull Venice Commission Report on the Referral of a Law Back to Parliament by the
Head of State November 15 1996 bull AGSP The Role of the Secretary General in the Administration of Parliament
Report by Mr Ugo Zampetti General Secretary of the Chamber of Deputies (Italy) October 2000 Review no 180
bull AGSP Constitutional and Parliamentary Information The Status of Parliamentary Groups
Parliamentary Immunity
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union Part Three Immunity in the European Parliament June 2001
bull Venice Commission Opinion 11995 Report on the Regime of Parliamentary Immunity CDL ndash INF(1996) 007 6496 (found at httpvenicecoeintsitedynamicsN_Opinion_efaspampL=EampOID=1 )
bull Venice Commission Supplementary Opinion on the Revision of the Constitution of Romania October 18 2002
32
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Venice Commission Draft Report ndash The Regime of Parliamentary Immunity April 29 1996
bull Venice Commission Questionnaire on Parliamentary Immunity prepared by Mr GW Maas-Geesteranus June 19 1995
Freedom of Parliamentary Speech
bull AGSP The Immunities of Members of Parliament Report prepared by Mr Robert Myttenaere September 1998
bull AGSP Position of Witnesses before Parliamentary Committees Report prepared by Mr Demaree JB Raval April 1997
Conflict of Interest amp Ethics
bull Parliamentary Affairs A Journal of Comparative Politics Volume 55 No 4 October 2002 Conduct Unbecoming The Regulation of Legislative Ethics in Britain and the United States by Robert Williams
bull Parliamentary Affairs A Journal of Comparative Politics Volume 52 No 3 July 1999 Parliament in the Age of Internet by S Coleman JA Taylor and W Van de Donk
bull European Centre for Parliamentary Research and Documentation (ECPRD) Parliamentary Codes of Conduct in Europe an Overview November 2001
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union June 2001
bull Research Paper Commissioned on behalf of The Committee on Standards in Public Life May 2002 The Regulation of Parliamentary Standards ndash A Comparative Perspective (found at httpwwwpublic-standardsgovukreports8th_reportreportresearchdoc
bull House of Representatives Resolution 168 on the Report of the Ethics Reform Task Force 18 June 1997
bull NDI Accountability Ethics and Transparency in Government Pakistan Study Mission to South Africa June 3 1997
bull NDI Report on Regional Consultative Workshops ndash Ethics Questionnaire August 1998
bull Council of Europe Steering Committee on Local and Regional Democracy (CDLR) Public Ethics at Local Level Model Initiatives Package November 25 2002
bull NDI Legislative Research Series Paper No 4 ndash Legislative Ethics A Comparative Analysis 1999
bull OECD United States Case Study ndash Ethics and Corruption The Management of Ethics and Conduct in the Public Service by Stuart Gilman December 1995
bull OECD Recommendations of the Council on Guidelines for Managing Conflict of Interest in the Public Service June 2003
33
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Sanction and Removal of Legislators bull Venice Commission Comments on the Draft Law of the Chechen Republic on
Elections to the Parliament of the Chechen Republic As Submitted to Referendum by Mr G Nolte March 23 2003
bull Venice Commission Opinion on the Draft Law on the Public Attorney (Ombudsman) of ldquoThe Former Yugoslav Republic of Macedoniardquo March 15 2003
bull Venice Commission Comments on the Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia by Ms Serra Lopes February 28 2003
bull Venice Commission Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia February 2003
bull WBI PREM Notes Public Sector Number 19 April 1999 Using an Ombudsman to oversee Public Officials
bull AGSP The Office of the Parliamentary Ombudsman March 1994 Salaries and Benefits of Legislators
bull AGSP The Social Protection of Parliamentarians Report by Mrs Helene Ponceau General Secretary of the Senate Quaestorrsquos Office [Havana Senate Treasurerrsquos Department] Review No 181 April 2001
Professional Development and Training
bull SADC Parliamentary Forum MPs Orientation Handbook ndash Professional Performance and Development httpwwwsadcpforgaboutindexasp
The Parliament and the Budget Cycle
bull OECD Development Centre Policy Brief No 22 Strengthening Participation in Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD May 2001 OECD Best Practices for Budget Transparency bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and
Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull ASGP The Administrative and Financial Autonomy of Parliamentary Assemblies Report prepared by Michel Couderc (France) adopted at the Moscow Session (September 1998)
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development The Legislature and the Budget by Frederick Stapenhurst 2004 httpwwwworldbankorgwbigovernanceparliament
34
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull WBI Working Papers Series on Contemporary Issues in Parliamentary
Development Parliaments and the PRSP Process by Scott Hubli and Alicia P Mandaville 2004
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull WBI PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull WBI PREM Notes Public Sector Number 74 October 2002 Strengthening Oversight by Legislatures
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull Commonwealth Parliamentary Association (CPA) The Parliamentarian 2002
Issue Two 179 Parliaments and Poverty by Ms Frannie A Lrsquoeautier bull Parliamentary Centre Canada and WBI and CIDA (with support from the
International Development Research Centre) Handbook on Parliamentarians and Policies to Reduce Poverty May 2001
bull Parliamentary Centre Cambodia Focus Group on Parliamentrsquos Role in the Budget Process Analysis
bull Parliamentary Centre Indicators of Parliamentary Performance in the Budget Process
bull The International Budget Project Legislatures and Budget Oversight httpwwwinternationalbudgetorgthemesLEGindexhtm
bull NDI Legislatures and the Budget Process An International Survey 2003 httpwwwndiorgglobalpgovgovernanceasp
bull NDI Parliaments and Poverty Series Toolkit No1 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Parliaments and Poverty Series Toolkit No2 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives
35
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull NDI Parliaments and Poverty Series Toolkit No3 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative Public Outreach on Poverty Issues
bull UNDP IPU WBI and UNIFEM Parliament The Budget and Gender httpwwwundporgdpapublicationsgovernancehtml
bull IMF Finance amp Development Magazine December 2002 Volume 39 Number 4 A Bigger Role for Legislators
bull Case Study PRSPs and Parliament by Stephen Langdon bull Ministry of Foreign Affairs Netherlands March 2002 Economics and Finance
(b) Budget Impact Assessments (Gender Budgeting) bull Cagatay N M Keklik R Lal and J Lang (2000) ldquoBudgets As if People
Mattered Democratizing Macroeconomic Policiesrdquo SEPED Conference Paper Series Number 4 May
bull Navarro Z (1998) ldquoParticipation Democratizing Practices and the Formulation of a Modern Policy ndash the Case of ldquoParticipatory Budgetingrdquo in Porto Alegre Brazil (1989-1998) Development Sage London Volume 41 number 3 September
Representative and Inclusive Parliament
bull Commonwealth Parliamentary Association (CPA) Commonwealth Women Parliamentarians Into The Democratic Mainstream August 2002
bull CPA EnGendering Development and Democracy May 2004 bull IPU and UNDP Guidelines on the Rights and Duties of the Opposition in
Parliament May 19 1999 (Unanimously adopted by the participants at the Parliamentary Seminar on Relations Between Majority and Minority Parties in African Parliaments Libreville (Gabon) 17-19 May 1999)
bull AWEPA European Parliamentarians for Africa OPS7 Parliamentary Gender Handbook South Africa 2001 (found at httpwwwawepaorgdownloadsOPS07-_Parliamentary_Gender_Handbook-_South_Africapdf
Free Elections of Legislators
bull Venice Commission Opinion 2502003 Report on Electoral Systems - Overview of Available Solutions and Selection Criteria Adopted by the Venice Commission at its 57th Plenary Session CDL ndash AD(2004)003 (found at httpvenicecoeintdocs2004CDL-AD(2004)003-easp )
bull Venice Commission Opinion 2392003 Comments on the Draft Law of the Chechen Republic on Elections to the Parliament of the Chechen Republic CDL (2003)021rev (found at httpvenicecoeintdocs2003CDL(2003)021rev-easp )
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Resolution 1320 (2003) httpassemblycoeintDocumentsAdoptedTextTA03ERES1320htm
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Document 9267 15 October 2001
36
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
IFES Parliamentary Toolkit
Parliamentary Transparency and Accountability Standards (PTAS)
The Right to Transparent and Accountable Governance Best Practices Standards for Democratic Parliaments
1 Independence of Parliament
2 Free and Fair Parliamentary Elections
3 Transparent Adequate Political Financing and Compensation
4 Representative Parliament
5 Parliamentary Security of Tenure
6 Free Parliamentary Speech
7 Participatory Transparent Law and Policy-Making Processes
8 Transparent Oversight of the Executive
9 Participation in the Formulation and Oversight of the Governmentrsquos
Budget
10 Participation in the Adoption of and Oversight of Compliance with
International Obligations
11 Transparent Efficient Committees
12 Adequate Independent Parliamentary Budget
13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
15 Parliamentary Immunity
16 Parliamentary and Public to Access Information
17 Adequate Facilities Equipment and Technology
18 Professional Training for Legislators and Staff
19 Adequately-Compensated Research Library and Committee Staff
5
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
GLOBAL BEST PRACTICES A MODEL ANNUAL STATE OF THE PARLIAMENT REPORT
A Strategic Tool for Promoting Monitoring and Reporting on Parliamentary Transparency and Accountability Reforms and Engendering Global Debate
ABSTRACT
The unfolding historic democratic global transition is not sustainable without viable democratic legislatures or parliaments The objective of this working white paper is to present a strategic monitoring and reporting framework that can be used by all stakeholders to ensure that parliaments have the capacity independence and support necessary to fulfill their constitutional responsibilities to both the government and the people they are supposed to represent This paper is primarily written for the benefit of and from the perspective of developing and transition countries Towards that end it posits that a minimal set of standards best practices and indicators of progress has emerged from global experience during the wave of democratic reforms that has swept the world over the last several decades While it is acknowledged that most developing and transition countries can not implement all of these standards simultaneously for various reasons it attempts to prioritize and link-up a set of minimal standards among the nineteen captured as being essential building blocks for a solid foundation upon which democracy can be built over time The paper notes that the parliament remains a very weak sister among democratic institutions in virtually all developing and transition countries and it notes that this essential democratic institution needs much more attention and support from reformers officials civil society and the international community
6
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
GLOBAL BEST PRACTICES A MODEL ANNAUL STATE OF THE PARLIAMENT REPORT
A Strategic Tool for Promoting Monitoring and Reporting on Parliamentary Transparency and Accountability Reforms and Engendering Global Debate
1 Overview Country Context and Methodology
a The Functions of Parliament in the Country Context ldquoParliament is the institution that embodies society in the diversity of its composition and its opinions and which relays and channels this diversity in the political process Its vocation is to regulate tensions and maintain equilibrium between the competing claims of diversity and uniformity individuality and collectivity in order to enhance social cohesion and solidarity Its role is to legislate inter alia by allocating financial resources and oversee the action of the Executiverdquo IPU Guidelines1 Number II4
The international consensus recognizes five broad and basic functions to Parliaments namely
Policymaking Lawmaking Oversight of the Executive Constituency representation Political recruitment2
The three most important functions are the representative the lawmaking and the oversight roles3 In order to monitor the state of the Parliament as a way to undertake reforms to strengthen institutional capacity and independence an analysis of compliance with standards of parliamentary structure and activity must be undertaken within the specific country context The analysis of the country-specific context must include
bull Political background bull Constitutional and international rights and obligations bull Relationships between the Parliament the Executive and the Judiciary bull Public perception and public access to Parliament and bull Socioeconomic cultural and traditional context
1 Inter-Parliamentary Union Guidelines on the Rights and Duties of the Opposition in Parliament Libreville (Gabon) 17-19 May 1999 2 Id 3 USAID Handbook on Legislative Strengthening page 1 Executive Summary Center for Democracy and Governance February 2000
7
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Political Background Key Issues
Assessment of the form of government presidential premiership or others Key developments relevant to the independence and capacity of Parliament Assessment of the level of political will to effect parliamentary reform and level
of political space allowed by the Executive for reform The relationship between the government and the opposition parties in
Parliament and The level of party discipline and control of legislators and parliamentary
Committees Constitutional and International Rights and Obligations Key Issues
Constitutional design attribution and scope of each of the three branches of government
Key constitutional and legal provisions designing the shape and functions of the Parliament
Practices that may differ or go beyond legal provisions affecting the Parliament and
International standards and obligations related to parliamentary matters Relationship between Parliament the Executive and the Judiciary Key Issues
Historical relationship between the three branches of government Role of the Parliament in practice as it relates to the other two branches Oversight powers of Parliament over the other two branches of government both
under the law and in practice Overlapping functions between the three branches of government Independence of the Parliament from the Executive and Intra-parliament and inter-institutional relations
Public Perception and Public Access to Parliament Key Issues
Public image of Parliament its members and the parliamentary process Public trust of Parliament Degree of interaction between Parliament and civil society the existence of a
institutional relations office a periodic publication to inform regarding parliamentary issues a parliamentary TV channel etc)
Citizensrsquo capacity to initiate bills Openness of parliamentary meetings and committee hearings Percentage of meetings commonly open to the public Frequency of citizen attendance to public meetings Media coverage of parliamentary issues and Reaction of the Parliament to public perception
8
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Socio-Economic Cultural and Traditional Context Key Issues
Analysis of the socioeconomic situation (ie class structure wealth distribution prevalence of patterns of corruption)
Traditional role of Parliament Traditional status of legislators Role of political parties in recruiting and expressing cultural demands and Degree to which cross-cutting issues such as religion and gender affect the
composition of the Parliament
b Scope of the State of Parliament Report the IFES Parliamentary Transparency and Accountability Standards PTAS4
This paper presents and explains 19 Parliamentary Transparency and Accountability Standards (PTAS) around which an Annual State of Parliament (SOP) report may be developed The PTAS are in part based on the overarching separation of powers principle which means that a democratic legislature should be an independent institution with the capacity resources and governmental and public support to perform its constitutional duties such as lawmaking government oversight and constituency representation in a transparent accountable manner The standards cover a broad range of transparency and accountability issues highlighting the rights and obligations of both the institution as well as its members This model framework presents a set of core standards guiding the design of a democratic Parliament including a targeted set of minimal standards that are designed to establish the foundation for democratic governance and broader sustainable reforms The minimal standards are based largely upon consensus global standards and practices found either in international law or actual democratic global experience This approach acknowledges the fact that most emerging democracies cannot simultaneously implement all of the nineteen (19) standards and that some are more crosscutting and fundamental than others While more debate needs to occur on the minimal principles approach one of the purposes of this paper is to engender this debate by placing them on the global discussion table In effect the paper advances the notion that these standards should be priority reforms in all transition countries and it encourages the inclusion of other priority standards within differing country contexts These crosscutting minimal standards we would like to center the global debate on are PTAS 1 2 6 7 9 10 11 12 and 16 While the other standards are clearly very important implementing these alone in most transition countries will be a very tall task It is also worth noting that these standards also capture some of the others that are closely inter-related such as PTAS 16-19 which are all contingent on having an adequate parliamentary budget (PTAS 12)
4 The Parliamentary Transparency and Accountability Standards are based on the overarching principle of Parliamentary independence distinct from the Executive and Judiciary arms of government and cover issues of transparency and accountability of the institution as well as the members
9
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
The PTAS emerged after a thorough review of international and regional governmental and non-governmental declarations standards guidelines and standards (cited in Annex 2) This review included in-depth analysis of relevant papers studies country and regional surveys and best practices including the work of Parliamentary Associations such as the Commonwealth Parliamentary Association the Canadian Parliamentary Centre the European Parliament and the Inter-Parliamentary Union IFES is now refining the framework in close consultation with a number of these organizations as well as the Consumer Rights Commission of Pakistan where we are developing a report for possible replication throughout the region IFES also reviewed the considerable research and experience of a number of governmental institutions such as the World Bank the National Democratic Institute UNDP USAID the OSCE and the OECD The PTAS are not intended to duplicate the work undertaken by these organizations and others Rather they constitute an attempt to identify consensus Standards which should be found in any democratic Parliament and to present them in a systematic framework Thus the PTAS can be used as the backbone for drafting annual country-specific SOP Reports The model framework for SOP Reports constitutes a component of the IFES Parliamentary Toolkit designed to help civil society and Parliament monitor report on and promote parliamentary transparency and accountability By reporting and monitoring progress against a core set of benchmarks and consensus Standards a SOP Report will assist a diverse range of civil society and governmental stakeholders to prioritize a parliamentary reform agenda in a systematic manner The SOP Report is intended to assess the effectiveness of Parliaments in emerging democracies but also to equip multiple civil society and governmental stakeholders with the information necessary to prioritize and implement parliamentary transparency and accountability reforms
The IFES PTAS and model SOP Framework are grounded in bull International and regional consensus Standards and best practices of
Parliamentary transparency and accountability bull Core international regional and constitutional obligations bull A general overview of the relevant country legal and institutional framework
c Multifaceted Methodology The model SOP framework is designed to lay out the standards and the methodology necessary to assess the transparency accountability and performance of Parliaments around the world against a set of core benchmarks grounded in international and regional best practices The framework captures consensus Parliamentary Transparency and Accountability Standards (PTAS) identified in a series of international and regional treaties declarations guidelines and practices related to the parliamentary structure and
10
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
responsibilities In identifying the PTAS and the framework we sought to include a variety of sources representing a broad consensus The sources are listed in annex Each of the consensus PTAS was disaggregated into qualitative and quantitative indicators5 Indicators designed to assess the level of compliance with each PTAS are a core element of the framework The use of indicators is necessary to obtain a clear picture of where improvements are needed and which achievements and shortcomings affect the Parliament These indicators are not designed to stigmatize countries in comparison to others While the use of a uniform framework and measurements based on indicators will allow for some degree of comparison each Parliament evolves in a set of country-specific circumstances Compliance with the PTAS within a given country-context is the objective of our endeavor Identifying the PTAS and disaggregating them into indicators is an evolving process Standards are slowly emerging as national stakeholders gather in the international arena in search of guidelines to improve independence and efficiency Like new standards emerging indicators can continuously be refined to clarify the contents of each PTAS Standards without indicators are empty concepts which can be interpreted in many different ways depending on the author of the report Indicators help define the PTAS and provide a concrete guide for the assessment of compliance The draft indicators are available in a separate attached document The framework is built around the need to implement and link up key reforms embedded in the PTAS Each country report is developed through a multifaceted methodology that incorporates an array of information resources necessary to assess the level of PTAS compliance (i) desk studies of all relevant laws institutions and international obligations (ii) analysis of existing best practices country studies and research (iii) interviews and surveys of experts and key stakeholders and (iv) analysis of the operation of Parliament in practice The PTAS and their accompanying indicators serve as the guideposts with which to measure implementation progress or regression on a periodic basis While all the PTAS are important and their relevance in the country context varies IFESrsquo working assumption for each report is that certain mutually supportive principles are essential to establishing the legal enabling environment necessary to build an independent accountable Parliament and a Rule of Law culture We also believe that for purposes of capturing global issues lessons learned model programs across borders it is also important for all country reports to uniformly cover a specific set of standards
5 We chose the term ldquoindicatorrdquo because is the most commonly used in the literature on similar topics and we recognize its value In fact we intend to describe and analyze the state and performance of the Parliaments through what can also be called ldquosearch questionsrdquo that will allow to look to the Parliaments uniformly Having indicators will bring coherence and systematization to the national SOP reports
11
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Compiling a National SOP Report The framework was created to serve both as (i) a tool for civil society to monitor parliamentary activity and identify spaces for improvement and participation and (ii) a tool for legislators to assess their own institution Each report should be compiled with the following in mind
Combining a civil society evaluation and a parliamentary self-evaluation will lead to a better report
Sharing information with civil society will be a first step towards strengthening collaborative partnerships between Parliament and the people
The indicators will provide two sorts of data (i) quantitative data such as how many legislators timing of elections number of commissions etc and (ii) qualitative data on the performance of Parliament through an analysis of the processes of parliamentary life and
The PTAS cover to three key aspects of parliamentary operations and activity transparency accountability and efficiency
Assessment of the level of compliance with each PTAS is guided by an examination of relevant laws and practices identified through a survey of legislation and interviews of key stakeholders There are three degrees of compliance
bull Formal compliance (laws and decrees) bull Compliance in practice (effective implementation of laws and decrees as well as
of constitutional and conventional principles) and bull Quality and integrity of the compliance in practice (fair implementation for all)
The Report outlines in the country context the legal and institutional framework within which the judiciary operates The indicators serve as guideposts for the analysis of the level of compliance with each PTAS This analytical process will lead to an overall judgment as to whether there is a ldquosatisfactoryrdquo ldquopartially satisfactoryrdquo or ldquounsatisfactoryrdquo JIP compliance with the possible nuance of ldquoimprovingrdquo or ldquoregressingrdquo and to present prioritized reform recommendations
2 Relevant International and Domestic Legal and Institutional Framework
a International and Regional Obligations IFES has examined various documents relating to the relevant international and regional governmental and non-governmental declarations Standards best practices and guidelines on issues of parliamentary independence transparency and accountability Each annual country-specific SOP Report should present a list of relevant applicable international and regional obligations including
Declarations on democracy and parliamentary independence and best practices guidelines and Standards by international and regional Parliamentary
12
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Associations eg the Commonwealth Latimer House Standards the IPU Declaration on Democracy
International and regional human rights treaties and human rights court and commission case law eg the Universal Declaration of Rights the International Covenant on Civil and Political Rights the UN High Commission on Human Rights Resolution 200047 and
Non-governmental guidelines
b Constitutional Standards Each annual country-specific SOP Report should outline the constitutional Standards related to the separation of powers and parliamentary independence including
The guarantees of parliamentary independence lawmaking powers and other key Standards
The roles of parliamentary committees and of party caucuses The powers to develop amend or review budget and levy taxes The power to question Ministers hold hearings conduct investigations and call
witnesses The power to appoint andor confirm candidates to high-level positions in the
other branches of government The power to access information about government activities and programs6
c Country Legal Framework
In presenting the legal framework each annual country-specific SOP Report should include a review of the relevant applicable legislation and regulations affecting parliamentary transparency and accountability such as
The institutional structure of the Parliament Standing Rules of Order Parliamentary internal regulatory framework Access to information legislation Anticorruption legislation Political party campaign financing regulations and Parliamentary Codes of Ethics and conflict of interest rules
d Country Institutional Framework
In presenting the institutional framework each annual country-specific SOP Report should present a review of the relevant institutional characteristics affecting the Parliament such as
Intra-parliamentary structures bicameralunicameral Committees support services etc
6 USAID Handbook on Legislative Strengthening page 15
13
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Extra-parliamentary structures and governmental relationships Ombudsman political parties Ministry of Justice civil society organizations with watchdog role and
Oversight mechanisms
3 Assessment of the Level of Compliance with the PTAS For each of the PTAS this Model Framework for an annual SOP Report will present
bull Guidelines based on international and regional standards and best practices and
bull Indicators to monitor the level of compliance or non-compliance PTAS1 Independence of Parliament
Institutional Independence Separation of power Standards mandate a Parliament independent from the other two branches of government the Executive and the Judiciary This independence must translate itself into freedom from external pressure and interference In the exercise of its functions Parliament should be subject only to the Constitution and the law CLHP ECOWAS-P UPA-Res00
The institutional independence of Parliaments rests in the doctrine of separation of powers This doctrine is widely accepted internationally as a tenet of democratic societies and is now formally recognized in the Constitutions of most countries7 The separation of powers is either expressly mandated in the Constitution or a document having constitutional value or it is found in the practical organization of the three powers8
Parliament must also be free to legislate and introduce legislation otherwise it is relegated to a rubber-stamping institution for the Executive Finally Parliament must be entrusted with the freedom to organize itself to decide on its own rules of procedures and the proceedings for parliamentary bodies The principle of independence has broader implications Indeed it is now agreed that independence must be recognized to not only Parliament as an institution but also to legislators in the exercise of their functions Both the institution and its members must be free from undue interference and external controls emanating of the other branches of government the Executive and the Judiciary as well as from forces within society such as political parties the private sector the media and others Indeed interferences would
7 ASGP Report dated September 1998 by Michael Couderc The Administrative and financial autonomy of Parliamentary Assemblies page 1 (found at wwwasgpinfopublicationshtm ) The report states that exceptions to this general rule appear the Cyprus Kenya and Switzerland Parliaments 8 Ibid Most countries now have adopted Constitutions but there are some noteworthy exceptions such as the United Kingdom
14
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
render impossible the exercise of the core functions of Parliament lawmaking and oversight In order to be independent legislators must be able to discharge their duties without fear for their physical security or the well being of their families and staff This principle requires the State to provide security services for legislators and to secure the House of Parliament PTAS2 Free and Fair Parliamentary Elections
Parliamentary Elections The process of the election of members of Parliament should be open and transparent allowing for full citizen participation and free of coercion fraud or violence CLHG CSCE-CD ECOWAS-P IPU-DD IPU-Res03 UNHCHR UPA-Res00
The right of everyone to take part in the government of hisher country is expressed through the right to freely choose representatives Parliaments differ in the manner and types of election held to elect members There is an international consensus on the need to provide voting rights for all citizens on the basis of universal equal and secret suffrage so that all voters can choose their representatives in an environment conducive to equality and political competition The different systems include direct and indirect proportional versus single constituency The IPU Declaration on Democracy notes that holding free and fair elections which allow the expression of the peoplersquos will at regular intervals is a key element of democracy This Standard is seen as the best way of guaranteeing representative democracy Whatever the system used elections of legislators must be organized following an open and transparent process There must be full citizen participation without a suggestion of manipulation Legislators should not be required to run for office exclusively under the nomination of a Political party PTAS3 Transparent Adequate Political Financing and Compensation
Political finance The fight against corruption requires the adoption of clear rules for transparent political financing of legislators their campaigns and their political organizations need to be adopted These rules should include transparent compensation as well as the disclosure of campaign account income and assets of legislators Anticorruption Treaties Adequate compensation Legislators should receive adequate salaries and benefits which are comparable to those of equivalent positions in the other branches of government and private sector CLHG IPU-DD
The financing of any parliamentary candidate by his her political party should be transparent and there should be clear written rules and regulations on the types of political financing which are impermissible and illegal and those which are permitted and legal
15
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Clear rules for political party and campaign financing ndash these rules should foster financial transparency and integrity
bull Income and asset disclosure requirements bull Oversight by an independent authority (internal ie Parliamentary Committee or
external) and publication of information To the extent possible political parties and parliamentary candidates should be required to place all contributions above a certain limit in official bank accounts and use these accounts for all campaign expenditures Official bank accounts are accounts which are fully documented and disclosed Disclosure requirements should cover all income assets and expenditures related to the campaign and should be made to an independent official agency Uniform and reliable software will help monitor all income and expenditure during political campaigns The independent official agency should verify and report on the parliamentary campaign finance data Additional independent verifications and reports should be undertaken by civil society to avoid collusion A serious problem in many countries has been the use of parliamentary resources such as office space staff time or funds by incumbents This is a practice which should be seriously discouraged or even outlawed as it constitutes a misuse of funds by parliamentarians Legislators should also be adequately compensated for their work Compensation includes both their salary and any additional benefit granted to workers The adequacy of compensation will be assessed in comparison with the cost of living and the compensation-level of senior officials in the Executive judiciary and private sector Due to high turnover in parliamentary office an appropriate compensation level is important to attract high-quality people and to shield legislators from outside pressure Pension entitlement by virtue of office is a widely recognized right in most Parliaments independently of the diversity of the methods and procedures chosen to implement it A number of other countries in which no recognized pension scheme currently exists for Legislators have indicated that this subject is currently under review (Egypt Lesotho Nigeria Thailand) The great majority of legislators today benefit from social security (sickness maternity invalidity death and industrial injury insurance) coverage while in office This is for the most part organized within the framework of the common labor rights legislation of each country9 Transparency regarding all amounts received by legislators as compensation is necessary to promoting parliamentary accountability and ethics Legislators and if possible their dependents should be required to disclose all their incomes assets and relevant interests to an independent official agency The public should have an opportunity to access information about the salaries and other benefits of the legislators whom they have elected Like with parliamentary campaign finance uniform and reliable software will
9 Helene Ponceau AGSP Report April 2001 This report is based on a questionnaire of the Association of General Secretaries of Parliaments approved at the Berlin session in October 1999 and sent to 56 countries
16
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
help monitor the disclosures and verification and reporting by the independent official agency as well as civil society will foster more transparency and accountability PTAS4 Representative Parliament
Broad-Based Representation An inclusive fully representative Parliament across gender ethnicity political affiliation religion etc is one of the main tenets of a democratic society CLHG CSCE-CD ECOWAS-P IPU-GD IPU-Res03 UNHCHR UPA-Res00
There is increasing consensus at the international level that democratic institutions must be representative of the diversities of society Parliament should therefore be composed of a broad cross-section of society including members of different genders ethnicity political affiliation religion etc Diversity in institutional membership echoes the Standards enshrined in the numerous conventions against discrimination which have been ratified in the past decades10
A broad-based representative Parliament will contribute to the promotion of the right of everyone to take part in government and of all interests to be given expression As noted by the IPU in its Declaration on Democracy ldquoDemocracy is founded on the right of everyone to take part in the management of public affairs it therefore requires the existence of representative institutions at all levels and in particular a Parliament in which all components of society are represented and which has the requisite powers and means to express the will of the people by legislating and overseeing government actionrdquo Some countries have taken additional steps to encourage participation by marginalized groups such as women or minorities For example in Pakistan quotas for gender participation were established 33 quota in direct elections (local) and 17 quota in indirect national elections (legislature and senate) Women membership in the legislature is currently at 21 slightly above the mandatory quota PTAS5 Security of Tenure
Security of tenure ldquoSecurity of Members during their Parliamentary term is fundamental to Parliamentary independencerdquo CLHG CSCE-CD
The legitimacy of Parliament rests on the fact that its membership is rooted in the will of the people who chose representatives in periodic elections In order to guarantee that their will is respected the term of office of legislators must be respected Certain classes of legislators may have life terms (cite House of Lords other examples) but most legislators are elected for fixed terms Exceptionally the tenure of legislators may be terminated but such mechanisms must be narrowly defined and follow clear transparent
10 See for example the International Convention on the Elimination of All Forms of Racial Discrimination [CERD] (1965) and the International Convention on the Elimination of All Forms of Discrimination against Women [CEDAW] (1979)
17
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
legal procedures This may be the case for immunity waivers in case of criminal offences committed by a legislator or of dissolution of parliament by the executive The CLHG lists three requirements to protect the security of tenure of legislators in its guideline number 2
ldquo (a) The expulsion of members from Parliament as a penalty for leaving their parties (floor-crossing) should be viewed as a possible infringement of membersrsquo independence anti-defection measures may be necessary in some jurisdictions to deal with corrupt practices
(b) Laws allowing for the recall of members during their elected term should be viewed with caution as a potential threat to the independence of members
(c) The cessation of membership of a political party of itself should not lead to the loss of a Memberrsquos seatrdquo
PTAS6 Freed Parliamentary Speech
Freedom of Speech The true expression of democracy lies in the right to free speech This should not just be a right guaranteed to the general public but legislators also must be free from censorship and defamation laws that restrict the right to criticize government thereby curtailing parliamentary oversight of the Executive Banjul CLHG CLHP CPA-Media CPA-Rec03 ECHR IACHR ICCPR IPU-GD IPU-DD UPA-Res00
The International Covenant on Civil and Political Rights (ICCPR) expressly states in article 19(1) that everyone shall have the right to hold opinions without interference Article 19(2) guarantees the right to freedom of expression and broadens it to include the freedom to seek receive and impart information and ideas of all kinds regardless of frontiers either orally in writing or in print in the form of art or through any other media of choice These rights are not absolute and may be restricted under specific circumstances as outlined in article 19(3) Most international human rights instruments provide that every individual shall have the right to express and disseminate his opinions within the law Other instruments recognize the right of freedom of expression as an inalienable fundamental right Free speech rights should entitle legislators to
bull Put written and oral questions to members of the government and receive answers to these questions The opposition in Parliament should also be entitled to speaking time proportionate to its numbers in sittings set aside for oral questions
bull Request documents and receive such documents in a timely manner National security concerns constitute one of the main reasons why governments restrict freedom of expression Freedom of expression should not be restricted on public order or national security grounds unless there is a real risk of harm to a legitimate interest and there is a causal link between the risk of harm and the expression
18
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Defamation laws are a serious concern for legislators when seeking to protect or exercise their freedom of expression rights Legislators should be free from improper pressures in the discharge of their functions These improper pressures can be in the form of criminal laws and the use of defamation proceedings restricting legitimate criticism of the government by legislators Criminal defamation laws need to be carefully reviewed Similarly the defense of qualified privilege with respect to reports of parliamentary proceedings should be drawn as broadly as possible to permit full public reporting and discussion of public affairs and offence of contempt of Parliament should be drawn as narrowly as possible There is a need to achieve a balance between the free speech rights of Legislators vis-agrave-vis the government and the publicrsquos right of free speech vis-agrave-vis the Parliament PTAS7 Participatory Transparent Law and Decision-Making Processes
Parliamentary Processes Parliament must be open transparent and accountable to the public in its lawmaking and policymaking functions In this regard the free flow of information from Parliament to its members and the public as well as avenues for effective public participation is fundamental to a democratic Parliament CLHG CLHP ECOWAS-P IPU-GD IPU-Res03 UPA-Res00
Law and policy-making are the primary responsibilities of Parliament as the elected body representing the people The Executive may initiate laws and policies and the Judiciary may be constructive and purposive in the interpretation of legislation neither must be seen as usurping Parliamentrsquos legislative function Ultimately only the Parliament is entitled to adopt laws for the country Consequently legislators should be encouraged to adopt national policies and laws through open processes which allow for consultation and citizen participation Parliamentary processes must be not only transparent but also participatory Participation starts with the right to form democratic political parties and entails the need for transparent and fairness in the electoral process including through appropriate access to funds and free independent and pluralistic media Transparent decision-making and law-making processes create ownership in governance by the public which is necessary in a democratic society The Parliament should implement efficient mechanisms to allow and encourage public participation in the different stages of the law making process From the moment that Parliament receives a bill from the Executive or from the moment a bill is drafted by a committee civil society representatives should have a voice and be consulted Civil society participation will add a fresh look and ensure a better response to community needs Legislators will benefit from input and the resulting laws will better reflect real needs and local buy-in Committees meetings and parliamentary sessions should be usually open to the public Information on meetings and final decisions should be broadly disseminated Parliament should be consulted by the government on important questions affecting the life of the nation war national security human rights economic policy social rights
19
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
labor markets etc This will enable the opposition to take part in the debate and provide its input to the decision-making process The opposition must also be able to raise matters regarding the Constitution with a view to its amendment PTAS8 Transparent Oversight of the Executive
General Oversight One of the core functions of Parliament is to provide a continuous check on the activities of the Executive In performing this oversight function Parliament must follow transparent procedures and respect strict standards of accountability CLHG CLHP IPU-GD UPA-Res00
The separation of powers not only means that each branch of government is independent from the other two but also that mechanisms of checks and balances are in place to avoid abuses and encroachments To that end the Parliament is traditionally entrusted with the responsibility of overseeing the activities of the Executive The Executive as Parliament must follow high standards of accountability transparency and responsibility in the performance of its duties Parliament is responsible for ensuring that these standards are met and for providing adequate mechanisms to challenge the Executive for failure to meet these standards Oversight may take place in the form of periodic questions to the government in a parliamentary sessions or investigations undertaken by parliamentary commissions or votes of confidencenon-confidence Parliamentary procedures should be transparent and allow for public scrutiny Governments should be required to announce publicly within a defined time period their responses to committee investigations PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
Budget Design and Oversight Parliament is traditionally responsibly for adopting the national budget There is a growing international consensus that Parliaments around the world need to make maximum use of existing processes for exerting influence in national budget control scrutiny and accountability IPU-Res03 UPA-Res00
Parliament must have a certain amount of authority to affect the budget otherwise its role in establishing national policy and representing citizen interests will remain limited11 Involvement should extend beyond budget approval and include budget formulation tracking and accountability Unless it has substantial involvement beyond approval Parliament will do no more than rubberstamp the Executiversquos budgetary and policy decisions To promote more accountability in government Parliament should be entitled to monitor income and expenditures especially how effectively government programs and activities are administered
11 USAID Handbook
20
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Parliamentary procedures should therefore provide adequate mechanisms to oversee the Executive including accountability mechanisms targeted at budget development effective money flows budget implementation etc This can be achieved by allowing independent audits of public accounts establishing that the opposition will chair the Public Accounts Committee or a combination of the mechanisms andor others PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
International Obligations and Parliament International treaties carry a general obligation for signatory States to ratify and to adopt all necessary measures for their implementation Both functions should fall on Parliament CLHG CLHP IPU-Res03
The need for governments to respect their international law obligations has become more urgent post World War II particularly as inter-State conflicts are on the rise Legislators as law makers and representatives of the people need to be more proficient in their knowledge and understanding of human rights and humanitarian law instruments including those relating to economic social and cultural rights In a 2000 Declaration the Conference of Presiding Officers of National Parliaments outlined the four inter-connected levels of intervention for Parliaments in relation to international obligations
bull ldquoInfluencing their respective countriesrsquo policy on matters dealt with in the United Nations and other international negotiating forums
bull Keeping themselves informed of the progress and outcome of these negotiations bull Deciding on ratification where the Constitution so foresees of texts and treaties
signed by governments and bull Contributing actively to the subsequent implementation processrdquo12
Parliaments play a central role in adjusting domestic law to international standards According to the legal systems of many countries Parliaments are not only the bodies entitled to ratify international obligations but also the ones responsible for adopting the necessary implementing legislation Many international treaties particularly those related to human rights the environment gender and corruption require that States parties adjust their national legislation to match the minimum standards laid out in the treaties For example United Nations Convention against Corruption (2004) is explicitly applicable to legislators Indeed its scope covers ldquopublic officialsrdquo who are defined as including any person holding parliamentary office in a State party Compliance with this provision and others often requires the adoption of legislation Conventions generally include explicit requirements for the adoption of new laws by national Parliaments
12 Conference of Presiding Officers of National Parliaments organized by the IPU in cooperation with the UN Declaration adopted by at UN Headquarters New York 30 August ndash 1st September 2000
21
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The United Nations Convention against Corruption (2004) establishes that each State party should develop and implement anti-corruption policies
bull The Inter-American Convention against Corruption (1996) requires in its article VII the adoption by State parties of all ldquonecessary legislative or other measures to establish as criminal offences under their domestic law the acts of corruption described in Article VI(1) and to facilitate cooperation among themselves pursuant to this Conventionrdquo
As guardians of the Constitution legislators have an obligation to protect the human rights of people This obligation is reinforced by the requirement to comply with international and regional human rights treaties This obligation to protect and legislate in support of human rights should lead to increased oversight by Parliament in areas in which the Executive has traditional exercised blanket discretionary powers such as national security There has been a growing consensus on the need to shift focus away from military security to broader factors of ldquohuman securityrdquo such as environmental economic social as well as political13 PTAS11 Transparent Efficient Parliamentary Committees
Parliamentary Committees The legislative and oversight functions of Parliament are actually undertaken by Parliamentary Committees the powers and structures of which differ from country to country It is essential for these committees to be properly structured and well funded to enable them to be effective in discharging Parliamentrsquos legislative and policy making functions CLHG CPA-Media CPA-CP CPA-Rec03 CPA-REc04 IPU-GD
Committee structures may vary depending on the size of Parliament its constitutional mandate and other country-specific factors However all committees should have adequate resources both human and financial and have the power to summon witnesses including ministers as necessary to fulfill their mission Committee meetings should be generally open and allow for public attendance and participation Committee reports should be published and made readily available to both the government and the public PTAS12 Adequate Independent Parliamentary Budget
Parliamentary Budget It is the duty of the State to provide adequate resources to enable Parliament to perform its functions properly CLHG
Parliamentary independence and effectiveness to carry out its functions is eroded when Parliament lacks control over its own budget or has inadequate finances to manage its committees and carry out various other internal administrative duties14 Parliament 13 IPU and the Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born Philipp H Fluri amp Anders B Johnsson page 16 (Found at httpwwwdcafchpublicationse-publicationsHandbook_eng ) 14 Indeed without adequate resources for the training of new members secretarial office library and research facilities drafting assistance for bills etc Parliament is handicapped
22
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
should be able to design its own budget based on its needs and negotiate with the Executive the amount allocated to it from the national budget There should be sufficient autonomy over these finances by Parliament to protect the institutional independence and integrity It has been suggested that an all-party committee of members of Parliament should review and administer the parliamentary budget Moreover the parliamentary budget should not be subject to amendment by the Executive15 It is the Parliamentary budget that inter alia funds training of parliamentary support staff ensures that library and research facilities are properly and adequately equipped guarantees that legislators have the necessary support staff to undertake their functions and funds security services PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
Parliamentary Conduct Legislators are required to exhibit and promote high standards of professional conduct in order to reinforce public confidence in Parliament which is fundamental to its independence and legitimacy in a democratic society ANTICORRUPTION TREATIES CLHG CLHP
The CLHG outline three components for a comprehensive ethical framework applicable to Parliament
bull Conflict of interest rules and codes of conduct requiring disclosure of interests bull Access to ethics advisors and bull Restrictions on lobbying and interest group influence
Ethical professional conduct requires legislators not only to conform to high standards of ethics in practice but also to avoid the appearance of impropriety The need for financial transparency by public officials has increasingly gained acceptance as anti-corruption issues have become global Legislatorsrsquo professional and private conduct must be subject to some system of internal codified rules regulating standards of behavior and making disclosure of personal income and assets mandatory Other professions have codes of ethics regulating membersrsquo behavior for example doctors and lawyers Ethical rules should include conflict of interest rules outlining incompatible professional activities or interests such as holding another governmental office and restricting certain ventures such as participation or shareholding in corporations These rules should also require the submission to an independent oversight authority of disclosures of income assets and interests These disclosures should then be publicized for broader ethical monitoring by the public Disclosure of interests will go a long way in establishing institutional integrity trust and respect by the public and effective discharge of duties on the part of legislators as they are fully conscious of the ethical parameters which govern them as a profession 15 Commonwealth Latimer House Guidelines Number VII6
23
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
Discipline Just as other professionals have quasi-judicial bodies to regulate discipline and even remove members there should also be an internal or external authority to sanction legislators conduct investigations and hearings and adopt findings and conclusions There should also be a clear appeals process available to any member aggrieved by a decision CLHG
ldquoThe Committee recommends
bull The House should appoint a person of independent standing who should have a degree of tenure and not be a career member of the House of Commons staff as Parliamentary Commissioner for Standards
bull The Commissioners should have independent discretion to decide whether or not a complaint merits investigation or to initiate an investigationrdquo Recommendations of Committee on Standards in Public Life First Report16
Just as any other citizen legislators should be bound by the law In cases when legislators commit acts contrary to the laws and regulations they expose themselves to disciplinary action and prosecution Moreover there are special conditions only for the status of being public servants that they must observe such as compliance of high standards of ethics assets disclosure and conflict of interest rules There must be a clear system of sanctions for non-compliance with the laws and regulations The disciplinary process in representative bodies is a very sensitive one It should not be used to punish the opposition or dissidents In this sense the existence of an objective internal or external body to sanction legislators is essential to the proper operation of the system An additional problem represents the immunity that all legislators should have The immunity is a protection to ensure that legislators can perform their duties without interference it should not however be used as an excuse to avoid sanctions for common misconducts or crimes PTAS15 Parliamentary Immunity
Immunity Legislators shall enjoy personal immunity from civil suits and criminal prosecution for acts and omissions in the exercise of their functions CLHG ECOWAS-P IPU-GD
Legislators should enjoy some degree of immunity from prosecution or civil suit for acts and omissions in the exercise of their functions However no one should be exempted from accountability The requirements of parliamentary independence from political institutional and societal forces must be balanced against those of public accountability
16 These recommendations were implemented by the House of Commons England A Standing Order setting up the office of Parliamentary Commissioner for Standards was set up on 6 November 1995
24
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Consequently the immunity regime should be strictly regulated especially through the recognition of
bull Clear limited scope of immunity (for example it should not cover acts performed outside of office nor common crimes) and
bull Possibility of waivers in clearly defined cases and following a transparent procedure
Regarding the scope of parliamentary immunity its historical roots lie with the freedom of speech of legislators as recognized in the British and American Bills of Rights The underlying justification for immunity is that it allows legislators to fulfill their mandate without fear of retaliatory measures on account of their positions or votes Legislators must therefore be protected against arrest and detention or civil and criminal prosecution for any acts performed or words spoken while in office or in the conduct of parliamentary affairs Legislators should not be subject to any form of inquiry detention or legal proceedings in respect of opinions expressed or votes cast by them in the performance of their duties Immunity should not be limited to acts or speech within the parliamentary facilities Rather immunity must be interpreted as broadly as possible For example the members of the European Parliament enjoy immunity in their own States in the territories of other Member States and whilst traveling to and from the place of the meeting of the European Parliament However immunity should not be absolute The immunity regime applicable to legislators should provide for the possibility of waiving this immunity in limited circumstances in the interests of justice Immunity is not a privilege benefiting individual members but rather a guarantee protecting the independence of Parliament and its members in their relations with other governmental and private bodies17 Parliamentary privileges must be clearly defined and established by law These immunities are not meant to place legislators above the law but to protect them from possible groundless proceedings or accusations that may be politically motivated The grounds and terms for lifting of immunity must be clearly specified by law so that this may only occur following a decision taken by a competent body on a non-partisan basis PTAS16 Parliamentary and Public Access to Information
Access to Information Legislators as well as the general public must have access to accurate timely information and data including legislation parliamentary procedures governmental data and relevant research data Banjul CLHG CLHP CPA-Media CPA-CP CPA-Rec03 CPA-Rec04 CSCE-CD ECHR IACHR ICCPR IPU-DD IPU-GD IPU-Res03 UNHCHR
17 ECPRD Parliamentary Codes of Conduct in Europe by Veronica Williams November 2001
25
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
The free flow of information is essential in a democratic society Access to information should not only be viewed in relation to the media and civil societyrsquos right to access governmental documents but also in relation to the legislatorsrsquo right to access relevant research and information from the government and other sources Access to information can be facilitated by the use of databases networks and information technology in general The media should be free to report the activities of Parliament and the public should be able to attend parliamentary meetings and Committee sittings where appropriate The CPA encouraged Parliaments ldquoto provide live coverage of their proceedings on a dedicated channel andor onlinerdquo in its Recommendations for an Informed Democracy The environment should be made conducive for civil society organizations the public and multiple stakeholders to exchange information with legislators to enable Parliament to effectively discharge its duties of oversight policy making law making representation and recruitment This could be achieved through the establishment of a public information office within Parliament Bills and Acts of Parliament must be published regularly and should be freely available to the public Indeed the CSCE Copenhagen Document notes that ldquolegislation adopted at the end of a public procedure and regulations will be published that being the condition of their applicability Those texts will be accessible to everyonerdquo In its recommendations following a conference on ldquoWhat Parliament and Legislators Can Dordquo the CPA noted that access should be granted ldquoto basic information and documents produced by the parliamentary process such as access to parliamentary libraries the provision of on-line information and the distribution of Parliamentary speeches promptly after delivery in the Houserdquo18 The type of information available to the public and to legislators should include
bull Attendance and voting records bull Registers of membersrsquo interests bull Bills and Acts of Parliament bull Procedural rules bull Codes of Conduct
Legislators should also have access to parliamentary archives as well as all necessary information and data from the government The IPU Guidelines note that ldquolegislators from the majority and the opposition alike are equally entitled to receive in a timely manner the same information from the governmentrdquo
18 Parliament and The Media Building an Effective Relationship 15-18 February 2000 [CPA-Media]
26
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS17 Adequate Facilities Equipment and Technology
Adequate Infrastructure Parliament should have at a minimum the necessary infrastructure and technical assistance including research capacity adequate facilities and equipment to enable it to carry out its basic democratic functions CPA-Rec03 CPA-Rec04 IPU-GD
The working conditions of legislators must be adequate and reflect the importance of Parliament as a key democratic institution Parliament must be housed in one or more buildings with the necessary equipment and office space for legislators and their staff including tables chairs and all other necessary office equipment Adequate resources must be allocated to Parliament andor legislators and support services to maintain and equip their facilities Some of the facilities and services which can be reasonably expected to be available to legislators include
bull Offices bull Secretarial services (general andor individual) bull Library and archive facilities bull Research services (to which requests for information can be submitted) and bull Information technology
In its 2002 Report the CPA Study Group highlights the importance of information technology including ldquoimproved networking between legislators and constituents among legislators between legislators and Parliament and better information sharing and record keepingrdquo Information technology can also facilitate access to information and best practices on the broad range of issues which fall under the purview of parliament including human rights socioeconomic rights and gender issues The use of information technology could include the development of intra-parliament networks and of searchable public databases on parliamentary activity as well as the increased access to outside information for legislators PTAS18 Professional Training for Legislators and Staff
Adequate Training Resources must be allocated to training programs both for new legislators and for the continuing education of sitting legislators These programs must be geared towards developing the skills required by parliamentary functions as well as exposing legislators to substantive issues and developments affecting their legislative oversight and representative functions CLHG CPA-CP
Training should be geared towards providing legislators with the specific skills and knowledge necessary to fulfill their parliamentary functions Legislators just like other professionals need continuing education programs and professional development to keep them updated on emerging democracy and governance trends Equally significant is the need to properly train new or incoming legislators on the constitutional rights and obligations of Parliament internal procedures and order of business ethics etc
27
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS19 Adequately-Compensated Research Library and Committee Staff
Support Staff ldquoParliament should be serviced by professional staff independent of the regular public servicerdquo CLHG IPU-GD
Parliamentary support staff in sufficient numbers and with the appropriate professional skills is crucial for an effective institution Parliamentary staff performs duties such as
bull Assisting in bill drafting bull Tracking the status of bills in the legislative process bull Maintaining and in some cases designing web sites bull Producing and drafting documents about the legislature bull Undertaking accounting and various other clerkship duties
High turnover of parliamentary staff requires more money for attracting new competent staff and providing them with the necessary training It is important to ensure that staff is reasonably well compensated to attract good candidates for the job who will retain their jobs longer When vacancies are not rapidly filled parliamentary work can be undermined resulting in misplacement of documents errors and overall inefficiency Parliamentary staff should be independent from other public service offices Their selection promotion and discipline must be clearly defined and reflect merit-based criteria and transparent processes Professional development opportunities and training should be offered to them The longer support staff stay in Parliament the more it benefits the institution especially as it may provide new legislators with the information and support necessary to adapt to their new functions faster
28
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 1 List of Acronyms
Banjul African Charter on Human and Peoplersquos Rights (1986) CEDAW Convention on the Elimination of All Forms of Discrimination
against Women ICERD Convention on the Elimination of All Forms of Racial
Discrimination CLHP Commonwealth Latimer House Principles on the Accountability and Relationship between the Three Branches of Government (2003) CLHG Commonwealth Latimer House Guidelines (1998) CPA Commonwealth Parliamentary Association CPA-Media Parliament and the Media Building an Effective Relationship
CPA (2000) CPA-CP Capetown Principles for an Informed Democracy CPA (2002) CPA-Rec03 Recommendation for an Informed Democracy CPA (2003) CPA-Rec04 Recommendation for Transparent Governance CPA (2004 CSCE Conference on Security and Cooperation in Europe CSCE-CD Copenhagen Document CSCE (1990) CSCE-MD Moscow Document CSCE (1991) ECHR European Convention on Human Rights and Fundamental
Liberties (1951) ECOWAS-P Protocol ASP11202 on Democracy and Good Governance
ECOWAS (2001) IACHR Inter-American Convention on Human Rights (1978) ICCPR International Covenant on Civil and Political Rights (1966) IPU Inter-Parliamentary Union IPU-DD Universal Declaration on Democracy IPU (1997) IPU-GD Guidelines and Duties for the Opposition in Parliament IPU (1999) IPU-Res03 Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World IPU (2003) UPA Union des Parlementaires Africains [African Parliamentary Union] UPA-Res00 Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence Building between Peoples and their Institutions (2000) UNHCHR United Nations High Commissioner for Human Rights Resolution
200047
29
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 2 Bibliography Governmental Documents
bull Commonwealth Latimer House Standards bull Commonwealth Latimer House Guidelines bull Commonwealth Parliamentary Association (CPA) Parliament and the Media
Building an Effective Relationship bull English Bill of Rights 1689 bull Inter-Parliamentary Union (IPU) Guidelines bull ECOWAS Protocol on Democracy and Good Governance Supplementary to the
Protocol Relating to the Mechanism for Conflict Prevention Management Resolution Peacekeeping and Security
bull Protocol on the Privileges and Immunities of the European Communities bull ECPRD Parliamentary Codes of Conduct in Europe (Compilation by the Council
of Europe Parliamentary Assembly) bull IPU Universal Declaration on Democracy bull International Covenant on Civil and Political Rights (ICCPR) bull The African (Banjul) Charter on Human and Peoplersquos Rights bull The Johannesburg Standards National Security Freedom of Expression and
Access to Information bull Document of the Copenhagen Meeting of the Conference on the Human
Dimension of the CSCE 1990 bull Declaration of Principle on Freedom of Expression in Africa bull Union des Parliamentaires Africains on the Role of Parliaments in the
Consolidation of Democracy and Confidence-Building Between the Peoples and their Institutions 23rd Conference in Addis Ababa 24-25 November 2000
bull The Harare Declaration bull IPU Conference of Presiding Officers of National Parliaments bull International Convention on the Elimination of All Forms of Racial
Discrimination bull Convention on the Elimination of All Forms of Discrimination Against Women bull Report of the Ethics Reform Task Force on H Res 168 105th Congress 1st
Session 17 June 1997 (found at httpwwwhousegovethicsethicsreporttxt ) bull Parliamentary Standards and the Wicks Committee Report Standard Note
SNPC2200 24 June 2003 by Ruth Winstone (found at httpwwwparliamentukcommonslibresearchnotessnpc-02200pdf )
bull Committee on Standards in Public Life First Report Cm 2850 Volume 1 11 May 1995 (found at httpwwwarchiveofficial-documentscoukdocumentcm282850285002pdf )
bull Committee on Standards in Public Life Sixth Report Reinforcing Standards Cm 4557 Volume 1 January 2000 (found at httpwwwpublic-standardsgovuk )
bull Committee on Standards in Public Life Eighth Report Cm 5663 Standards of Conduct in the House of Commons November 2002 (found at httpwww-standardsgovukreports8th_reportreporteighthreportpdf
bull African Union Declarations and Decisions
30
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The African Commission Declaration of Principle on Freedom of Expression in Africa
bull United Nations High Commissioner for Human Rights Resolution 200047
Non-Governmental Documents Transparency and Accountability of the Parliament
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Anti-Corruption Commissions Panacea or Real Medicine to Fight Corruption By John Heilbrunn 2004
bull PREM Notes Public Sector No 74 October 2002 Strengthening Oversight by Legislatures (found at httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull PREM Notes Public Sector No63 March 2002 Strengthening Legislatures Implications from Industrial Countries (found at httpwww1worldbankorgpremPREMNotespremnote63pdf )
bull WBI Working Papers Building a Clean Machine Anti-Corruption Coalitions and Sustainable Reforms by Michael Johnston and Sahr J Kpundeh 2002
bull IFES IFES Parliamentary Toolkit Transparency and Accountability Tools for Civil Society
bull PREM Notes Public Sector No59 October 2001 Features and Functions of Supreme Audit Institutions
bull World Bank Institute Improving Governance and Controlling Corruption Towards a Participatory and Action-oriented Approach Grounded on Empirical Rigor October 2001
bull World Bank Towards Transparency in Finance and Governance by Tara Vishwanath and Daniel Kaufman September 6 1999
bull World Bank Institute Pillars of Integrity The Importance of Supreme Audit Institutions in Curbing Corruption by Kenneth M Dye and Rick Stapenhurst 1998
bull Association of Secretaries General of Parliaments (ASGP) Promoting the Work of Parliament Report by Mr Ian Harris Clerk of the House of Representatives of Australia19 Autumn 2000 (found at httpwwwasgpinfodiscussionshtmstudies)
bull USAID Handbook on Legislative Strengthening httpwwwusaidgovour_workdemocracy_and_governancegovhtml
bull Parliamentary Centre Canada Controlling Corruption A Parliamentarianrsquos Handbook httpwwwparlcentcaindex_ephp
bull Parliamentary Centre Canada Parliamentary Accountability and Good Governance httpwwwparlcentcaindex_ephp
19 This report contains a detailed analysis of the answers from a Questionnaire of how the public is provided information about the operation and work of Parliament The review was launched at the Conference of the Association of Secretaries General of Parliaments which was held in Autumn 2000 in Jakarta
31
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Center for Democracy and Governance February 2000 USAID Handbook on Legislative Strengthening
bull Parliamentary Centre Parliamentary Accountability and Good Governance A Parliamentarianrsquos Handbook
bull Parliamentary Centre Forum on Parliamentary Reform bull NEPAD Library Emerging Legislatures in Emerging African Democracies bull Commonwealth Parliamentary Association and World Bank Institute
Recommendations for Transparent Governance Conclusions of a CPA Study Group on Access to Information Accra Ghana 5-9 July 2004
bull GOPAC Parliamentarians Fighting Corruption A Conceptual Overview PCentrefsPCentreSProjectsParliamentary_RelationsGOPACWBI
bull International IDEA Democracy Assessment Questionnaire wwwideaintideas_work14_statedemocracy_assessmentpdf
bull NDI and UNDP Parliaments and Poverty Series Toolkit No1 Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Strengthening the Accountability Process and Parliamentary Reform A Report on the Parliamentary Roundtable Held in Bhurban Pakistan March 1-2 1997
Independence of the Parliament bull NDI Strengthening Legislative Capacity in Legislative-Executive Relations
Paper 6 httpwwwndiorgglobalpgovgovernanceasp bull Venice Commission Opinion on the Draft Proposal for Rules of Procedure of the
Assembly of the Republic of Macedonia by Georg Nolte July 5 2002 bull Venice Commission Report on the Referral of a Law Back to Parliament by the
Head of State November 15 1996 bull AGSP The Role of the Secretary General in the Administration of Parliament
Report by Mr Ugo Zampetti General Secretary of the Chamber of Deputies (Italy) October 2000 Review no 180
bull AGSP Constitutional and Parliamentary Information The Status of Parliamentary Groups
Parliamentary Immunity
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union Part Three Immunity in the European Parliament June 2001
bull Venice Commission Opinion 11995 Report on the Regime of Parliamentary Immunity CDL ndash INF(1996) 007 6496 (found at httpvenicecoeintsitedynamicsN_Opinion_efaspampL=EampOID=1 )
bull Venice Commission Supplementary Opinion on the Revision of the Constitution of Romania October 18 2002
32
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Venice Commission Draft Report ndash The Regime of Parliamentary Immunity April 29 1996
bull Venice Commission Questionnaire on Parliamentary Immunity prepared by Mr GW Maas-Geesteranus June 19 1995
Freedom of Parliamentary Speech
bull AGSP The Immunities of Members of Parliament Report prepared by Mr Robert Myttenaere September 1998
bull AGSP Position of Witnesses before Parliamentary Committees Report prepared by Mr Demaree JB Raval April 1997
Conflict of Interest amp Ethics
bull Parliamentary Affairs A Journal of Comparative Politics Volume 55 No 4 October 2002 Conduct Unbecoming The Regulation of Legislative Ethics in Britain and the United States by Robert Williams
bull Parliamentary Affairs A Journal of Comparative Politics Volume 52 No 3 July 1999 Parliament in the Age of Internet by S Coleman JA Taylor and W Van de Donk
bull European Centre for Parliamentary Research and Documentation (ECPRD) Parliamentary Codes of Conduct in Europe an Overview November 2001
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union June 2001
bull Research Paper Commissioned on behalf of The Committee on Standards in Public Life May 2002 The Regulation of Parliamentary Standards ndash A Comparative Perspective (found at httpwwwpublic-standardsgovukreports8th_reportreportresearchdoc
bull House of Representatives Resolution 168 on the Report of the Ethics Reform Task Force 18 June 1997
bull NDI Accountability Ethics and Transparency in Government Pakistan Study Mission to South Africa June 3 1997
bull NDI Report on Regional Consultative Workshops ndash Ethics Questionnaire August 1998
bull Council of Europe Steering Committee on Local and Regional Democracy (CDLR) Public Ethics at Local Level Model Initiatives Package November 25 2002
bull NDI Legislative Research Series Paper No 4 ndash Legislative Ethics A Comparative Analysis 1999
bull OECD United States Case Study ndash Ethics and Corruption The Management of Ethics and Conduct in the Public Service by Stuart Gilman December 1995
bull OECD Recommendations of the Council on Guidelines for Managing Conflict of Interest in the Public Service June 2003
33
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Sanction and Removal of Legislators bull Venice Commission Comments on the Draft Law of the Chechen Republic on
Elections to the Parliament of the Chechen Republic As Submitted to Referendum by Mr G Nolte March 23 2003
bull Venice Commission Opinion on the Draft Law on the Public Attorney (Ombudsman) of ldquoThe Former Yugoslav Republic of Macedoniardquo March 15 2003
bull Venice Commission Comments on the Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia by Ms Serra Lopes February 28 2003
bull Venice Commission Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia February 2003
bull WBI PREM Notes Public Sector Number 19 April 1999 Using an Ombudsman to oversee Public Officials
bull AGSP The Office of the Parliamentary Ombudsman March 1994 Salaries and Benefits of Legislators
bull AGSP The Social Protection of Parliamentarians Report by Mrs Helene Ponceau General Secretary of the Senate Quaestorrsquos Office [Havana Senate Treasurerrsquos Department] Review No 181 April 2001
Professional Development and Training
bull SADC Parliamentary Forum MPs Orientation Handbook ndash Professional Performance and Development httpwwwsadcpforgaboutindexasp
The Parliament and the Budget Cycle
bull OECD Development Centre Policy Brief No 22 Strengthening Participation in Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD May 2001 OECD Best Practices for Budget Transparency bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and
Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull ASGP The Administrative and Financial Autonomy of Parliamentary Assemblies Report prepared by Michel Couderc (France) adopted at the Moscow Session (September 1998)
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development The Legislature and the Budget by Frederick Stapenhurst 2004 httpwwwworldbankorgwbigovernanceparliament
34
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull WBI Working Papers Series on Contemporary Issues in Parliamentary
Development Parliaments and the PRSP Process by Scott Hubli and Alicia P Mandaville 2004
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull WBI PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull WBI PREM Notes Public Sector Number 74 October 2002 Strengthening Oversight by Legislatures
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull Commonwealth Parliamentary Association (CPA) The Parliamentarian 2002
Issue Two 179 Parliaments and Poverty by Ms Frannie A Lrsquoeautier bull Parliamentary Centre Canada and WBI and CIDA (with support from the
International Development Research Centre) Handbook on Parliamentarians and Policies to Reduce Poverty May 2001
bull Parliamentary Centre Cambodia Focus Group on Parliamentrsquos Role in the Budget Process Analysis
bull Parliamentary Centre Indicators of Parliamentary Performance in the Budget Process
bull The International Budget Project Legislatures and Budget Oversight httpwwwinternationalbudgetorgthemesLEGindexhtm
bull NDI Legislatures and the Budget Process An International Survey 2003 httpwwwndiorgglobalpgovgovernanceasp
bull NDI Parliaments and Poverty Series Toolkit No1 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Parliaments and Poverty Series Toolkit No2 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives
35
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull NDI Parliaments and Poverty Series Toolkit No3 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative Public Outreach on Poverty Issues
bull UNDP IPU WBI and UNIFEM Parliament The Budget and Gender httpwwwundporgdpapublicationsgovernancehtml
bull IMF Finance amp Development Magazine December 2002 Volume 39 Number 4 A Bigger Role for Legislators
bull Case Study PRSPs and Parliament by Stephen Langdon bull Ministry of Foreign Affairs Netherlands March 2002 Economics and Finance
(b) Budget Impact Assessments (Gender Budgeting) bull Cagatay N M Keklik R Lal and J Lang (2000) ldquoBudgets As if People
Mattered Democratizing Macroeconomic Policiesrdquo SEPED Conference Paper Series Number 4 May
bull Navarro Z (1998) ldquoParticipation Democratizing Practices and the Formulation of a Modern Policy ndash the Case of ldquoParticipatory Budgetingrdquo in Porto Alegre Brazil (1989-1998) Development Sage London Volume 41 number 3 September
Representative and Inclusive Parliament
bull Commonwealth Parliamentary Association (CPA) Commonwealth Women Parliamentarians Into The Democratic Mainstream August 2002
bull CPA EnGendering Development and Democracy May 2004 bull IPU and UNDP Guidelines on the Rights and Duties of the Opposition in
Parliament May 19 1999 (Unanimously adopted by the participants at the Parliamentary Seminar on Relations Between Majority and Minority Parties in African Parliaments Libreville (Gabon) 17-19 May 1999)
bull AWEPA European Parliamentarians for Africa OPS7 Parliamentary Gender Handbook South Africa 2001 (found at httpwwwawepaorgdownloadsOPS07-_Parliamentary_Gender_Handbook-_South_Africapdf
Free Elections of Legislators
bull Venice Commission Opinion 2502003 Report on Electoral Systems - Overview of Available Solutions and Selection Criteria Adopted by the Venice Commission at its 57th Plenary Session CDL ndash AD(2004)003 (found at httpvenicecoeintdocs2004CDL-AD(2004)003-easp )
bull Venice Commission Opinion 2392003 Comments on the Draft Law of the Chechen Republic on Elections to the Parliament of the Chechen Republic CDL (2003)021rev (found at httpvenicecoeintdocs2003CDL(2003)021rev-easp )
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Resolution 1320 (2003) httpassemblycoeintDocumentsAdoptedTextTA03ERES1320htm
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Document 9267 15 October 2001
36
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
GLOBAL BEST PRACTICES A MODEL ANNUAL STATE OF THE PARLIAMENT REPORT
A Strategic Tool for Promoting Monitoring and Reporting on Parliamentary Transparency and Accountability Reforms and Engendering Global Debate
ABSTRACT
The unfolding historic democratic global transition is not sustainable without viable democratic legislatures or parliaments The objective of this working white paper is to present a strategic monitoring and reporting framework that can be used by all stakeholders to ensure that parliaments have the capacity independence and support necessary to fulfill their constitutional responsibilities to both the government and the people they are supposed to represent This paper is primarily written for the benefit of and from the perspective of developing and transition countries Towards that end it posits that a minimal set of standards best practices and indicators of progress has emerged from global experience during the wave of democratic reforms that has swept the world over the last several decades While it is acknowledged that most developing and transition countries can not implement all of these standards simultaneously for various reasons it attempts to prioritize and link-up a set of minimal standards among the nineteen captured as being essential building blocks for a solid foundation upon which democracy can be built over time The paper notes that the parliament remains a very weak sister among democratic institutions in virtually all developing and transition countries and it notes that this essential democratic institution needs much more attention and support from reformers officials civil society and the international community
6
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
GLOBAL BEST PRACTICES A MODEL ANNAUL STATE OF THE PARLIAMENT REPORT
A Strategic Tool for Promoting Monitoring and Reporting on Parliamentary Transparency and Accountability Reforms and Engendering Global Debate
1 Overview Country Context and Methodology
a The Functions of Parliament in the Country Context ldquoParliament is the institution that embodies society in the diversity of its composition and its opinions and which relays and channels this diversity in the political process Its vocation is to regulate tensions and maintain equilibrium between the competing claims of diversity and uniformity individuality and collectivity in order to enhance social cohesion and solidarity Its role is to legislate inter alia by allocating financial resources and oversee the action of the Executiverdquo IPU Guidelines1 Number II4
The international consensus recognizes five broad and basic functions to Parliaments namely
Policymaking Lawmaking Oversight of the Executive Constituency representation Political recruitment2
The three most important functions are the representative the lawmaking and the oversight roles3 In order to monitor the state of the Parliament as a way to undertake reforms to strengthen institutional capacity and independence an analysis of compliance with standards of parliamentary structure and activity must be undertaken within the specific country context The analysis of the country-specific context must include
bull Political background bull Constitutional and international rights and obligations bull Relationships between the Parliament the Executive and the Judiciary bull Public perception and public access to Parliament and bull Socioeconomic cultural and traditional context
1 Inter-Parliamentary Union Guidelines on the Rights and Duties of the Opposition in Parliament Libreville (Gabon) 17-19 May 1999 2 Id 3 USAID Handbook on Legislative Strengthening page 1 Executive Summary Center for Democracy and Governance February 2000
7
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Political Background Key Issues
Assessment of the form of government presidential premiership or others Key developments relevant to the independence and capacity of Parliament Assessment of the level of political will to effect parliamentary reform and level
of political space allowed by the Executive for reform The relationship between the government and the opposition parties in
Parliament and The level of party discipline and control of legislators and parliamentary
Committees Constitutional and International Rights and Obligations Key Issues
Constitutional design attribution and scope of each of the three branches of government
Key constitutional and legal provisions designing the shape and functions of the Parliament
Practices that may differ or go beyond legal provisions affecting the Parliament and
International standards and obligations related to parliamentary matters Relationship between Parliament the Executive and the Judiciary Key Issues
Historical relationship between the three branches of government Role of the Parliament in practice as it relates to the other two branches Oversight powers of Parliament over the other two branches of government both
under the law and in practice Overlapping functions between the three branches of government Independence of the Parliament from the Executive and Intra-parliament and inter-institutional relations
Public Perception and Public Access to Parliament Key Issues
Public image of Parliament its members and the parliamentary process Public trust of Parliament Degree of interaction between Parliament and civil society the existence of a
institutional relations office a periodic publication to inform regarding parliamentary issues a parliamentary TV channel etc)
Citizensrsquo capacity to initiate bills Openness of parliamentary meetings and committee hearings Percentage of meetings commonly open to the public Frequency of citizen attendance to public meetings Media coverage of parliamentary issues and Reaction of the Parliament to public perception
8
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Socio-Economic Cultural and Traditional Context Key Issues
Analysis of the socioeconomic situation (ie class structure wealth distribution prevalence of patterns of corruption)
Traditional role of Parliament Traditional status of legislators Role of political parties in recruiting and expressing cultural demands and Degree to which cross-cutting issues such as religion and gender affect the
composition of the Parliament
b Scope of the State of Parliament Report the IFES Parliamentary Transparency and Accountability Standards PTAS4
This paper presents and explains 19 Parliamentary Transparency and Accountability Standards (PTAS) around which an Annual State of Parliament (SOP) report may be developed The PTAS are in part based on the overarching separation of powers principle which means that a democratic legislature should be an independent institution with the capacity resources and governmental and public support to perform its constitutional duties such as lawmaking government oversight and constituency representation in a transparent accountable manner The standards cover a broad range of transparency and accountability issues highlighting the rights and obligations of both the institution as well as its members This model framework presents a set of core standards guiding the design of a democratic Parliament including a targeted set of minimal standards that are designed to establish the foundation for democratic governance and broader sustainable reforms The minimal standards are based largely upon consensus global standards and practices found either in international law or actual democratic global experience This approach acknowledges the fact that most emerging democracies cannot simultaneously implement all of the nineteen (19) standards and that some are more crosscutting and fundamental than others While more debate needs to occur on the minimal principles approach one of the purposes of this paper is to engender this debate by placing them on the global discussion table In effect the paper advances the notion that these standards should be priority reforms in all transition countries and it encourages the inclusion of other priority standards within differing country contexts These crosscutting minimal standards we would like to center the global debate on are PTAS 1 2 6 7 9 10 11 12 and 16 While the other standards are clearly very important implementing these alone in most transition countries will be a very tall task It is also worth noting that these standards also capture some of the others that are closely inter-related such as PTAS 16-19 which are all contingent on having an adequate parliamentary budget (PTAS 12)
4 The Parliamentary Transparency and Accountability Standards are based on the overarching principle of Parliamentary independence distinct from the Executive and Judiciary arms of government and cover issues of transparency and accountability of the institution as well as the members
9
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
The PTAS emerged after a thorough review of international and regional governmental and non-governmental declarations standards guidelines and standards (cited in Annex 2) This review included in-depth analysis of relevant papers studies country and regional surveys and best practices including the work of Parliamentary Associations such as the Commonwealth Parliamentary Association the Canadian Parliamentary Centre the European Parliament and the Inter-Parliamentary Union IFES is now refining the framework in close consultation with a number of these organizations as well as the Consumer Rights Commission of Pakistan where we are developing a report for possible replication throughout the region IFES also reviewed the considerable research and experience of a number of governmental institutions such as the World Bank the National Democratic Institute UNDP USAID the OSCE and the OECD The PTAS are not intended to duplicate the work undertaken by these organizations and others Rather they constitute an attempt to identify consensus Standards which should be found in any democratic Parliament and to present them in a systematic framework Thus the PTAS can be used as the backbone for drafting annual country-specific SOP Reports The model framework for SOP Reports constitutes a component of the IFES Parliamentary Toolkit designed to help civil society and Parliament monitor report on and promote parliamentary transparency and accountability By reporting and monitoring progress against a core set of benchmarks and consensus Standards a SOP Report will assist a diverse range of civil society and governmental stakeholders to prioritize a parliamentary reform agenda in a systematic manner The SOP Report is intended to assess the effectiveness of Parliaments in emerging democracies but also to equip multiple civil society and governmental stakeholders with the information necessary to prioritize and implement parliamentary transparency and accountability reforms
The IFES PTAS and model SOP Framework are grounded in bull International and regional consensus Standards and best practices of
Parliamentary transparency and accountability bull Core international regional and constitutional obligations bull A general overview of the relevant country legal and institutional framework
c Multifaceted Methodology The model SOP framework is designed to lay out the standards and the methodology necessary to assess the transparency accountability and performance of Parliaments around the world against a set of core benchmarks grounded in international and regional best practices The framework captures consensus Parliamentary Transparency and Accountability Standards (PTAS) identified in a series of international and regional treaties declarations guidelines and practices related to the parliamentary structure and
10
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
responsibilities In identifying the PTAS and the framework we sought to include a variety of sources representing a broad consensus The sources are listed in annex Each of the consensus PTAS was disaggregated into qualitative and quantitative indicators5 Indicators designed to assess the level of compliance with each PTAS are a core element of the framework The use of indicators is necessary to obtain a clear picture of where improvements are needed and which achievements and shortcomings affect the Parliament These indicators are not designed to stigmatize countries in comparison to others While the use of a uniform framework and measurements based on indicators will allow for some degree of comparison each Parliament evolves in a set of country-specific circumstances Compliance with the PTAS within a given country-context is the objective of our endeavor Identifying the PTAS and disaggregating them into indicators is an evolving process Standards are slowly emerging as national stakeholders gather in the international arena in search of guidelines to improve independence and efficiency Like new standards emerging indicators can continuously be refined to clarify the contents of each PTAS Standards without indicators are empty concepts which can be interpreted in many different ways depending on the author of the report Indicators help define the PTAS and provide a concrete guide for the assessment of compliance The draft indicators are available in a separate attached document The framework is built around the need to implement and link up key reforms embedded in the PTAS Each country report is developed through a multifaceted methodology that incorporates an array of information resources necessary to assess the level of PTAS compliance (i) desk studies of all relevant laws institutions and international obligations (ii) analysis of existing best practices country studies and research (iii) interviews and surveys of experts and key stakeholders and (iv) analysis of the operation of Parliament in practice The PTAS and their accompanying indicators serve as the guideposts with which to measure implementation progress or regression on a periodic basis While all the PTAS are important and their relevance in the country context varies IFESrsquo working assumption for each report is that certain mutually supportive principles are essential to establishing the legal enabling environment necessary to build an independent accountable Parliament and a Rule of Law culture We also believe that for purposes of capturing global issues lessons learned model programs across borders it is also important for all country reports to uniformly cover a specific set of standards
5 We chose the term ldquoindicatorrdquo because is the most commonly used in the literature on similar topics and we recognize its value In fact we intend to describe and analyze the state and performance of the Parliaments through what can also be called ldquosearch questionsrdquo that will allow to look to the Parliaments uniformly Having indicators will bring coherence and systematization to the national SOP reports
11
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Compiling a National SOP Report The framework was created to serve both as (i) a tool for civil society to monitor parliamentary activity and identify spaces for improvement and participation and (ii) a tool for legislators to assess their own institution Each report should be compiled with the following in mind
Combining a civil society evaluation and a parliamentary self-evaluation will lead to a better report
Sharing information with civil society will be a first step towards strengthening collaborative partnerships between Parliament and the people
The indicators will provide two sorts of data (i) quantitative data such as how many legislators timing of elections number of commissions etc and (ii) qualitative data on the performance of Parliament through an analysis of the processes of parliamentary life and
The PTAS cover to three key aspects of parliamentary operations and activity transparency accountability and efficiency
Assessment of the level of compliance with each PTAS is guided by an examination of relevant laws and practices identified through a survey of legislation and interviews of key stakeholders There are three degrees of compliance
bull Formal compliance (laws and decrees) bull Compliance in practice (effective implementation of laws and decrees as well as
of constitutional and conventional principles) and bull Quality and integrity of the compliance in practice (fair implementation for all)
The Report outlines in the country context the legal and institutional framework within which the judiciary operates The indicators serve as guideposts for the analysis of the level of compliance with each PTAS This analytical process will lead to an overall judgment as to whether there is a ldquosatisfactoryrdquo ldquopartially satisfactoryrdquo or ldquounsatisfactoryrdquo JIP compliance with the possible nuance of ldquoimprovingrdquo or ldquoregressingrdquo and to present prioritized reform recommendations
2 Relevant International and Domestic Legal and Institutional Framework
a International and Regional Obligations IFES has examined various documents relating to the relevant international and regional governmental and non-governmental declarations Standards best practices and guidelines on issues of parliamentary independence transparency and accountability Each annual country-specific SOP Report should present a list of relevant applicable international and regional obligations including
Declarations on democracy and parliamentary independence and best practices guidelines and Standards by international and regional Parliamentary
12
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Associations eg the Commonwealth Latimer House Standards the IPU Declaration on Democracy
International and regional human rights treaties and human rights court and commission case law eg the Universal Declaration of Rights the International Covenant on Civil and Political Rights the UN High Commission on Human Rights Resolution 200047 and
Non-governmental guidelines
b Constitutional Standards Each annual country-specific SOP Report should outline the constitutional Standards related to the separation of powers and parliamentary independence including
The guarantees of parliamentary independence lawmaking powers and other key Standards
The roles of parliamentary committees and of party caucuses The powers to develop amend or review budget and levy taxes The power to question Ministers hold hearings conduct investigations and call
witnesses The power to appoint andor confirm candidates to high-level positions in the
other branches of government The power to access information about government activities and programs6
c Country Legal Framework
In presenting the legal framework each annual country-specific SOP Report should include a review of the relevant applicable legislation and regulations affecting parliamentary transparency and accountability such as
The institutional structure of the Parliament Standing Rules of Order Parliamentary internal regulatory framework Access to information legislation Anticorruption legislation Political party campaign financing regulations and Parliamentary Codes of Ethics and conflict of interest rules
d Country Institutional Framework
In presenting the institutional framework each annual country-specific SOP Report should present a review of the relevant institutional characteristics affecting the Parliament such as
Intra-parliamentary structures bicameralunicameral Committees support services etc
6 USAID Handbook on Legislative Strengthening page 15
13
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Extra-parliamentary structures and governmental relationships Ombudsman political parties Ministry of Justice civil society organizations with watchdog role and
Oversight mechanisms
3 Assessment of the Level of Compliance with the PTAS For each of the PTAS this Model Framework for an annual SOP Report will present
bull Guidelines based on international and regional standards and best practices and
bull Indicators to monitor the level of compliance or non-compliance PTAS1 Independence of Parliament
Institutional Independence Separation of power Standards mandate a Parliament independent from the other two branches of government the Executive and the Judiciary This independence must translate itself into freedom from external pressure and interference In the exercise of its functions Parliament should be subject only to the Constitution and the law CLHP ECOWAS-P UPA-Res00
The institutional independence of Parliaments rests in the doctrine of separation of powers This doctrine is widely accepted internationally as a tenet of democratic societies and is now formally recognized in the Constitutions of most countries7 The separation of powers is either expressly mandated in the Constitution or a document having constitutional value or it is found in the practical organization of the three powers8
Parliament must also be free to legislate and introduce legislation otherwise it is relegated to a rubber-stamping institution for the Executive Finally Parliament must be entrusted with the freedom to organize itself to decide on its own rules of procedures and the proceedings for parliamentary bodies The principle of independence has broader implications Indeed it is now agreed that independence must be recognized to not only Parliament as an institution but also to legislators in the exercise of their functions Both the institution and its members must be free from undue interference and external controls emanating of the other branches of government the Executive and the Judiciary as well as from forces within society such as political parties the private sector the media and others Indeed interferences would
7 ASGP Report dated September 1998 by Michael Couderc The Administrative and financial autonomy of Parliamentary Assemblies page 1 (found at wwwasgpinfopublicationshtm ) The report states that exceptions to this general rule appear the Cyprus Kenya and Switzerland Parliaments 8 Ibid Most countries now have adopted Constitutions but there are some noteworthy exceptions such as the United Kingdom
14
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
render impossible the exercise of the core functions of Parliament lawmaking and oversight In order to be independent legislators must be able to discharge their duties without fear for their physical security or the well being of their families and staff This principle requires the State to provide security services for legislators and to secure the House of Parliament PTAS2 Free and Fair Parliamentary Elections
Parliamentary Elections The process of the election of members of Parliament should be open and transparent allowing for full citizen participation and free of coercion fraud or violence CLHG CSCE-CD ECOWAS-P IPU-DD IPU-Res03 UNHCHR UPA-Res00
The right of everyone to take part in the government of hisher country is expressed through the right to freely choose representatives Parliaments differ in the manner and types of election held to elect members There is an international consensus on the need to provide voting rights for all citizens on the basis of universal equal and secret suffrage so that all voters can choose their representatives in an environment conducive to equality and political competition The different systems include direct and indirect proportional versus single constituency The IPU Declaration on Democracy notes that holding free and fair elections which allow the expression of the peoplersquos will at regular intervals is a key element of democracy This Standard is seen as the best way of guaranteeing representative democracy Whatever the system used elections of legislators must be organized following an open and transparent process There must be full citizen participation without a suggestion of manipulation Legislators should not be required to run for office exclusively under the nomination of a Political party PTAS3 Transparent Adequate Political Financing and Compensation
Political finance The fight against corruption requires the adoption of clear rules for transparent political financing of legislators their campaigns and their political organizations need to be adopted These rules should include transparent compensation as well as the disclosure of campaign account income and assets of legislators Anticorruption Treaties Adequate compensation Legislators should receive adequate salaries and benefits which are comparable to those of equivalent positions in the other branches of government and private sector CLHG IPU-DD
The financing of any parliamentary candidate by his her political party should be transparent and there should be clear written rules and regulations on the types of political financing which are impermissible and illegal and those which are permitted and legal
15
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Clear rules for political party and campaign financing ndash these rules should foster financial transparency and integrity
bull Income and asset disclosure requirements bull Oversight by an independent authority (internal ie Parliamentary Committee or
external) and publication of information To the extent possible political parties and parliamentary candidates should be required to place all contributions above a certain limit in official bank accounts and use these accounts for all campaign expenditures Official bank accounts are accounts which are fully documented and disclosed Disclosure requirements should cover all income assets and expenditures related to the campaign and should be made to an independent official agency Uniform and reliable software will help monitor all income and expenditure during political campaigns The independent official agency should verify and report on the parliamentary campaign finance data Additional independent verifications and reports should be undertaken by civil society to avoid collusion A serious problem in many countries has been the use of parliamentary resources such as office space staff time or funds by incumbents This is a practice which should be seriously discouraged or even outlawed as it constitutes a misuse of funds by parliamentarians Legislators should also be adequately compensated for their work Compensation includes both their salary and any additional benefit granted to workers The adequacy of compensation will be assessed in comparison with the cost of living and the compensation-level of senior officials in the Executive judiciary and private sector Due to high turnover in parliamentary office an appropriate compensation level is important to attract high-quality people and to shield legislators from outside pressure Pension entitlement by virtue of office is a widely recognized right in most Parliaments independently of the diversity of the methods and procedures chosen to implement it A number of other countries in which no recognized pension scheme currently exists for Legislators have indicated that this subject is currently under review (Egypt Lesotho Nigeria Thailand) The great majority of legislators today benefit from social security (sickness maternity invalidity death and industrial injury insurance) coverage while in office This is for the most part organized within the framework of the common labor rights legislation of each country9 Transparency regarding all amounts received by legislators as compensation is necessary to promoting parliamentary accountability and ethics Legislators and if possible their dependents should be required to disclose all their incomes assets and relevant interests to an independent official agency The public should have an opportunity to access information about the salaries and other benefits of the legislators whom they have elected Like with parliamentary campaign finance uniform and reliable software will
9 Helene Ponceau AGSP Report April 2001 This report is based on a questionnaire of the Association of General Secretaries of Parliaments approved at the Berlin session in October 1999 and sent to 56 countries
16
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
help monitor the disclosures and verification and reporting by the independent official agency as well as civil society will foster more transparency and accountability PTAS4 Representative Parliament
Broad-Based Representation An inclusive fully representative Parliament across gender ethnicity political affiliation religion etc is one of the main tenets of a democratic society CLHG CSCE-CD ECOWAS-P IPU-GD IPU-Res03 UNHCHR UPA-Res00
There is increasing consensus at the international level that democratic institutions must be representative of the diversities of society Parliament should therefore be composed of a broad cross-section of society including members of different genders ethnicity political affiliation religion etc Diversity in institutional membership echoes the Standards enshrined in the numerous conventions against discrimination which have been ratified in the past decades10
A broad-based representative Parliament will contribute to the promotion of the right of everyone to take part in government and of all interests to be given expression As noted by the IPU in its Declaration on Democracy ldquoDemocracy is founded on the right of everyone to take part in the management of public affairs it therefore requires the existence of representative institutions at all levels and in particular a Parliament in which all components of society are represented and which has the requisite powers and means to express the will of the people by legislating and overseeing government actionrdquo Some countries have taken additional steps to encourage participation by marginalized groups such as women or minorities For example in Pakistan quotas for gender participation were established 33 quota in direct elections (local) and 17 quota in indirect national elections (legislature and senate) Women membership in the legislature is currently at 21 slightly above the mandatory quota PTAS5 Security of Tenure
Security of tenure ldquoSecurity of Members during their Parliamentary term is fundamental to Parliamentary independencerdquo CLHG CSCE-CD
The legitimacy of Parliament rests on the fact that its membership is rooted in the will of the people who chose representatives in periodic elections In order to guarantee that their will is respected the term of office of legislators must be respected Certain classes of legislators may have life terms (cite House of Lords other examples) but most legislators are elected for fixed terms Exceptionally the tenure of legislators may be terminated but such mechanisms must be narrowly defined and follow clear transparent
10 See for example the International Convention on the Elimination of All Forms of Racial Discrimination [CERD] (1965) and the International Convention on the Elimination of All Forms of Discrimination against Women [CEDAW] (1979)
17
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
legal procedures This may be the case for immunity waivers in case of criminal offences committed by a legislator or of dissolution of parliament by the executive The CLHG lists three requirements to protect the security of tenure of legislators in its guideline number 2
ldquo (a) The expulsion of members from Parliament as a penalty for leaving their parties (floor-crossing) should be viewed as a possible infringement of membersrsquo independence anti-defection measures may be necessary in some jurisdictions to deal with corrupt practices
(b) Laws allowing for the recall of members during their elected term should be viewed with caution as a potential threat to the independence of members
(c) The cessation of membership of a political party of itself should not lead to the loss of a Memberrsquos seatrdquo
PTAS6 Freed Parliamentary Speech
Freedom of Speech The true expression of democracy lies in the right to free speech This should not just be a right guaranteed to the general public but legislators also must be free from censorship and defamation laws that restrict the right to criticize government thereby curtailing parliamentary oversight of the Executive Banjul CLHG CLHP CPA-Media CPA-Rec03 ECHR IACHR ICCPR IPU-GD IPU-DD UPA-Res00
The International Covenant on Civil and Political Rights (ICCPR) expressly states in article 19(1) that everyone shall have the right to hold opinions without interference Article 19(2) guarantees the right to freedom of expression and broadens it to include the freedom to seek receive and impart information and ideas of all kinds regardless of frontiers either orally in writing or in print in the form of art or through any other media of choice These rights are not absolute and may be restricted under specific circumstances as outlined in article 19(3) Most international human rights instruments provide that every individual shall have the right to express and disseminate his opinions within the law Other instruments recognize the right of freedom of expression as an inalienable fundamental right Free speech rights should entitle legislators to
bull Put written and oral questions to members of the government and receive answers to these questions The opposition in Parliament should also be entitled to speaking time proportionate to its numbers in sittings set aside for oral questions
bull Request documents and receive such documents in a timely manner National security concerns constitute one of the main reasons why governments restrict freedom of expression Freedom of expression should not be restricted on public order or national security grounds unless there is a real risk of harm to a legitimate interest and there is a causal link between the risk of harm and the expression
18
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Defamation laws are a serious concern for legislators when seeking to protect or exercise their freedom of expression rights Legislators should be free from improper pressures in the discharge of their functions These improper pressures can be in the form of criminal laws and the use of defamation proceedings restricting legitimate criticism of the government by legislators Criminal defamation laws need to be carefully reviewed Similarly the defense of qualified privilege with respect to reports of parliamentary proceedings should be drawn as broadly as possible to permit full public reporting and discussion of public affairs and offence of contempt of Parliament should be drawn as narrowly as possible There is a need to achieve a balance between the free speech rights of Legislators vis-agrave-vis the government and the publicrsquos right of free speech vis-agrave-vis the Parliament PTAS7 Participatory Transparent Law and Decision-Making Processes
Parliamentary Processes Parliament must be open transparent and accountable to the public in its lawmaking and policymaking functions In this regard the free flow of information from Parliament to its members and the public as well as avenues for effective public participation is fundamental to a democratic Parliament CLHG CLHP ECOWAS-P IPU-GD IPU-Res03 UPA-Res00
Law and policy-making are the primary responsibilities of Parliament as the elected body representing the people The Executive may initiate laws and policies and the Judiciary may be constructive and purposive in the interpretation of legislation neither must be seen as usurping Parliamentrsquos legislative function Ultimately only the Parliament is entitled to adopt laws for the country Consequently legislators should be encouraged to adopt national policies and laws through open processes which allow for consultation and citizen participation Parliamentary processes must be not only transparent but also participatory Participation starts with the right to form democratic political parties and entails the need for transparent and fairness in the electoral process including through appropriate access to funds and free independent and pluralistic media Transparent decision-making and law-making processes create ownership in governance by the public which is necessary in a democratic society The Parliament should implement efficient mechanisms to allow and encourage public participation in the different stages of the law making process From the moment that Parliament receives a bill from the Executive or from the moment a bill is drafted by a committee civil society representatives should have a voice and be consulted Civil society participation will add a fresh look and ensure a better response to community needs Legislators will benefit from input and the resulting laws will better reflect real needs and local buy-in Committees meetings and parliamentary sessions should be usually open to the public Information on meetings and final decisions should be broadly disseminated Parliament should be consulted by the government on important questions affecting the life of the nation war national security human rights economic policy social rights
19
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
labor markets etc This will enable the opposition to take part in the debate and provide its input to the decision-making process The opposition must also be able to raise matters regarding the Constitution with a view to its amendment PTAS8 Transparent Oversight of the Executive
General Oversight One of the core functions of Parliament is to provide a continuous check on the activities of the Executive In performing this oversight function Parliament must follow transparent procedures and respect strict standards of accountability CLHG CLHP IPU-GD UPA-Res00
The separation of powers not only means that each branch of government is independent from the other two but also that mechanisms of checks and balances are in place to avoid abuses and encroachments To that end the Parliament is traditionally entrusted with the responsibility of overseeing the activities of the Executive The Executive as Parliament must follow high standards of accountability transparency and responsibility in the performance of its duties Parliament is responsible for ensuring that these standards are met and for providing adequate mechanisms to challenge the Executive for failure to meet these standards Oversight may take place in the form of periodic questions to the government in a parliamentary sessions or investigations undertaken by parliamentary commissions or votes of confidencenon-confidence Parliamentary procedures should be transparent and allow for public scrutiny Governments should be required to announce publicly within a defined time period their responses to committee investigations PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
Budget Design and Oversight Parliament is traditionally responsibly for adopting the national budget There is a growing international consensus that Parliaments around the world need to make maximum use of existing processes for exerting influence in national budget control scrutiny and accountability IPU-Res03 UPA-Res00
Parliament must have a certain amount of authority to affect the budget otherwise its role in establishing national policy and representing citizen interests will remain limited11 Involvement should extend beyond budget approval and include budget formulation tracking and accountability Unless it has substantial involvement beyond approval Parliament will do no more than rubberstamp the Executiversquos budgetary and policy decisions To promote more accountability in government Parliament should be entitled to monitor income and expenditures especially how effectively government programs and activities are administered
11 USAID Handbook
20
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Parliamentary procedures should therefore provide adequate mechanisms to oversee the Executive including accountability mechanisms targeted at budget development effective money flows budget implementation etc This can be achieved by allowing independent audits of public accounts establishing that the opposition will chair the Public Accounts Committee or a combination of the mechanisms andor others PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
International Obligations and Parliament International treaties carry a general obligation for signatory States to ratify and to adopt all necessary measures for their implementation Both functions should fall on Parliament CLHG CLHP IPU-Res03
The need for governments to respect their international law obligations has become more urgent post World War II particularly as inter-State conflicts are on the rise Legislators as law makers and representatives of the people need to be more proficient in their knowledge and understanding of human rights and humanitarian law instruments including those relating to economic social and cultural rights In a 2000 Declaration the Conference of Presiding Officers of National Parliaments outlined the four inter-connected levels of intervention for Parliaments in relation to international obligations
bull ldquoInfluencing their respective countriesrsquo policy on matters dealt with in the United Nations and other international negotiating forums
bull Keeping themselves informed of the progress and outcome of these negotiations bull Deciding on ratification where the Constitution so foresees of texts and treaties
signed by governments and bull Contributing actively to the subsequent implementation processrdquo12
Parliaments play a central role in adjusting domestic law to international standards According to the legal systems of many countries Parliaments are not only the bodies entitled to ratify international obligations but also the ones responsible for adopting the necessary implementing legislation Many international treaties particularly those related to human rights the environment gender and corruption require that States parties adjust their national legislation to match the minimum standards laid out in the treaties For example United Nations Convention against Corruption (2004) is explicitly applicable to legislators Indeed its scope covers ldquopublic officialsrdquo who are defined as including any person holding parliamentary office in a State party Compliance with this provision and others often requires the adoption of legislation Conventions generally include explicit requirements for the adoption of new laws by national Parliaments
12 Conference of Presiding Officers of National Parliaments organized by the IPU in cooperation with the UN Declaration adopted by at UN Headquarters New York 30 August ndash 1st September 2000
21
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The United Nations Convention against Corruption (2004) establishes that each State party should develop and implement anti-corruption policies
bull The Inter-American Convention against Corruption (1996) requires in its article VII the adoption by State parties of all ldquonecessary legislative or other measures to establish as criminal offences under their domestic law the acts of corruption described in Article VI(1) and to facilitate cooperation among themselves pursuant to this Conventionrdquo
As guardians of the Constitution legislators have an obligation to protect the human rights of people This obligation is reinforced by the requirement to comply with international and regional human rights treaties This obligation to protect and legislate in support of human rights should lead to increased oversight by Parliament in areas in which the Executive has traditional exercised blanket discretionary powers such as national security There has been a growing consensus on the need to shift focus away from military security to broader factors of ldquohuman securityrdquo such as environmental economic social as well as political13 PTAS11 Transparent Efficient Parliamentary Committees
Parliamentary Committees The legislative and oversight functions of Parliament are actually undertaken by Parliamentary Committees the powers and structures of which differ from country to country It is essential for these committees to be properly structured and well funded to enable them to be effective in discharging Parliamentrsquos legislative and policy making functions CLHG CPA-Media CPA-CP CPA-Rec03 CPA-REc04 IPU-GD
Committee structures may vary depending on the size of Parliament its constitutional mandate and other country-specific factors However all committees should have adequate resources both human and financial and have the power to summon witnesses including ministers as necessary to fulfill their mission Committee meetings should be generally open and allow for public attendance and participation Committee reports should be published and made readily available to both the government and the public PTAS12 Adequate Independent Parliamentary Budget
Parliamentary Budget It is the duty of the State to provide adequate resources to enable Parliament to perform its functions properly CLHG
Parliamentary independence and effectiveness to carry out its functions is eroded when Parliament lacks control over its own budget or has inadequate finances to manage its committees and carry out various other internal administrative duties14 Parliament 13 IPU and the Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born Philipp H Fluri amp Anders B Johnsson page 16 (Found at httpwwwdcafchpublicationse-publicationsHandbook_eng ) 14 Indeed without adequate resources for the training of new members secretarial office library and research facilities drafting assistance for bills etc Parliament is handicapped
22
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
should be able to design its own budget based on its needs and negotiate with the Executive the amount allocated to it from the national budget There should be sufficient autonomy over these finances by Parliament to protect the institutional independence and integrity It has been suggested that an all-party committee of members of Parliament should review and administer the parliamentary budget Moreover the parliamentary budget should not be subject to amendment by the Executive15 It is the Parliamentary budget that inter alia funds training of parliamentary support staff ensures that library and research facilities are properly and adequately equipped guarantees that legislators have the necessary support staff to undertake their functions and funds security services PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
Parliamentary Conduct Legislators are required to exhibit and promote high standards of professional conduct in order to reinforce public confidence in Parliament which is fundamental to its independence and legitimacy in a democratic society ANTICORRUPTION TREATIES CLHG CLHP
The CLHG outline three components for a comprehensive ethical framework applicable to Parliament
bull Conflict of interest rules and codes of conduct requiring disclosure of interests bull Access to ethics advisors and bull Restrictions on lobbying and interest group influence
Ethical professional conduct requires legislators not only to conform to high standards of ethics in practice but also to avoid the appearance of impropriety The need for financial transparency by public officials has increasingly gained acceptance as anti-corruption issues have become global Legislatorsrsquo professional and private conduct must be subject to some system of internal codified rules regulating standards of behavior and making disclosure of personal income and assets mandatory Other professions have codes of ethics regulating membersrsquo behavior for example doctors and lawyers Ethical rules should include conflict of interest rules outlining incompatible professional activities or interests such as holding another governmental office and restricting certain ventures such as participation or shareholding in corporations These rules should also require the submission to an independent oversight authority of disclosures of income assets and interests These disclosures should then be publicized for broader ethical monitoring by the public Disclosure of interests will go a long way in establishing institutional integrity trust and respect by the public and effective discharge of duties on the part of legislators as they are fully conscious of the ethical parameters which govern them as a profession 15 Commonwealth Latimer House Guidelines Number VII6
23
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
Discipline Just as other professionals have quasi-judicial bodies to regulate discipline and even remove members there should also be an internal or external authority to sanction legislators conduct investigations and hearings and adopt findings and conclusions There should also be a clear appeals process available to any member aggrieved by a decision CLHG
ldquoThe Committee recommends
bull The House should appoint a person of independent standing who should have a degree of tenure and not be a career member of the House of Commons staff as Parliamentary Commissioner for Standards
bull The Commissioners should have independent discretion to decide whether or not a complaint merits investigation or to initiate an investigationrdquo Recommendations of Committee on Standards in Public Life First Report16
Just as any other citizen legislators should be bound by the law In cases when legislators commit acts contrary to the laws and regulations they expose themselves to disciplinary action and prosecution Moreover there are special conditions only for the status of being public servants that they must observe such as compliance of high standards of ethics assets disclosure and conflict of interest rules There must be a clear system of sanctions for non-compliance with the laws and regulations The disciplinary process in representative bodies is a very sensitive one It should not be used to punish the opposition or dissidents In this sense the existence of an objective internal or external body to sanction legislators is essential to the proper operation of the system An additional problem represents the immunity that all legislators should have The immunity is a protection to ensure that legislators can perform their duties without interference it should not however be used as an excuse to avoid sanctions for common misconducts or crimes PTAS15 Parliamentary Immunity
Immunity Legislators shall enjoy personal immunity from civil suits and criminal prosecution for acts and omissions in the exercise of their functions CLHG ECOWAS-P IPU-GD
Legislators should enjoy some degree of immunity from prosecution or civil suit for acts and omissions in the exercise of their functions However no one should be exempted from accountability The requirements of parliamentary independence from political institutional and societal forces must be balanced against those of public accountability
16 These recommendations were implemented by the House of Commons England A Standing Order setting up the office of Parliamentary Commissioner for Standards was set up on 6 November 1995
24
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Consequently the immunity regime should be strictly regulated especially through the recognition of
bull Clear limited scope of immunity (for example it should not cover acts performed outside of office nor common crimes) and
bull Possibility of waivers in clearly defined cases and following a transparent procedure
Regarding the scope of parliamentary immunity its historical roots lie with the freedom of speech of legislators as recognized in the British and American Bills of Rights The underlying justification for immunity is that it allows legislators to fulfill their mandate without fear of retaliatory measures on account of their positions or votes Legislators must therefore be protected against arrest and detention or civil and criminal prosecution for any acts performed or words spoken while in office or in the conduct of parliamentary affairs Legislators should not be subject to any form of inquiry detention or legal proceedings in respect of opinions expressed or votes cast by them in the performance of their duties Immunity should not be limited to acts or speech within the parliamentary facilities Rather immunity must be interpreted as broadly as possible For example the members of the European Parliament enjoy immunity in their own States in the territories of other Member States and whilst traveling to and from the place of the meeting of the European Parliament However immunity should not be absolute The immunity regime applicable to legislators should provide for the possibility of waiving this immunity in limited circumstances in the interests of justice Immunity is not a privilege benefiting individual members but rather a guarantee protecting the independence of Parliament and its members in their relations with other governmental and private bodies17 Parliamentary privileges must be clearly defined and established by law These immunities are not meant to place legislators above the law but to protect them from possible groundless proceedings or accusations that may be politically motivated The grounds and terms for lifting of immunity must be clearly specified by law so that this may only occur following a decision taken by a competent body on a non-partisan basis PTAS16 Parliamentary and Public Access to Information
Access to Information Legislators as well as the general public must have access to accurate timely information and data including legislation parliamentary procedures governmental data and relevant research data Banjul CLHG CLHP CPA-Media CPA-CP CPA-Rec03 CPA-Rec04 CSCE-CD ECHR IACHR ICCPR IPU-DD IPU-GD IPU-Res03 UNHCHR
17 ECPRD Parliamentary Codes of Conduct in Europe by Veronica Williams November 2001
25
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
The free flow of information is essential in a democratic society Access to information should not only be viewed in relation to the media and civil societyrsquos right to access governmental documents but also in relation to the legislatorsrsquo right to access relevant research and information from the government and other sources Access to information can be facilitated by the use of databases networks and information technology in general The media should be free to report the activities of Parliament and the public should be able to attend parliamentary meetings and Committee sittings where appropriate The CPA encouraged Parliaments ldquoto provide live coverage of their proceedings on a dedicated channel andor onlinerdquo in its Recommendations for an Informed Democracy The environment should be made conducive for civil society organizations the public and multiple stakeholders to exchange information with legislators to enable Parliament to effectively discharge its duties of oversight policy making law making representation and recruitment This could be achieved through the establishment of a public information office within Parliament Bills and Acts of Parliament must be published regularly and should be freely available to the public Indeed the CSCE Copenhagen Document notes that ldquolegislation adopted at the end of a public procedure and regulations will be published that being the condition of their applicability Those texts will be accessible to everyonerdquo In its recommendations following a conference on ldquoWhat Parliament and Legislators Can Dordquo the CPA noted that access should be granted ldquoto basic information and documents produced by the parliamentary process such as access to parliamentary libraries the provision of on-line information and the distribution of Parliamentary speeches promptly after delivery in the Houserdquo18 The type of information available to the public and to legislators should include
bull Attendance and voting records bull Registers of membersrsquo interests bull Bills and Acts of Parliament bull Procedural rules bull Codes of Conduct
Legislators should also have access to parliamentary archives as well as all necessary information and data from the government The IPU Guidelines note that ldquolegislators from the majority and the opposition alike are equally entitled to receive in a timely manner the same information from the governmentrdquo
18 Parliament and The Media Building an Effective Relationship 15-18 February 2000 [CPA-Media]
26
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS17 Adequate Facilities Equipment and Technology
Adequate Infrastructure Parliament should have at a minimum the necessary infrastructure and technical assistance including research capacity adequate facilities and equipment to enable it to carry out its basic democratic functions CPA-Rec03 CPA-Rec04 IPU-GD
The working conditions of legislators must be adequate and reflect the importance of Parliament as a key democratic institution Parliament must be housed in one or more buildings with the necessary equipment and office space for legislators and their staff including tables chairs and all other necessary office equipment Adequate resources must be allocated to Parliament andor legislators and support services to maintain and equip their facilities Some of the facilities and services which can be reasonably expected to be available to legislators include
bull Offices bull Secretarial services (general andor individual) bull Library and archive facilities bull Research services (to which requests for information can be submitted) and bull Information technology
In its 2002 Report the CPA Study Group highlights the importance of information technology including ldquoimproved networking between legislators and constituents among legislators between legislators and Parliament and better information sharing and record keepingrdquo Information technology can also facilitate access to information and best practices on the broad range of issues which fall under the purview of parliament including human rights socioeconomic rights and gender issues The use of information technology could include the development of intra-parliament networks and of searchable public databases on parliamentary activity as well as the increased access to outside information for legislators PTAS18 Professional Training for Legislators and Staff
Adequate Training Resources must be allocated to training programs both for new legislators and for the continuing education of sitting legislators These programs must be geared towards developing the skills required by parliamentary functions as well as exposing legislators to substantive issues and developments affecting their legislative oversight and representative functions CLHG CPA-CP
Training should be geared towards providing legislators with the specific skills and knowledge necessary to fulfill their parliamentary functions Legislators just like other professionals need continuing education programs and professional development to keep them updated on emerging democracy and governance trends Equally significant is the need to properly train new or incoming legislators on the constitutional rights and obligations of Parliament internal procedures and order of business ethics etc
27
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS19 Adequately-Compensated Research Library and Committee Staff
Support Staff ldquoParliament should be serviced by professional staff independent of the regular public servicerdquo CLHG IPU-GD
Parliamentary support staff in sufficient numbers and with the appropriate professional skills is crucial for an effective institution Parliamentary staff performs duties such as
bull Assisting in bill drafting bull Tracking the status of bills in the legislative process bull Maintaining and in some cases designing web sites bull Producing and drafting documents about the legislature bull Undertaking accounting and various other clerkship duties
High turnover of parliamentary staff requires more money for attracting new competent staff and providing them with the necessary training It is important to ensure that staff is reasonably well compensated to attract good candidates for the job who will retain their jobs longer When vacancies are not rapidly filled parliamentary work can be undermined resulting in misplacement of documents errors and overall inefficiency Parliamentary staff should be independent from other public service offices Their selection promotion and discipline must be clearly defined and reflect merit-based criteria and transparent processes Professional development opportunities and training should be offered to them The longer support staff stay in Parliament the more it benefits the institution especially as it may provide new legislators with the information and support necessary to adapt to their new functions faster
28
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 1 List of Acronyms
Banjul African Charter on Human and Peoplersquos Rights (1986) CEDAW Convention on the Elimination of All Forms of Discrimination
against Women ICERD Convention on the Elimination of All Forms of Racial
Discrimination CLHP Commonwealth Latimer House Principles on the Accountability and Relationship between the Three Branches of Government (2003) CLHG Commonwealth Latimer House Guidelines (1998) CPA Commonwealth Parliamentary Association CPA-Media Parliament and the Media Building an Effective Relationship
CPA (2000) CPA-CP Capetown Principles for an Informed Democracy CPA (2002) CPA-Rec03 Recommendation for an Informed Democracy CPA (2003) CPA-Rec04 Recommendation for Transparent Governance CPA (2004 CSCE Conference on Security and Cooperation in Europe CSCE-CD Copenhagen Document CSCE (1990) CSCE-MD Moscow Document CSCE (1991) ECHR European Convention on Human Rights and Fundamental
Liberties (1951) ECOWAS-P Protocol ASP11202 on Democracy and Good Governance
ECOWAS (2001) IACHR Inter-American Convention on Human Rights (1978) ICCPR International Covenant on Civil and Political Rights (1966) IPU Inter-Parliamentary Union IPU-DD Universal Declaration on Democracy IPU (1997) IPU-GD Guidelines and Duties for the Opposition in Parliament IPU (1999) IPU-Res03 Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World IPU (2003) UPA Union des Parlementaires Africains [African Parliamentary Union] UPA-Res00 Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence Building between Peoples and their Institutions (2000) UNHCHR United Nations High Commissioner for Human Rights Resolution
200047
29
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 2 Bibliography Governmental Documents
bull Commonwealth Latimer House Standards bull Commonwealth Latimer House Guidelines bull Commonwealth Parliamentary Association (CPA) Parliament and the Media
Building an Effective Relationship bull English Bill of Rights 1689 bull Inter-Parliamentary Union (IPU) Guidelines bull ECOWAS Protocol on Democracy and Good Governance Supplementary to the
Protocol Relating to the Mechanism for Conflict Prevention Management Resolution Peacekeeping and Security
bull Protocol on the Privileges and Immunities of the European Communities bull ECPRD Parliamentary Codes of Conduct in Europe (Compilation by the Council
of Europe Parliamentary Assembly) bull IPU Universal Declaration on Democracy bull International Covenant on Civil and Political Rights (ICCPR) bull The African (Banjul) Charter on Human and Peoplersquos Rights bull The Johannesburg Standards National Security Freedom of Expression and
Access to Information bull Document of the Copenhagen Meeting of the Conference on the Human
Dimension of the CSCE 1990 bull Declaration of Principle on Freedom of Expression in Africa bull Union des Parliamentaires Africains on the Role of Parliaments in the
Consolidation of Democracy and Confidence-Building Between the Peoples and their Institutions 23rd Conference in Addis Ababa 24-25 November 2000
bull The Harare Declaration bull IPU Conference of Presiding Officers of National Parliaments bull International Convention on the Elimination of All Forms of Racial
Discrimination bull Convention on the Elimination of All Forms of Discrimination Against Women bull Report of the Ethics Reform Task Force on H Res 168 105th Congress 1st
Session 17 June 1997 (found at httpwwwhousegovethicsethicsreporttxt ) bull Parliamentary Standards and the Wicks Committee Report Standard Note
SNPC2200 24 June 2003 by Ruth Winstone (found at httpwwwparliamentukcommonslibresearchnotessnpc-02200pdf )
bull Committee on Standards in Public Life First Report Cm 2850 Volume 1 11 May 1995 (found at httpwwwarchiveofficial-documentscoukdocumentcm282850285002pdf )
bull Committee on Standards in Public Life Sixth Report Reinforcing Standards Cm 4557 Volume 1 January 2000 (found at httpwwwpublic-standardsgovuk )
bull Committee on Standards in Public Life Eighth Report Cm 5663 Standards of Conduct in the House of Commons November 2002 (found at httpwww-standardsgovukreports8th_reportreporteighthreportpdf
bull African Union Declarations and Decisions
30
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The African Commission Declaration of Principle on Freedom of Expression in Africa
bull United Nations High Commissioner for Human Rights Resolution 200047
Non-Governmental Documents Transparency and Accountability of the Parliament
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Anti-Corruption Commissions Panacea or Real Medicine to Fight Corruption By John Heilbrunn 2004
bull PREM Notes Public Sector No 74 October 2002 Strengthening Oversight by Legislatures (found at httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull PREM Notes Public Sector No63 March 2002 Strengthening Legislatures Implications from Industrial Countries (found at httpwww1worldbankorgpremPREMNotespremnote63pdf )
bull WBI Working Papers Building a Clean Machine Anti-Corruption Coalitions and Sustainable Reforms by Michael Johnston and Sahr J Kpundeh 2002
bull IFES IFES Parliamentary Toolkit Transparency and Accountability Tools for Civil Society
bull PREM Notes Public Sector No59 October 2001 Features and Functions of Supreme Audit Institutions
bull World Bank Institute Improving Governance and Controlling Corruption Towards a Participatory and Action-oriented Approach Grounded on Empirical Rigor October 2001
bull World Bank Towards Transparency in Finance and Governance by Tara Vishwanath and Daniel Kaufman September 6 1999
bull World Bank Institute Pillars of Integrity The Importance of Supreme Audit Institutions in Curbing Corruption by Kenneth M Dye and Rick Stapenhurst 1998
bull Association of Secretaries General of Parliaments (ASGP) Promoting the Work of Parliament Report by Mr Ian Harris Clerk of the House of Representatives of Australia19 Autumn 2000 (found at httpwwwasgpinfodiscussionshtmstudies)
bull USAID Handbook on Legislative Strengthening httpwwwusaidgovour_workdemocracy_and_governancegovhtml
bull Parliamentary Centre Canada Controlling Corruption A Parliamentarianrsquos Handbook httpwwwparlcentcaindex_ephp
bull Parliamentary Centre Canada Parliamentary Accountability and Good Governance httpwwwparlcentcaindex_ephp
19 This report contains a detailed analysis of the answers from a Questionnaire of how the public is provided information about the operation and work of Parliament The review was launched at the Conference of the Association of Secretaries General of Parliaments which was held in Autumn 2000 in Jakarta
31
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Center for Democracy and Governance February 2000 USAID Handbook on Legislative Strengthening
bull Parliamentary Centre Parliamentary Accountability and Good Governance A Parliamentarianrsquos Handbook
bull Parliamentary Centre Forum on Parliamentary Reform bull NEPAD Library Emerging Legislatures in Emerging African Democracies bull Commonwealth Parliamentary Association and World Bank Institute
Recommendations for Transparent Governance Conclusions of a CPA Study Group on Access to Information Accra Ghana 5-9 July 2004
bull GOPAC Parliamentarians Fighting Corruption A Conceptual Overview PCentrefsPCentreSProjectsParliamentary_RelationsGOPACWBI
bull International IDEA Democracy Assessment Questionnaire wwwideaintideas_work14_statedemocracy_assessmentpdf
bull NDI and UNDP Parliaments and Poverty Series Toolkit No1 Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Strengthening the Accountability Process and Parliamentary Reform A Report on the Parliamentary Roundtable Held in Bhurban Pakistan March 1-2 1997
Independence of the Parliament bull NDI Strengthening Legislative Capacity in Legislative-Executive Relations
Paper 6 httpwwwndiorgglobalpgovgovernanceasp bull Venice Commission Opinion on the Draft Proposal for Rules of Procedure of the
Assembly of the Republic of Macedonia by Georg Nolte July 5 2002 bull Venice Commission Report on the Referral of a Law Back to Parliament by the
Head of State November 15 1996 bull AGSP The Role of the Secretary General in the Administration of Parliament
Report by Mr Ugo Zampetti General Secretary of the Chamber of Deputies (Italy) October 2000 Review no 180
bull AGSP Constitutional and Parliamentary Information The Status of Parliamentary Groups
Parliamentary Immunity
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union Part Three Immunity in the European Parliament June 2001
bull Venice Commission Opinion 11995 Report on the Regime of Parliamentary Immunity CDL ndash INF(1996) 007 6496 (found at httpvenicecoeintsitedynamicsN_Opinion_efaspampL=EampOID=1 )
bull Venice Commission Supplementary Opinion on the Revision of the Constitution of Romania October 18 2002
32
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Venice Commission Draft Report ndash The Regime of Parliamentary Immunity April 29 1996
bull Venice Commission Questionnaire on Parliamentary Immunity prepared by Mr GW Maas-Geesteranus June 19 1995
Freedom of Parliamentary Speech
bull AGSP The Immunities of Members of Parliament Report prepared by Mr Robert Myttenaere September 1998
bull AGSP Position of Witnesses before Parliamentary Committees Report prepared by Mr Demaree JB Raval April 1997
Conflict of Interest amp Ethics
bull Parliamentary Affairs A Journal of Comparative Politics Volume 55 No 4 October 2002 Conduct Unbecoming The Regulation of Legislative Ethics in Britain and the United States by Robert Williams
bull Parliamentary Affairs A Journal of Comparative Politics Volume 52 No 3 July 1999 Parliament in the Age of Internet by S Coleman JA Taylor and W Van de Donk
bull European Centre for Parliamentary Research and Documentation (ECPRD) Parliamentary Codes of Conduct in Europe an Overview November 2001
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union June 2001
bull Research Paper Commissioned on behalf of The Committee on Standards in Public Life May 2002 The Regulation of Parliamentary Standards ndash A Comparative Perspective (found at httpwwwpublic-standardsgovukreports8th_reportreportresearchdoc
bull House of Representatives Resolution 168 on the Report of the Ethics Reform Task Force 18 June 1997
bull NDI Accountability Ethics and Transparency in Government Pakistan Study Mission to South Africa June 3 1997
bull NDI Report on Regional Consultative Workshops ndash Ethics Questionnaire August 1998
bull Council of Europe Steering Committee on Local and Regional Democracy (CDLR) Public Ethics at Local Level Model Initiatives Package November 25 2002
bull NDI Legislative Research Series Paper No 4 ndash Legislative Ethics A Comparative Analysis 1999
bull OECD United States Case Study ndash Ethics and Corruption The Management of Ethics and Conduct in the Public Service by Stuart Gilman December 1995
bull OECD Recommendations of the Council on Guidelines for Managing Conflict of Interest in the Public Service June 2003
33
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Sanction and Removal of Legislators bull Venice Commission Comments on the Draft Law of the Chechen Republic on
Elections to the Parliament of the Chechen Republic As Submitted to Referendum by Mr G Nolte March 23 2003
bull Venice Commission Opinion on the Draft Law on the Public Attorney (Ombudsman) of ldquoThe Former Yugoslav Republic of Macedoniardquo March 15 2003
bull Venice Commission Comments on the Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia by Ms Serra Lopes February 28 2003
bull Venice Commission Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia February 2003
bull WBI PREM Notes Public Sector Number 19 April 1999 Using an Ombudsman to oversee Public Officials
bull AGSP The Office of the Parliamentary Ombudsman March 1994 Salaries and Benefits of Legislators
bull AGSP The Social Protection of Parliamentarians Report by Mrs Helene Ponceau General Secretary of the Senate Quaestorrsquos Office [Havana Senate Treasurerrsquos Department] Review No 181 April 2001
Professional Development and Training
bull SADC Parliamentary Forum MPs Orientation Handbook ndash Professional Performance and Development httpwwwsadcpforgaboutindexasp
The Parliament and the Budget Cycle
bull OECD Development Centre Policy Brief No 22 Strengthening Participation in Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD May 2001 OECD Best Practices for Budget Transparency bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and
Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull ASGP The Administrative and Financial Autonomy of Parliamentary Assemblies Report prepared by Michel Couderc (France) adopted at the Moscow Session (September 1998)
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development The Legislature and the Budget by Frederick Stapenhurst 2004 httpwwwworldbankorgwbigovernanceparliament
34
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull WBI Working Papers Series on Contemporary Issues in Parliamentary
Development Parliaments and the PRSP Process by Scott Hubli and Alicia P Mandaville 2004
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull WBI PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull WBI PREM Notes Public Sector Number 74 October 2002 Strengthening Oversight by Legislatures
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull Commonwealth Parliamentary Association (CPA) The Parliamentarian 2002
Issue Two 179 Parliaments and Poverty by Ms Frannie A Lrsquoeautier bull Parliamentary Centre Canada and WBI and CIDA (with support from the
International Development Research Centre) Handbook on Parliamentarians and Policies to Reduce Poverty May 2001
bull Parliamentary Centre Cambodia Focus Group on Parliamentrsquos Role in the Budget Process Analysis
bull Parliamentary Centre Indicators of Parliamentary Performance in the Budget Process
bull The International Budget Project Legislatures and Budget Oversight httpwwwinternationalbudgetorgthemesLEGindexhtm
bull NDI Legislatures and the Budget Process An International Survey 2003 httpwwwndiorgglobalpgovgovernanceasp
bull NDI Parliaments and Poverty Series Toolkit No1 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Parliaments and Poverty Series Toolkit No2 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives
35
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull NDI Parliaments and Poverty Series Toolkit No3 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative Public Outreach on Poverty Issues
bull UNDP IPU WBI and UNIFEM Parliament The Budget and Gender httpwwwundporgdpapublicationsgovernancehtml
bull IMF Finance amp Development Magazine December 2002 Volume 39 Number 4 A Bigger Role for Legislators
bull Case Study PRSPs and Parliament by Stephen Langdon bull Ministry of Foreign Affairs Netherlands March 2002 Economics and Finance
(b) Budget Impact Assessments (Gender Budgeting) bull Cagatay N M Keklik R Lal and J Lang (2000) ldquoBudgets As if People
Mattered Democratizing Macroeconomic Policiesrdquo SEPED Conference Paper Series Number 4 May
bull Navarro Z (1998) ldquoParticipation Democratizing Practices and the Formulation of a Modern Policy ndash the Case of ldquoParticipatory Budgetingrdquo in Porto Alegre Brazil (1989-1998) Development Sage London Volume 41 number 3 September
Representative and Inclusive Parliament
bull Commonwealth Parliamentary Association (CPA) Commonwealth Women Parliamentarians Into The Democratic Mainstream August 2002
bull CPA EnGendering Development and Democracy May 2004 bull IPU and UNDP Guidelines on the Rights and Duties of the Opposition in
Parliament May 19 1999 (Unanimously adopted by the participants at the Parliamentary Seminar on Relations Between Majority and Minority Parties in African Parliaments Libreville (Gabon) 17-19 May 1999)
bull AWEPA European Parliamentarians for Africa OPS7 Parliamentary Gender Handbook South Africa 2001 (found at httpwwwawepaorgdownloadsOPS07-_Parliamentary_Gender_Handbook-_South_Africapdf
Free Elections of Legislators
bull Venice Commission Opinion 2502003 Report on Electoral Systems - Overview of Available Solutions and Selection Criteria Adopted by the Venice Commission at its 57th Plenary Session CDL ndash AD(2004)003 (found at httpvenicecoeintdocs2004CDL-AD(2004)003-easp )
bull Venice Commission Opinion 2392003 Comments on the Draft Law of the Chechen Republic on Elections to the Parliament of the Chechen Republic CDL (2003)021rev (found at httpvenicecoeintdocs2003CDL(2003)021rev-easp )
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Resolution 1320 (2003) httpassemblycoeintDocumentsAdoptedTextTA03ERES1320htm
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Document 9267 15 October 2001
36
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
GLOBAL BEST PRACTICES A MODEL ANNAUL STATE OF THE PARLIAMENT REPORT
A Strategic Tool for Promoting Monitoring and Reporting on Parliamentary Transparency and Accountability Reforms and Engendering Global Debate
1 Overview Country Context and Methodology
a The Functions of Parliament in the Country Context ldquoParliament is the institution that embodies society in the diversity of its composition and its opinions and which relays and channels this diversity in the political process Its vocation is to regulate tensions and maintain equilibrium between the competing claims of diversity and uniformity individuality and collectivity in order to enhance social cohesion and solidarity Its role is to legislate inter alia by allocating financial resources and oversee the action of the Executiverdquo IPU Guidelines1 Number II4
The international consensus recognizes five broad and basic functions to Parliaments namely
Policymaking Lawmaking Oversight of the Executive Constituency representation Political recruitment2
The three most important functions are the representative the lawmaking and the oversight roles3 In order to monitor the state of the Parliament as a way to undertake reforms to strengthen institutional capacity and independence an analysis of compliance with standards of parliamentary structure and activity must be undertaken within the specific country context The analysis of the country-specific context must include
bull Political background bull Constitutional and international rights and obligations bull Relationships between the Parliament the Executive and the Judiciary bull Public perception and public access to Parliament and bull Socioeconomic cultural and traditional context
1 Inter-Parliamentary Union Guidelines on the Rights and Duties of the Opposition in Parliament Libreville (Gabon) 17-19 May 1999 2 Id 3 USAID Handbook on Legislative Strengthening page 1 Executive Summary Center for Democracy and Governance February 2000
7
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Political Background Key Issues
Assessment of the form of government presidential premiership or others Key developments relevant to the independence and capacity of Parliament Assessment of the level of political will to effect parliamentary reform and level
of political space allowed by the Executive for reform The relationship between the government and the opposition parties in
Parliament and The level of party discipline and control of legislators and parliamentary
Committees Constitutional and International Rights and Obligations Key Issues
Constitutional design attribution and scope of each of the three branches of government
Key constitutional and legal provisions designing the shape and functions of the Parliament
Practices that may differ or go beyond legal provisions affecting the Parliament and
International standards and obligations related to parliamentary matters Relationship between Parliament the Executive and the Judiciary Key Issues
Historical relationship between the three branches of government Role of the Parliament in practice as it relates to the other two branches Oversight powers of Parliament over the other two branches of government both
under the law and in practice Overlapping functions between the three branches of government Independence of the Parliament from the Executive and Intra-parliament and inter-institutional relations
Public Perception and Public Access to Parliament Key Issues
Public image of Parliament its members and the parliamentary process Public trust of Parliament Degree of interaction between Parliament and civil society the existence of a
institutional relations office a periodic publication to inform regarding parliamentary issues a parliamentary TV channel etc)
Citizensrsquo capacity to initiate bills Openness of parliamentary meetings and committee hearings Percentage of meetings commonly open to the public Frequency of citizen attendance to public meetings Media coverage of parliamentary issues and Reaction of the Parliament to public perception
8
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Socio-Economic Cultural and Traditional Context Key Issues
Analysis of the socioeconomic situation (ie class structure wealth distribution prevalence of patterns of corruption)
Traditional role of Parliament Traditional status of legislators Role of political parties in recruiting and expressing cultural demands and Degree to which cross-cutting issues such as religion and gender affect the
composition of the Parliament
b Scope of the State of Parliament Report the IFES Parliamentary Transparency and Accountability Standards PTAS4
This paper presents and explains 19 Parliamentary Transparency and Accountability Standards (PTAS) around which an Annual State of Parliament (SOP) report may be developed The PTAS are in part based on the overarching separation of powers principle which means that a democratic legislature should be an independent institution with the capacity resources and governmental and public support to perform its constitutional duties such as lawmaking government oversight and constituency representation in a transparent accountable manner The standards cover a broad range of transparency and accountability issues highlighting the rights and obligations of both the institution as well as its members This model framework presents a set of core standards guiding the design of a democratic Parliament including a targeted set of minimal standards that are designed to establish the foundation for democratic governance and broader sustainable reforms The minimal standards are based largely upon consensus global standards and practices found either in international law or actual democratic global experience This approach acknowledges the fact that most emerging democracies cannot simultaneously implement all of the nineteen (19) standards and that some are more crosscutting and fundamental than others While more debate needs to occur on the minimal principles approach one of the purposes of this paper is to engender this debate by placing them on the global discussion table In effect the paper advances the notion that these standards should be priority reforms in all transition countries and it encourages the inclusion of other priority standards within differing country contexts These crosscutting minimal standards we would like to center the global debate on are PTAS 1 2 6 7 9 10 11 12 and 16 While the other standards are clearly very important implementing these alone in most transition countries will be a very tall task It is also worth noting that these standards also capture some of the others that are closely inter-related such as PTAS 16-19 which are all contingent on having an adequate parliamentary budget (PTAS 12)
4 The Parliamentary Transparency and Accountability Standards are based on the overarching principle of Parliamentary independence distinct from the Executive and Judiciary arms of government and cover issues of transparency and accountability of the institution as well as the members
9
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
The PTAS emerged after a thorough review of international and regional governmental and non-governmental declarations standards guidelines and standards (cited in Annex 2) This review included in-depth analysis of relevant papers studies country and regional surveys and best practices including the work of Parliamentary Associations such as the Commonwealth Parliamentary Association the Canadian Parliamentary Centre the European Parliament and the Inter-Parliamentary Union IFES is now refining the framework in close consultation with a number of these organizations as well as the Consumer Rights Commission of Pakistan where we are developing a report for possible replication throughout the region IFES also reviewed the considerable research and experience of a number of governmental institutions such as the World Bank the National Democratic Institute UNDP USAID the OSCE and the OECD The PTAS are not intended to duplicate the work undertaken by these organizations and others Rather they constitute an attempt to identify consensus Standards which should be found in any democratic Parliament and to present them in a systematic framework Thus the PTAS can be used as the backbone for drafting annual country-specific SOP Reports The model framework for SOP Reports constitutes a component of the IFES Parliamentary Toolkit designed to help civil society and Parliament monitor report on and promote parliamentary transparency and accountability By reporting and monitoring progress against a core set of benchmarks and consensus Standards a SOP Report will assist a diverse range of civil society and governmental stakeholders to prioritize a parliamentary reform agenda in a systematic manner The SOP Report is intended to assess the effectiveness of Parliaments in emerging democracies but also to equip multiple civil society and governmental stakeholders with the information necessary to prioritize and implement parliamentary transparency and accountability reforms
The IFES PTAS and model SOP Framework are grounded in bull International and regional consensus Standards and best practices of
Parliamentary transparency and accountability bull Core international regional and constitutional obligations bull A general overview of the relevant country legal and institutional framework
c Multifaceted Methodology The model SOP framework is designed to lay out the standards and the methodology necessary to assess the transparency accountability and performance of Parliaments around the world against a set of core benchmarks grounded in international and regional best practices The framework captures consensus Parliamentary Transparency and Accountability Standards (PTAS) identified in a series of international and regional treaties declarations guidelines and practices related to the parliamentary structure and
10
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
responsibilities In identifying the PTAS and the framework we sought to include a variety of sources representing a broad consensus The sources are listed in annex Each of the consensus PTAS was disaggregated into qualitative and quantitative indicators5 Indicators designed to assess the level of compliance with each PTAS are a core element of the framework The use of indicators is necessary to obtain a clear picture of where improvements are needed and which achievements and shortcomings affect the Parliament These indicators are not designed to stigmatize countries in comparison to others While the use of a uniform framework and measurements based on indicators will allow for some degree of comparison each Parliament evolves in a set of country-specific circumstances Compliance with the PTAS within a given country-context is the objective of our endeavor Identifying the PTAS and disaggregating them into indicators is an evolving process Standards are slowly emerging as national stakeholders gather in the international arena in search of guidelines to improve independence and efficiency Like new standards emerging indicators can continuously be refined to clarify the contents of each PTAS Standards without indicators are empty concepts which can be interpreted in many different ways depending on the author of the report Indicators help define the PTAS and provide a concrete guide for the assessment of compliance The draft indicators are available in a separate attached document The framework is built around the need to implement and link up key reforms embedded in the PTAS Each country report is developed through a multifaceted methodology that incorporates an array of information resources necessary to assess the level of PTAS compliance (i) desk studies of all relevant laws institutions and international obligations (ii) analysis of existing best practices country studies and research (iii) interviews and surveys of experts and key stakeholders and (iv) analysis of the operation of Parliament in practice The PTAS and their accompanying indicators serve as the guideposts with which to measure implementation progress or regression on a periodic basis While all the PTAS are important and their relevance in the country context varies IFESrsquo working assumption for each report is that certain mutually supportive principles are essential to establishing the legal enabling environment necessary to build an independent accountable Parliament and a Rule of Law culture We also believe that for purposes of capturing global issues lessons learned model programs across borders it is also important for all country reports to uniformly cover a specific set of standards
5 We chose the term ldquoindicatorrdquo because is the most commonly used in the literature on similar topics and we recognize its value In fact we intend to describe and analyze the state and performance of the Parliaments through what can also be called ldquosearch questionsrdquo that will allow to look to the Parliaments uniformly Having indicators will bring coherence and systematization to the national SOP reports
11
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Compiling a National SOP Report The framework was created to serve both as (i) a tool for civil society to monitor parliamentary activity and identify spaces for improvement and participation and (ii) a tool for legislators to assess their own institution Each report should be compiled with the following in mind
Combining a civil society evaluation and a parliamentary self-evaluation will lead to a better report
Sharing information with civil society will be a first step towards strengthening collaborative partnerships between Parliament and the people
The indicators will provide two sorts of data (i) quantitative data such as how many legislators timing of elections number of commissions etc and (ii) qualitative data on the performance of Parliament through an analysis of the processes of parliamentary life and
The PTAS cover to three key aspects of parliamentary operations and activity transparency accountability and efficiency
Assessment of the level of compliance with each PTAS is guided by an examination of relevant laws and practices identified through a survey of legislation and interviews of key stakeholders There are three degrees of compliance
bull Formal compliance (laws and decrees) bull Compliance in practice (effective implementation of laws and decrees as well as
of constitutional and conventional principles) and bull Quality and integrity of the compliance in practice (fair implementation for all)
The Report outlines in the country context the legal and institutional framework within which the judiciary operates The indicators serve as guideposts for the analysis of the level of compliance with each PTAS This analytical process will lead to an overall judgment as to whether there is a ldquosatisfactoryrdquo ldquopartially satisfactoryrdquo or ldquounsatisfactoryrdquo JIP compliance with the possible nuance of ldquoimprovingrdquo or ldquoregressingrdquo and to present prioritized reform recommendations
2 Relevant International and Domestic Legal and Institutional Framework
a International and Regional Obligations IFES has examined various documents relating to the relevant international and regional governmental and non-governmental declarations Standards best practices and guidelines on issues of parliamentary independence transparency and accountability Each annual country-specific SOP Report should present a list of relevant applicable international and regional obligations including
Declarations on democracy and parliamentary independence and best practices guidelines and Standards by international and regional Parliamentary
12
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Associations eg the Commonwealth Latimer House Standards the IPU Declaration on Democracy
International and regional human rights treaties and human rights court and commission case law eg the Universal Declaration of Rights the International Covenant on Civil and Political Rights the UN High Commission on Human Rights Resolution 200047 and
Non-governmental guidelines
b Constitutional Standards Each annual country-specific SOP Report should outline the constitutional Standards related to the separation of powers and parliamentary independence including
The guarantees of parliamentary independence lawmaking powers and other key Standards
The roles of parliamentary committees and of party caucuses The powers to develop amend or review budget and levy taxes The power to question Ministers hold hearings conduct investigations and call
witnesses The power to appoint andor confirm candidates to high-level positions in the
other branches of government The power to access information about government activities and programs6
c Country Legal Framework
In presenting the legal framework each annual country-specific SOP Report should include a review of the relevant applicable legislation and regulations affecting parliamentary transparency and accountability such as
The institutional structure of the Parliament Standing Rules of Order Parliamentary internal regulatory framework Access to information legislation Anticorruption legislation Political party campaign financing regulations and Parliamentary Codes of Ethics and conflict of interest rules
d Country Institutional Framework
In presenting the institutional framework each annual country-specific SOP Report should present a review of the relevant institutional characteristics affecting the Parliament such as
Intra-parliamentary structures bicameralunicameral Committees support services etc
6 USAID Handbook on Legislative Strengthening page 15
13
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Extra-parliamentary structures and governmental relationships Ombudsman political parties Ministry of Justice civil society organizations with watchdog role and
Oversight mechanisms
3 Assessment of the Level of Compliance with the PTAS For each of the PTAS this Model Framework for an annual SOP Report will present
bull Guidelines based on international and regional standards and best practices and
bull Indicators to monitor the level of compliance or non-compliance PTAS1 Independence of Parliament
Institutional Independence Separation of power Standards mandate a Parliament independent from the other two branches of government the Executive and the Judiciary This independence must translate itself into freedom from external pressure and interference In the exercise of its functions Parliament should be subject only to the Constitution and the law CLHP ECOWAS-P UPA-Res00
The institutional independence of Parliaments rests in the doctrine of separation of powers This doctrine is widely accepted internationally as a tenet of democratic societies and is now formally recognized in the Constitutions of most countries7 The separation of powers is either expressly mandated in the Constitution or a document having constitutional value or it is found in the practical organization of the three powers8
Parliament must also be free to legislate and introduce legislation otherwise it is relegated to a rubber-stamping institution for the Executive Finally Parliament must be entrusted with the freedom to organize itself to decide on its own rules of procedures and the proceedings for parliamentary bodies The principle of independence has broader implications Indeed it is now agreed that independence must be recognized to not only Parliament as an institution but also to legislators in the exercise of their functions Both the institution and its members must be free from undue interference and external controls emanating of the other branches of government the Executive and the Judiciary as well as from forces within society such as political parties the private sector the media and others Indeed interferences would
7 ASGP Report dated September 1998 by Michael Couderc The Administrative and financial autonomy of Parliamentary Assemblies page 1 (found at wwwasgpinfopublicationshtm ) The report states that exceptions to this general rule appear the Cyprus Kenya and Switzerland Parliaments 8 Ibid Most countries now have adopted Constitutions but there are some noteworthy exceptions such as the United Kingdom
14
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
render impossible the exercise of the core functions of Parliament lawmaking and oversight In order to be independent legislators must be able to discharge their duties without fear for their physical security or the well being of their families and staff This principle requires the State to provide security services for legislators and to secure the House of Parliament PTAS2 Free and Fair Parliamentary Elections
Parliamentary Elections The process of the election of members of Parliament should be open and transparent allowing for full citizen participation and free of coercion fraud or violence CLHG CSCE-CD ECOWAS-P IPU-DD IPU-Res03 UNHCHR UPA-Res00
The right of everyone to take part in the government of hisher country is expressed through the right to freely choose representatives Parliaments differ in the manner and types of election held to elect members There is an international consensus on the need to provide voting rights for all citizens on the basis of universal equal and secret suffrage so that all voters can choose their representatives in an environment conducive to equality and political competition The different systems include direct and indirect proportional versus single constituency The IPU Declaration on Democracy notes that holding free and fair elections which allow the expression of the peoplersquos will at regular intervals is a key element of democracy This Standard is seen as the best way of guaranteeing representative democracy Whatever the system used elections of legislators must be organized following an open and transparent process There must be full citizen participation without a suggestion of manipulation Legislators should not be required to run for office exclusively under the nomination of a Political party PTAS3 Transparent Adequate Political Financing and Compensation
Political finance The fight against corruption requires the adoption of clear rules for transparent political financing of legislators their campaigns and their political organizations need to be adopted These rules should include transparent compensation as well as the disclosure of campaign account income and assets of legislators Anticorruption Treaties Adequate compensation Legislators should receive adequate salaries and benefits which are comparable to those of equivalent positions in the other branches of government and private sector CLHG IPU-DD
The financing of any parliamentary candidate by his her political party should be transparent and there should be clear written rules and regulations on the types of political financing which are impermissible and illegal and those which are permitted and legal
15
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Clear rules for political party and campaign financing ndash these rules should foster financial transparency and integrity
bull Income and asset disclosure requirements bull Oversight by an independent authority (internal ie Parliamentary Committee or
external) and publication of information To the extent possible political parties and parliamentary candidates should be required to place all contributions above a certain limit in official bank accounts and use these accounts for all campaign expenditures Official bank accounts are accounts which are fully documented and disclosed Disclosure requirements should cover all income assets and expenditures related to the campaign and should be made to an independent official agency Uniform and reliable software will help monitor all income and expenditure during political campaigns The independent official agency should verify and report on the parliamentary campaign finance data Additional independent verifications and reports should be undertaken by civil society to avoid collusion A serious problem in many countries has been the use of parliamentary resources such as office space staff time or funds by incumbents This is a practice which should be seriously discouraged or even outlawed as it constitutes a misuse of funds by parliamentarians Legislators should also be adequately compensated for their work Compensation includes both their salary and any additional benefit granted to workers The adequacy of compensation will be assessed in comparison with the cost of living and the compensation-level of senior officials in the Executive judiciary and private sector Due to high turnover in parliamentary office an appropriate compensation level is important to attract high-quality people and to shield legislators from outside pressure Pension entitlement by virtue of office is a widely recognized right in most Parliaments independently of the diversity of the methods and procedures chosen to implement it A number of other countries in which no recognized pension scheme currently exists for Legislators have indicated that this subject is currently under review (Egypt Lesotho Nigeria Thailand) The great majority of legislators today benefit from social security (sickness maternity invalidity death and industrial injury insurance) coverage while in office This is for the most part organized within the framework of the common labor rights legislation of each country9 Transparency regarding all amounts received by legislators as compensation is necessary to promoting parliamentary accountability and ethics Legislators and if possible their dependents should be required to disclose all their incomes assets and relevant interests to an independent official agency The public should have an opportunity to access information about the salaries and other benefits of the legislators whom they have elected Like with parliamentary campaign finance uniform and reliable software will
9 Helene Ponceau AGSP Report April 2001 This report is based on a questionnaire of the Association of General Secretaries of Parliaments approved at the Berlin session in October 1999 and sent to 56 countries
16
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
help monitor the disclosures and verification and reporting by the independent official agency as well as civil society will foster more transparency and accountability PTAS4 Representative Parliament
Broad-Based Representation An inclusive fully representative Parliament across gender ethnicity political affiliation religion etc is one of the main tenets of a democratic society CLHG CSCE-CD ECOWAS-P IPU-GD IPU-Res03 UNHCHR UPA-Res00
There is increasing consensus at the international level that democratic institutions must be representative of the diversities of society Parliament should therefore be composed of a broad cross-section of society including members of different genders ethnicity political affiliation religion etc Diversity in institutional membership echoes the Standards enshrined in the numerous conventions against discrimination which have been ratified in the past decades10
A broad-based representative Parliament will contribute to the promotion of the right of everyone to take part in government and of all interests to be given expression As noted by the IPU in its Declaration on Democracy ldquoDemocracy is founded on the right of everyone to take part in the management of public affairs it therefore requires the existence of representative institutions at all levels and in particular a Parliament in which all components of society are represented and which has the requisite powers and means to express the will of the people by legislating and overseeing government actionrdquo Some countries have taken additional steps to encourage participation by marginalized groups such as women or minorities For example in Pakistan quotas for gender participation were established 33 quota in direct elections (local) and 17 quota in indirect national elections (legislature and senate) Women membership in the legislature is currently at 21 slightly above the mandatory quota PTAS5 Security of Tenure
Security of tenure ldquoSecurity of Members during their Parliamentary term is fundamental to Parliamentary independencerdquo CLHG CSCE-CD
The legitimacy of Parliament rests on the fact that its membership is rooted in the will of the people who chose representatives in periodic elections In order to guarantee that their will is respected the term of office of legislators must be respected Certain classes of legislators may have life terms (cite House of Lords other examples) but most legislators are elected for fixed terms Exceptionally the tenure of legislators may be terminated but such mechanisms must be narrowly defined and follow clear transparent
10 See for example the International Convention on the Elimination of All Forms of Racial Discrimination [CERD] (1965) and the International Convention on the Elimination of All Forms of Discrimination against Women [CEDAW] (1979)
17
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
legal procedures This may be the case for immunity waivers in case of criminal offences committed by a legislator or of dissolution of parliament by the executive The CLHG lists three requirements to protect the security of tenure of legislators in its guideline number 2
ldquo (a) The expulsion of members from Parliament as a penalty for leaving their parties (floor-crossing) should be viewed as a possible infringement of membersrsquo independence anti-defection measures may be necessary in some jurisdictions to deal with corrupt practices
(b) Laws allowing for the recall of members during their elected term should be viewed with caution as a potential threat to the independence of members
(c) The cessation of membership of a political party of itself should not lead to the loss of a Memberrsquos seatrdquo
PTAS6 Freed Parliamentary Speech
Freedom of Speech The true expression of democracy lies in the right to free speech This should not just be a right guaranteed to the general public but legislators also must be free from censorship and defamation laws that restrict the right to criticize government thereby curtailing parliamentary oversight of the Executive Banjul CLHG CLHP CPA-Media CPA-Rec03 ECHR IACHR ICCPR IPU-GD IPU-DD UPA-Res00
The International Covenant on Civil and Political Rights (ICCPR) expressly states in article 19(1) that everyone shall have the right to hold opinions without interference Article 19(2) guarantees the right to freedom of expression and broadens it to include the freedom to seek receive and impart information and ideas of all kinds regardless of frontiers either orally in writing or in print in the form of art or through any other media of choice These rights are not absolute and may be restricted under specific circumstances as outlined in article 19(3) Most international human rights instruments provide that every individual shall have the right to express and disseminate his opinions within the law Other instruments recognize the right of freedom of expression as an inalienable fundamental right Free speech rights should entitle legislators to
bull Put written and oral questions to members of the government and receive answers to these questions The opposition in Parliament should also be entitled to speaking time proportionate to its numbers in sittings set aside for oral questions
bull Request documents and receive such documents in a timely manner National security concerns constitute one of the main reasons why governments restrict freedom of expression Freedom of expression should not be restricted on public order or national security grounds unless there is a real risk of harm to a legitimate interest and there is a causal link between the risk of harm and the expression
18
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Defamation laws are a serious concern for legislators when seeking to protect or exercise their freedom of expression rights Legislators should be free from improper pressures in the discharge of their functions These improper pressures can be in the form of criminal laws and the use of defamation proceedings restricting legitimate criticism of the government by legislators Criminal defamation laws need to be carefully reviewed Similarly the defense of qualified privilege with respect to reports of parliamentary proceedings should be drawn as broadly as possible to permit full public reporting and discussion of public affairs and offence of contempt of Parliament should be drawn as narrowly as possible There is a need to achieve a balance between the free speech rights of Legislators vis-agrave-vis the government and the publicrsquos right of free speech vis-agrave-vis the Parliament PTAS7 Participatory Transparent Law and Decision-Making Processes
Parliamentary Processes Parliament must be open transparent and accountable to the public in its lawmaking and policymaking functions In this regard the free flow of information from Parliament to its members and the public as well as avenues for effective public participation is fundamental to a democratic Parliament CLHG CLHP ECOWAS-P IPU-GD IPU-Res03 UPA-Res00
Law and policy-making are the primary responsibilities of Parliament as the elected body representing the people The Executive may initiate laws and policies and the Judiciary may be constructive and purposive in the interpretation of legislation neither must be seen as usurping Parliamentrsquos legislative function Ultimately only the Parliament is entitled to adopt laws for the country Consequently legislators should be encouraged to adopt national policies and laws through open processes which allow for consultation and citizen participation Parliamentary processes must be not only transparent but also participatory Participation starts with the right to form democratic political parties and entails the need for transparent and fairness in the electoral process including through appropriate access to funds and free independent and pluralistic media Transparent decision-making and law-making processes create ownership in governance by the public which is necessary in a democratic society The Parliament should implement efficient mechanisms to allow and encourage public participation in the different stages of the law making process From the moment that Parliament receives a bill from the Executive or from the moment a bill is drafted by a committee civil society representatives should have a voice and be consulted Civil society participation will add a fresh look and ensure a better response to community needs Legislators will benefit from input and the resulting laws will better reflect real needs and local buy-in Committees meetings and parliamentary sessions should be usually open to the public Information on meetings and final decisions should be broadly disseminated Parliament should be consulted by the government on important questions affecting the life of the nation war national security human rights economic policy social rights
19
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
labor markets etc This will enable the opposition to take part in the debate and provide its input to the decision-making process The opposition must also be able to raise matters regarding the Constitution with a view to its amendment PTAS8 Transparent Oversight of the Executive
General Oversight One of the core functions of Parliament is to provide a continuous check on the activities of the Executive In performing this oversight function Parliament must follow transparent procedures and respect strict standards of accountability CLHG CLHP IPU-GD UPA-Res00
The separation of powers not only means that each branch of government is independent from the other two but also that mechanisms of checks and balances are in place to avoid abuses and encroachments To that end the Parliament is traditionally entrusted with the responsibility of overseeing the activities of the Executive The Executive as Parliament must follow high standards of accountability transparency and responsibility in the performance of its duties Parliament is responsible for ensuring that these standards are met and for providing adequate mechanisms to challenge the Executive for failure to meet these standards Oversight may take place in the form of periodic questions to the government in a parliamentary sessions or investigations undertaken by parliamentary commissions or votes of confidencenon-confidence Parliamentary procedures should be transparent and allow for public scrutiny Governments should be required to announce publicly within a defined time period their responses to committee investigations PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
Budget Design and Oversight Parliament is traditionally responsibly for adopting the national budget There is a growing international consensus that Parliaments around the world need to make maximum use of existing processes for exerting influence in national budget control scrutiny and accountability IPU-Res03 UPA-Res00
Parliament must have a certain amount of authority to affect the budget otherwise its role in establishing national policy and representing citizen interests will remain limited11 Involvement should extend beyond budget approval and include budget formulation tracking and accountability Unless it has substantial involvement beyond approval Parliament will do no more than rubberstamp the Executiversquos budgetary and policy decisions To promote more accountability in government Parliament should be entitled to monitor income and expenditures especially how effectively government programs and activities are administered
11 USAID Handbook
20
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Parliamentary procedures should therefore provide adequate mechanisms to oversee the Executive including accountability mechanisms targeted at budget development effective money flows budget implementation etc This can be achieved by allowing independent audits of public accounts establishing that the opposition will chair the Public Accounts Committee or a combination of the mechanisms andor others PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
International Obligations and Parliament International treaties carry a general obligation for signatory States to ratify and to adopt all necessary measures for their implementation Both functions should fall on Parliament CLHG CLHP IPU-Res03
The need for governments to respect their international law obligations has become more urgent post World War II particularly as inter-State conflicts are on the rise Legislators as law makers and representatives of the people need to be more proficient in their knowledge and understanding of human rights and humanitarian law instruments including those relating to economic social and cultural rights In a 2000 Declaration the Conference of Presiding Officers of National Parliaments outlined the four inter-connected levels of intervention for Parliaments in relation to international obligations
bull ldquoInfluencing their respective countriesrsquo policy on matters dealt with in the United Nations and other international negotiating forums
bull Keeping themselves informed of the progress and outcome of these negotiations bull Deciding on ratification where the Constitution so foresees of texts and treaties
signed by governments and bull Contributing actively to the subsequent implementation processrdquo12
Parliaments play a central role in adjusting domestic law to international standards According to the legal systems of many countries Parliaments are not only the bodies entitled to ratify international obligations but also the ones responsible for adopting the necessary implementing legislation Many international treaties particularly those related to human rights the environment gender and corruption require that States parties adjust their national legislation to match the minimum standards laid out in the treaties For example United Nations Convention against Corruption (2004) is explicitly applicable to legislators Indeed its scope covers ldquopublic officialsrdquo who are defined as including any person holding parliamentary office in a State party Compliance with this provision and others often requires the adoption of legislation Conventions generally include explicit requirements for the adoption of new laws by national Parliaments
12 Conference of Presiding Officers of National Parliaments organized by the IPU in cooperation with the UN Declaration adopted by at UN Headquarters New York 30 August ndash 1st September 2000
21
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The United Nations Convention against Corruption (2004) establishes that each State party should develop and implement anti-corruption policies
bull The Inter-American Convention against Corruption (1996) requires in its article VII the adoption by State parties of all ldquonecessary legislative or other measures to establish as criminal offences under their domestic law the acts of corruption described in Article VI(1) and to facilitate cooperation among themselves pursuant to this Conventionrdquo
As guardians of the Constitution legislators have an obligation to protect the human rights of people This obligation is reinforced by the requirement to comply with international and regional human rights treaties This obligation to protect and legislate in support of human rights should lead to increased oversight by Parliament in areas in which the Executive has traditional exercised blanket discretionary powers such as national security There has been a growing consensus on the need to shift focus away from military security to broader factors of ldquohuman securityrdquo such as environmental economic social as well as political13 PTAS11 Transparent Efficient Parliamentary Committees
Parliamentary Committees The legislative and oversight functions of Parliament are actually undertaken by Parliamentary Committees the powers and structures of which differ from country to country It is essential for these committees to be properly structured and well funded to enable them to be effective in discharging Parliamentrsquos legislative and policy making functions CLHG CPA-Media CPA-CP CPA-Rec03 CPA-REc04 IPU-GD
Committee structures may vary depending on the size of Parliament its constitutional mandate and other country-specific factors However all committees should have adequate resources both human and financial and have the power to summon witnesses including ministers as necessary to fulfill their mission Committee meetings should be generally open and allow for public attendance and participation Committee reports should be published and made readily available to both the government and the public PTAS12 Adequate Independent Parliamentary Budget
Parliamentary Budget It is the duty of the State to provide adequate resources to enable Parliament to perform its functions properly CLHG
Parliamentary independence and effectiveness to carry out its functions is eroded when Parliament lacks control over its own budget or has inadequate finances to manage its committees and carry out various other internal administrative duties14 Parliament 13 IPU and the Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born Philipp H Fluri amp Anders B Johnsson page 16 (Found at httpwwwdcafchpublicationse-publicationsHandbook_eng ) 14 Indeed without adequate resources for the training of new members secretarial office library and research facilities drafting assistance for bills etc Parliament is handicapped
22
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
should be able to design its own budget based on its needs and negotiate with the Executive the amount allocated to it from the national budget There should be sufficient autonomy over these finances by Parliament to protect the institutional independence and integrity It has been suggested that an all-party committee of members of Parliament should review and administer the parliamentary budget Moreover the parliamentary budget should not be subject to amendment by the Executive15 It is the Parliamentary budget that inter alia funds training of parliamentary support staff ensures that library and research facilities are properly and adequately equipped guarantees that legislators have the necessary support staff to undertake their functions and funds security services PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
Parliamentary Conduct Legislators are required to exhibit and promote high standards of professional conduct in order to reinforce public confidence in Parliament which is fundamental to its independence and legitimacy in a democratic society ANTICORRUPTION TREATIES CLHG CLHP
The CLHG outline three components for a comprehensive ethical framework applicable to Parliament
bull Conflict of interest rules and codes of conduct requiring disclosure of interests bull Access to ethics advisors and bull Restrictions on lobbying and interest group influence
Ethical professional conduct requires legislators not only to conform to high standards of ethics in practice but also to avoid the appearance of impropriety The need for financial transparency by public officials has increasingly gained acceptance as anti-corruption issues have become global Legislatorsrsquo professional and private conduct must be subject to some system of internal codified rules regulating standards of behavior and making disclosure of personal income and assets mandatory Other professions have codes of ethics regulating membersrsquo behavior for example doctors and lawyers Ethical rules should include conflict of interest rules outlining incompatible professional activities or interests such as holding another governmental office and restricting certain ventures such as participation or shareholding in corporations These rules should also require the submission to an independent oversight authority of disclosures of income assets and interests These disclosures should then be publicized for broader ethical monitoring by the public Disclosure of interests will go a long way in establishing institutional integrity trust and respect by the public and effective discharge of duties on the part of legislators as they are fully conscious of the ethical parameters which govern them as a profession 15 Commonwealth Latimer House Guidelines Number VII6
23
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
Discipline Just as other professionals have quasi-judicial bodies to regulate discipline and even remove members there should also be an internal or external authority to sanction legislators conduct investigations and hearings and adopt findings and conclusions There should also be a clear appeals process available to any member aggrieved by a decision CLHG
ldquoThe Committee recommends
bull The House should appoint a person of independent standing who should have a degree of tenure and not be a career member of the House of Commons staff as Parliamentary Commissioner for Standards
bull The Commissioners should have independent discretion to decide whether or not a complaint merits investigation or to initiate an investigationrdquo Recommendations of Committee on Standards in Public Life First Report16
Just as any other citizen legislators should be bound by the law In cases when legislators commit acts contrary to the laws and regulations they expose themselves to disciplinary action and prosecution Moreover there are special conditions only for the status of being public servants that they must observe such as compliance of high standards of ethics assets disclosure and conflict of interest rules There must be a clear system of sanctions for non-compliance with the laws and regulations The disciplinary process in representative bodies is a very sensitive one It should not be used to punish the opposition or dissidents In this sense the existence of an objective internal or external body to sanction legislators is essential to the proper operation of the system An additional problem represents the immunity that all legislators should have The immunity is a protection to ensure that legislators can perform their duties without interference it should not however be used as an excuse to avoid sanctions for common misconducts or crimes PTAS15 Parliamentary Immunity
Immunity Legislators shall enjoy personal immunity from civil suits and criminal prosecution for acts and omissions in the exercise of their functions CLHG ECOWAS-P IPU-GD
Legislators should enjoy some degree of immunity from prosecution or civil suit for acts and omissions in the exercise of their functions However no one should be exempted from accountability The requirements of parliamentary independence from political institutional and societal forces must be balanced against those of public accountability
16 These recommendations were implemented by the House of Commons England A Standing Order setting up the office of Parliamentary Commissioner for Standards was set up on 6 November 1995
24
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Consequently the immunity regime should be strictly regulated especially through the recognition of
bull Clear limited scope of immunity (for example it should not cover acts performed outside of office nor common crimes) and
bull Possibility of waivers in clearly defined cases and following a transparent procedure
Regarding the scope of parliamentary immunity its historical roots lie with the freedom of speech of legislators as recognized in the British and American Bills of Rights The underlying justification for immunity is that it allows legislators to fulfill their mandate without fear of retaliatory measures on account of their positions or votes Legislators must therefore be protected against arrest and detention or civil and criminal prosecution for any acts performed or words spoken while in office or in the conduct of parliamentary affairs Legislators should not be subject to any form of inquiry detention or legal proceedings in respect of opinions expressed or votes cast by them in the performance of their duties Immunity should not be limited to acts or speech within the parliamentary facilities Rather immunity must be interpreted as broadly as possible For example the members of the European Parliament enjoy immunity in their own States in the territories of other Member States and whilst traveling to and from the place of the meeting of the European Parliament However immunity should not be absolute The immunity regime applicable to legislators should provide for the possibility of waiving this immunity in limited circumstances in the interests of justice Immunity is not a privilege benefiting individual members but rather a guarantee protecting the independence of Parliament and its members in their relations with other governmental and private bodies17 Parliamentary privileges must be clearly defined and established by law These immunities are not meant to place legislators above the law but to protect them from possible groundless proceedings or accusations that may be politically motivated The grounds and terms for lifting of immunity must be clearly specified by law so that this may only occur following a decision taken by a competent body on a non-partisan basis PTAS16 Parliamentary and Public Access to Information
Access to Information Legislators as well as the general public must have access to accurate timely information and data including legislation parliamentary procedures governmental data and relevant research data Banjul CLHG CLHP CPA-Media CPA-CP CPA-Rec03 CPA-Rec04 CSCE-CD ECHR IACHR ICCPR IPU-DD IPU-GD IPU-Res03 UNHCHR
17 ECPRD Parliamentary Codes of Conduct in Europe by Veronica Williams November 2001
25
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
The free flow of information is essential in a democratic society Access to information should not only be viewed in relation to the media and civil societyrsquos right to access governmental documents but also in relation to the legislatorsrsquo right to access relevant research and information from the government and other sources Access to information can be facilitated by the use of databases networks and information technology in general The media should be free to report the activities of Parliament and the public should be able to attend parliamentary meetings and Committee sittings where appropriate The CPA encouraged Parliaments ldquoto provide live coverage of their proceedings on a dedicated channel andor onlinerdquo in its Recommendations for an Informed Democracy The environment should be made conducive for civil society organizations the public and multiple stakeholders to exchange information with legislators to enable Parliament to effectively discharge its duties of oversight policy making law making representation and recruitment This could be achieved through the establishment of a public information office within Parliament Bills and Acts of Parliament must be published regularly and should be freely available to the public Indeed the CSCE Copenhagen Document notes that ldquolegislation adopted at the end of a public procedure and regulations will be published that being the condition of their applicability Those texts will be accessible to everyonerdquo In its recommendations following a conference on ldquoWhat Parliament and Legislators Can Dordquo the CPA noted that access should be granted ldquoto basic information and documents produced by the parliamentary process such as access to parliamentary libraries the provision of on-line information and the distribution of Parliamentary speeches promptly after delivery in the Houserdquo18 The type of information available to the public and to legislators should include
bull Attendance and voting records bull Registers of membersrsquo interests bull Bills and Acts of Parliament bull Procedural rules bull Codes of Conduct
Legislators should also have access to parliamentary archives as well as all necessary information and data from the government The IPU Guidelines note that ldquolegislators from the majority and the opposition alike are equally entitled to receive in a timely manner the same information from the governmentrdquo
18 Parliament and The Media Building an Effective Relationship 15-18 February 2000 [CPA-Media]
26
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS17 Adequate Facilities Equipment and Technology
Adequate Infrastructure Parliament should have at a minimum the necessary infrastructure and technical assistance including research capacity adequate facilities and equipment to enable it to carry out its basic democratic functions CPA-Rec03 CPA-Rec04 IPU-GD
The working conditions of legislators must be adequate and reflect the importance of Parliament as a key democratic institution Parliament must be housed in one or more buildings with the necessary equipment and office space for legislators and their staff including tables chairs and all other necessary office equipment Adequate resources must be allocated to Parliament andor legislators and support services to maintain and equip their facilities Some of the facilities and services which can be reasonably expected to be available to legislators include
bull Offices bull Secretarial services (general andor individual) bull Library and archive facilities bull Research services (to which requests for information can be submitted) and bull Information technology
In its 2002 Report the CPA Study Group highlights the importance of information technology including ldquoimproved networking between legislators and constituents among legislators between legislators and Parliament and better information sharing and record keepingrdquo Information technology can also facilitate access to information and best practices on the broad range of issues which fall under the purview of parliament including human rights socioeconomic rights and gender issues The use of information technology could include the development of intra-parliament networks and of searchable public databases on parliamentary activity as well as the increased access to outside information for legislators PTAS18 Professional Training for Legislators and Staff
Adequate Training Resources must be allocated to training programs both for new legislators and for the continuing education of sitting legislators These programs must be geared towards developing the skills required by parliamentary functions as well as exposing legislators to substantive issues and developments affecting their legislative oversight and representative functions CLHG CPA-CP
Training should be geared towards providing legislators with the specific skills and knowledge necessary to fulfill their parliamentary functions Legislators just like other professionals need continuing education programs and professional development to keep them updated on emerging democracy and governance trends Equally significant is the need to properly train new or incoming legislators on the constitutional rights and obligations of Parliament internal procedures and order of business ethics etc
27
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS19 Adequately-Compensated Research Library and Committee Staff
Support Staff ldquoParliament should be serviced by professional staff independent of the regular public servicerdquo CLHG IPU-GD
Parliamentary support staff in sufficient numbers and with the appropriate professional skills is crucial for an effective institution Parliamentary staff performs duties such as
bull Assisting in bill drafting bull Tracking the status of bills in the legislative process bull Maintaining and in some cases designing web sites bull Producing and drafting documents about the legislature bull Undertaking accounting and various other clerkship duties
High turnover of parliamentary staff requires more money for attracting new competent staff and providing them with the necessary training It is important to ensure that staff is reasonably well compensated to attract good candidates for the job who will retain their jobs longer When vacancies are not rapidly filled parliamentary work can be undermined resulting in misplacement of documents errors and overall inefficiency Parliamentary staff should be independent from other public service offices Their selection promotion and discipline must be clearly defined and reflect merit-based criteria and transparent processes Professional development opportunities and training should be offered to them The longer support staff stay in Parliament the more it benefits the institution especially as it may provide new legislators with the information and support necessary to adapt to their new functions faster
28
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 1 List of Acronyms
Banjul African Charter on Human and Peoplersquos Rights (1986) CEDAW Convention on the Elimination of All Forms of Discrimination
against Women ICERD Convention on the Elimination of All Forms of Racial
Discrimination CLHP Commonwealth Latimer House Principles on the Accountability and Relationship between the Three Branches of Government (2003) CLHG Commonwealth Latimer House Guidelines (1998) CPA Commonwealth Parliamentary Association CPA-Media Parliament and the Media Building an Effective Relationship
CPA (2000) CPA-CP Capetown Principles for an Informed Democracy CPA (2002) CPA-Rec03 Recommendation for an Informed Democracy CPA (2003) CPA-Rec04 Recommendation for Transparent Governance CPA (2004 CSCE Conference on Security and Cooperation in Europe CSCE-CD Copenhagen Document CSCE (1990) CSCE-MD Moscow Document CSCE (1991) ECHR European Convention on Human Rights and Fundamental
Liberties (1951) ECOWAS-P Protocol ASP11202 on Democracy and Good Governance
ECOWAS (2001) IACHR Inter-American Convention on Human Rights (1978) ICCPR International Covenant on Civil and Political Rights (1966) IPU Inter-Parliamentary Union IPU-DD Universal Declaration on Democracy IPU (1997) IPU-GD Guidelines and Duties for the Opposition in Parliament IPU (1999) IPU-Res03 Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World IPU (2003) UPA Union des Parlementaires Africains [African Parliamentary Union] UPA-Res00 Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence Building between Peoples and their Institutions (2000) UNHCHR United Nations High Commissioner for Human Rights Resolution
200047
29
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 2 Bibliography Governmental Documents
bull Commonwealth Latimer House Standards bull Commonwealth Latimer House Guidelines bull Commonwealth Parliamentary Association (CPA) Parliament and the Media
Building an Effective Relationship bull English Bill of Rights 1689 bull Inter-Parliamentary Union (IPU) Guidelines bull ECOWAS Protocol on Democracy and Good Governance Supplementary to the
Protocol Relating to the Mechanism for Conflict Prevention Management Resolution Peacekeeping and Security
bull Protocol on the Privileges and Immunities of the European Communities bull ECPRD Parliamentary Codes of Conduct in Europe (Compilation by the Council
of Europe Parliamentary Assembly) bull IPU Universal Declaration on Democracy bull International Covenant on Civil and Political Rights (ICCPR) bull The African (Banjul) Charter on Human and Peoplersquos Rights bull The Johannesburg Standards National Security Freedom of Expression and
Access to Information bull Document of the Copenhagen Meeting of the Conference on the Human
Dimension of the CSCE 1990 bull Declaration of Principle on Freedom of Expression in Africa bull Union des Parliamentaires Africains on the Role of Parliaments in the
Consolidation of Democracy and Confidence-Building Between the Peoples and their Institutions 23rd Conference in Addis Ababa 24-25 November 2000
bull The Harare Declaration bull IPU Conference of Presiding Officers of National Parliaments bull International Convention on the Elimination of All Forms of Racial
Discrimination bull Convention on the Elimination of All Forms of Discrimination Against Women bull Report of the Ethics Reform Task Force on H Res 168 105th Congress 1st
Session 17 June 1997 (found at httpwwwhousegovethicsethicsreporttxt ) bull Parliamentary Standards and the Wicks Committee Report Standard Note
SNPC2200 24 June 2003 by Ruth Winstone (found at httpwwwparliamentukcommonslibresearchnotessnpc-02200pdf )
bull Committee on Standards in Public Life First Report Cm 2850 Volume 1 11 May 1995 (found at httpwwwarchiveofficial-documentscoukdocumentcm282850285002pdf )
bull Committee on Standards in Public Life Sixth Report Reinforcing Standards Cm 4557 Volume 1 January 2000 (found at httpwwwpublic-standardsgovuk )
bull Committee on Standards in Public Life Eighth Report Cm 5663 Standards of Conduct in the House of Commons November 2002 (found at httpwww-standardsgovukreports8th_reportreporteighthreportpdf
bull African Union Declarations and Decisions
30
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The African Commission Declaration of Principle on Freedom of Expression in Africa
bull United Nations High Commissioner for Human Rights Resolution 200047
Non-Governmental Documents Transparency and Accountability of the Parliament
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Anti-Corruption Commissions Panacea or Real Medicine to Fight Corruption By John Heilbrunn 2004
bull PREM Notes Public Sector No 74 October 2002 Strengthening Oversight by Legislatures (found at httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull PREM Notes Public Sector No63 March 2002 Strengthening Legislatures Implications from Industrial Countries (found at httpwww1worldbankorgpremPREMNotespremnote63pdf )
bull WBI Working Papers Building a Clean Machine Anti-Corruption Coalitions and Sustainable Reforms by Michael Johnston and Sahr J Kpundeh 2002
bull IFES IFES Parliamentary Toolkit Transparency and Accountability Tools for Civil Society
bull PREM Notes Public Sector No59 October 2001 Features and Functions of Supreme Audit Institutions
bull World Bank Institute Improving Governance and Controlling Corruption Towards a Participatory and Action-oriented Approach Grounded on Empirical Rigor October 2001
bull World Bank Towards Transparency in Finance and Governance by Tara Vishwanath and Daniel Kaufman September 6 1999
bull World Bank Institute Pillars of Integrity The Importance of Supreme Audit Institutions in Curbing Corruption by Kenneth M Dye and Rick Stapenhurst 1998
bull Association of Secretaries General of Parliaments (ASGP) Promoting the Work of Parliament Report by Mr Ian Harris Clerk of the House of Representatives of Australia19 Autumn 2000 (found at httpwwwasgpinfodiscussionshtmstudies)
bull USAID Handbook on Legislative Strengthening httpwwwusaidgovour_workdemocracy_and_governancegovhtml
bull Parliamentary Centre Canada Controlling Corruption A Parliamentarianrsquos Handbook httpwwwparlcentcaindex_ephp
bull Parliamentary Centre Canada Parliamentary Accountability and Good Governance httpwwwparlcentcaindex_ephp
19 This report contains a detailed analysis of the answers from a Questionnaire of how the public is provided information about the operation and work of Parliament The review was launched at the Conference of the Association of Secretaries General of Parliaments which was held in Autumn 2000 in Jakarta
31
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Center for Democracy and Governance February 2000 USAID Handbook on Legislative Strengthening
bull Parliamentary Centre Parliamentary Accountability and Good Governance A Parliamentarianrsquos Handbook
bull Parliamentary Centre Forum on Parliamentary Reform bull NEPAD Library Emerging Legislatures in Emerging African Democracies bull Commonwealth Parliamentary Association and World Bank Institute
Recommendations for Transparent Governance Conclusions of a CPA Study Group on Access to Information Accra Ghana 5-9 July 2004
bull GOPAC Parliamentarians Fighting Corruption A Conceptual Overview PCentrefsPCentreSProjectsParliamentary_RelationsGOPACWBI
bull International IDEA Democracy Assessment Questionnaire wwwideaintideas_work14_statedemocracy_assessmentpdf
bull NDI and UNDP Parliaments and Poverty Series Toolkit No1 Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Strengthening the Accountability Process and Parliamentary Reform A Report on the Parliamentary Roundtable Held in Bhurban Pakistan March 1-2 1997
Independence of the Parliament bull NDI Strengthening Legislative Capacity in Legislative-Executive Relations
Paper 6 httpwwwndiorgglobalpgovgovernanceasp bull Venice Commission Opinion on the Draft Proposal for Rules of Procedure of the
Assembly of the Republic of Macedonia by Georg Nolte July 5 2002 bull Venice Commission Report on the Referral of a Law Back to Parliament by the
Head of State November 15 1996 bull AGSP The Role of the Secretary General in the Administration of Parliament
Report by Mr Ugo Zampetti General Secretary of the Chamber of Deputies (Italy) October 2000 Review no 180
bull AGSP Constitutional and Parliamentary Information The Status of Parliamentary Groups
Parliamentary Immunity
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union Part Three Immunity in the European Parliament June 2001
bull Venice Commission Opinion 11995 Report on the Regime of Parliamentary Immunity CDL ndash INF(1996) 007 6496 (found at httpvenicecoeintsitedynamicsN_Opinion_efaspampL=EampOID=1 )
bull Venice Commission Supplementary Opinion on the Revision of the Constitution of Romania October 18 2002
32
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Venice Commission Draft Report ndash The Regime of Parliamentary Immunity April 29 1996
bull Venice Commission Questionnaire on Parliamentary Immunity prepared by Mr GW Maas-Geesteranus June 19 1995
Freedom of Parliamentary Speech
bull AGSP The Immunities of Members of Parliament Report prepared by Mr Robert Myttenaere September 1998
bull AGSP Position of Witnesses before Parliamentary Committees Report prepared by Mr Demaree JB Raval April 1997
Conflict of Interest amp Ethics
bull Parliamentary Affairs A Journal of Comparative Politics Volume 55 No 4 October 2002 Conduct Unbecoming The Regulation of Legislative Ethics in Britain and the United States by Robert Williams
bull Parliamentary Affairs A Journal of Comparative Politics Volume 52 No 3 July 1999 Parliament in the Age of Internet by S Coleman JA Taylor and W Van de Donk
bull European Centre for Parliamentary Research and Documentation (ECPRD) Parliamentary Codes of Conduct in Europe an Overview November 2001
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union June 2001
bull Research Paper Commissioned on behalf of The Committee on Standards in Public Life May 2002 The Regulation of Parliamentary Standards ndash A Comparative Perspective (found at httpwwwpublic-standardsgovukreports8th_reportreportresearchdoc
bull House of Representatives Resolution 168 on the Report of the Ethics Reform Task Force 18 June 1997
bull NDI Accountability Ethics and Transparency in Government Pakistan Study Mission to South Africa June 3 1997
bull NDI Report on Regional Consultative Workshops ndash Ethics Questionnaire August 1998
bull Council of Europe Steering Committee on Local and Regional Democracy (CDLR) Public Ethics at Local Level Model Initiatives Package November 25 2002
bull NDI Legislative Research Series Paper No 4 ndash Legislative Ethics A Comparative Analysis 1999
bull OECD United States Case Study ndash Ethics and Corruption The Management of Ethics and Conduct in the Public Service by Stuart Gilman December 1995
bull OECD Recommendations of the Council on Guidelines for Managing Conflict of Interest in the Public Service June 2003
33
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Sanction and Removal of Legislators bull Venice Commission Comments on the Draft Law of the Chechen Republic on
Elections to the Parliament of the Chechen Republic As Submitted to Referendum by Mr G Nolte March 23 2003
bull Venice Commission Opinion on the Draft Law on the Public Attorney (Ombudsman) of ldquoThe Former Yugoslav Republic of Macedoniardquo March 15 2003
bull Venice Commission Comments on the Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia by Ms Serra Lopes February 28 2003
bull Venice Commission Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia February 2003
bull WBI PREM Notes Public Sector Number 19 April 1999 Using an Ombudsman to oversee Public Officials
bull AGSP The Office of the Parliamentary Ombudsman March 1994 Salaries and Benefits of Legislators
bull AGSP The Social Protection of Parliamentarians Report by Mrs Helene Ponceau General Secretary of the Senate Quaestorrsquos Office [Havana Senate Treasurerrsquos Department] Review No 181 April 2001
Professional Development and Training
bull SADC Parliamentary Forum MPs Orientation Handbook ndash Professional Performance and Development httpwwwsadcpforgaboutindexasp
The Parliament and the Budget Cycle
bull OECD Development Centre Policy Brief No 22 Strengthening Participation in Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD May 2001 OECD Best Practices for Budget Transparency bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and
Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull ASGP The Administrative and Financial Autonomy of Parliamentary Assemblies Report prepared by Michel Couderc (France) adopted at the Moscow Session (September 1998)
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development The Legislature and the Budget by Frederick Stapenhurst 2004 httpwwwworldbankorgwbigovernanceparliament
34
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull WBI Working Papers Series on Contemporary Issues in Parliamentary
Development Parliaments and the PRSP Process by Scott Hubli and Alicia P Mandaville 2004
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull WBI PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull WBI PREM Notes Public Sector Number 74 October 2002 Strengthening Oversight by Legislatures
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull Commonwealth Parliamentary Association (CPA) The Parliamentarian 2002
Issue Two 179 Parliaments and Poverty by Ms Frannie A Lrsquoeautier bull Parliamentary Centre Canada and WBI and CIDA (with support from the
International Development Research Centre) Handbook on Parliamentarians and Policies to Reduce Poverty May 2001
bull Parliamentary Centre Cambodia Focus Group on Parliamentrsquos Role in the Budget Process Analysis
bull Parliamentary Centre Indicators of Parliamentary Performance in the Budget Process
bull The International Budget Project Legislatures and Budget Oversight httpwwwinternationalbudgetorgthemesLEGindexhtm
bull NDI Legislatures and the Budget Process An International Survey 2003 httpwwwndiorgglobalpgovgovernanceasp
bull NDI Parliaments and Poverty Series Toolkit No1 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Parliaments and Poverty Series Toolkit No2 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives
35
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull NDI Parliaments and Poverty Series Toolkit No3 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative Public Outreach on Poverty Issues
bull UNDP IPU WBI and UNIFEM Parliament The Budget and Gender httpwwwundporgdpapublicationsgovernancehtml
bull IMF Finance amp Development Magazine December 2002 Volume 39 Number 4 A Bigger Role for Legislators
bull Case Study PRSPs and Parliament by Stephen Langdon bull Ministry of Foreign Affairs Netherlands March 2002 Economics and Finance
(b) Budget Impact Assessments (Gender Budgeting) bull Cagatay N M Keklik R Lal and J Lang (2000) ldquoBudgets As if People
Mattered Democratizing Macroeconomic Policiesrdquo SEPED Conference Paper Series Number 4 May
bull Navarro Z (1998) ldquoParticipation Democratizing Practices and the Formulation of a Modern Policy ndash the Case of ldquoParticipatory Budgetingrdquo in Porto Alegre Brazil (1989-1998) Development Sage London Volume 41 number 3 September
Representative and Inclusive Parliament
bull Commonwealth Parliamentary Association (CPA) Commonwealth Women Parliamentarians Into The Democratic Mainstream August 2002
bull CPA EnGendering Development and Democracy May 2004 bull IPU and UNDP Guidelines on the Rights and Duties of the Opposition in
Parliament May 19 1999 (Unanimously adopted by the participants at the Parliamentary Seminar on Relations Between Majority and Minority Parties in African Parliaments Libreville (Gabon) 17-19 May 1999)
bull AWEPA European Parliamentarians for Africa OPS7 Parliamentary Gender Handbook South Africa 2001 (found at httpwwwawepaorgdownloadsOPS07-_Parliamentary_Gender_Handbook-_South_Africapdf
Free Elections of Legislators
bull Venice Commission Opinion 2502003 Report on Electoral Systems - Overview of Available Solutions and Selection Criteria Adopted by the Venice Commission at its 57th Plenary Session CDL ndash AD(2004)003 (found at httpvenicecoeintdocs2004CDL-AD(2004)003-easp )
bull Venice Commission Opinion 2392003 Comments on the Draft Law of the Chechen Republic on Elections to the Parliament of the Chechen Republic CDL (2003)021rev (found at httpvenicecoeintdocs2003CDL(2003)021rev-easp )
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Resolution 1320 (2003) httpassemblycoeintDocumentsAdoptedTextTA03ERES1320htm
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Document 9267 15 October 2001
36
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Political Background Key Issues
Assessment of the form of government presidential premiership or others Key developments relevant to the independence and capacity of Parliament Assessment of the level of political will to effect parliamentary reform and level
of political space allowed by the Executive for reform The relationship between the government and the opposition parties in
Parliament and The level of party discipline and control of legislators and parliamentary
Committees Constitutional and International Rights and Obligations Key Issues
Constitutional design attribution and scope of each of the three branches of government
Key constitutional and legal provisions designing the shape and functions of the Parliament
Practices that may differ or go beyond legal provisions affecting the Parliament and
International standards and obligations related to parliamentary matters Relationship between Parliament the Executive and the Judiciary Key Issues
Historical relationship between the three branches of government Role of the Parliament in practice as it relates to the other two branches Oversight powers of Parliament over the other two branches of government both
under the law and in practice Overlapping functions between the three branches of government Independence of the Parliament from the Executive and Intra-parliament and inter-institutional relations
Public Perception and Public Access to Parliament Key Issues
Public image of Parliament its members and the parliamentary process Public trust of Parliament Degree of interaction between Parliament and civil society the existence of a
institutional relations office a periodic publication to inform regarding parliamentary issues a parliamentary TV channel etc)
Citizensrsquo capacity to initiate bills Openness of parliamentary meetings and committee hearings Percentage of meetings commonly open to the public Frequency of citizen attendance to public meetings Media coverage of parliamentary issues and Reaction of the Parliament to public perception
8
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Socio-Economic Cultural and Traditional Context Key Issues
Analysis of the socioeconomic situation (ie class structure wealth distribution prevalence of patterns of corruption)
Traditional role of Parliament Traditional status of legislators Role of political parties in recruiting and expressing cultural demands and Degree to which cross-cutting issues such as religion and gender affect the
composition of the Parliament
b Scope of the State of Parliament Report the IFES Parliamentary Transparency and Accountability Standards PTAS4
This paper presents and explains 19 Parliamentary Transparency and Accountability Standards (PTAS) around which an Annual State of Parliament (SOP) report may be developed The PTAS are in part based on the overarching separation of powers principle which means that a democratic legislature should be an independent institution with the capacity resources and governmental and public support to perform its constitutional duties such as lawmaking government oversight and constituency representation in a transparent accountable manner The standards cover a broad range of transparency and accountability issues highlighting the rights and obligations of both the institution as well as its members This model framework presents a set of core standards guiding the design of a democratic Parliament including a targeted set of minimal standards that are designed to establish the foundation for democratic governance and broader sustainable reforms The minimal standards are based largely upon consensus global standards and practices found either in international law or actual democratic global experience This approach acknowledges the fact that most emerging democracies cannot simultaneously implement all of the nineteen (19) standards and that some are more crosscutting and fundamental than others While more debate needs to occur on the minimal principles approach one of the purposes of this paper is to engender this debate by placing them on the global discussion table In effect the paper advances the notion that these standards should be priority reforms in all transition countries and it encourages the inclusion of other priority standards within differing country contexts These crosscutting minimal standards we would like to center the global debate on are PTAS 1 2 6 7 9 10 11 12 and 16 While the other standards are clearly very important implementing these alone in most transition countries will be a very tall task It is also worth noting that these standards also capture some of the others that are closely inter-related such as PTAS 16-19 which are all contingent on having an adequate parliamentary budget (PTAS 12)
4 The Parliamentary Transparency and Accountability Standards are based on the overarching principle of Parliamentary independence distinct from the Executive and Judiciary arms of government and cover issues of transparency and accountability of the institution as well as the members
9
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
The PTAS emerged after a thorough review of international and regional governmental and non-governmental declarations standards guidelines and standards (cited in Annex 2) This review included in-depth analysis of relevant papers studies country and regional surveys and best practices including the work of Parliamentary Associations such as the Commonwealth Parliamentary Association the Canadian Parliamentary Centre the European Parliament and the Inter-Parliamentary Union IFES is now refining the framework in close consultation with a number of these organizations as well as the Consumer Rights Commission of Pakistan where we are developing a report for possible replication throughout the region IFES also reviewed the considerable research and experience of a number of governmental institutions such as the World Bank the National Democratic Institute UNDP USAID the OSCE and the OECD The PTAS are not intended to duplicate the work undertaken by these organizations and others Rather they constitute an attempt to identify consensus Standards which should be found in any democratic Parliament and to present them in a systematic framework Thus the PTAS can be used as the backbone for drafting annual country-specific SOP Reports The model framework for SOP Reports constitutes a component of the IFES Parliamentary Toolkit designed to help civil society and Parliament monitor report on and promote parliamentary transparency and accountability By reporting and monitoring progress against a core set of benchmarks and consensus Standards a SOP Report will assist a diverse range of civil society and governmental stakeholders to prioritize a parliamentary reform agenda in a systematic manner The SOP Report is intended to assess the effectiveness of Parliaments in emerging democracies but also to equip multiple civil society and governmental stakeholders with the information necessary to prioritize and implement parliamentary transparency and accountability reforms
The IFES PTAS and model SOP Framework are grounded in bull International and regional consensus Standards and best practices of
Parliamentary transparency and accountability bull Core international regional and constitutional obligations bull A general overview of the relevant country legal and institutional framework
c Multifaceted Methodology The model SOP framework is designed to lay out the standards and the methodology necessary to assess the transparency accountability and performance of Parliaments around the world against a set of core benchmarks grounded in international and regional best practices The framework captures consensus Parliamentary Transparency and Accountability Standards (PTAS) identified in a series of international and regional treaties declarations guidelines and practices related to the parliamentary structure and
10
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
responsibilities In identifying the PTAS and the framework we sought to include a variety of sources representing a broad consensus The sources are listed in annex Each of the consensus PTAS was disaggregated into qualitative and quantitative indicators5 Indicators designed to assess the level of compliance with each PTAS are a core element of the framework The use of indicators is necessary to obtain a clear picture of where improvements are needed and which achievements and shortcomings affect the Parliament These indicators are not designed to stigmatize countries in comparison to others While the use of a uniform framework and measurements based on indicators will allow for some degree of comparison each Parliament evolves in a set of country-specific circumstances Compliance with the PTAS within a given country-context is the objective of our endeavor Identifying the PTAS and disaggregating them into indicators is an evolving process Standards are slowly emerging as national stakeholders gather in the international arena in search of guidelines to improve independence and efficiency Like new standards emerging indicators can continuously be refined to clarify the contents of each PTAS Standards without indicators are empty concepts which can be interpreted in many different ways depending on the author of the report Indicators help define the PTAS and provide a concrete guide for the assessment of compliance The draft indicators are available in a separate attached document The framework is built around the need to implement and link up key reforms embedded in the PTAS Each country report is developed through a multifaceted methodology that incorporates an array of information resources necessary to assess the level of PTAS compliance (i) desk studies of all relevant laws institutions and international obligations (ii) analysis of existing best practices country studies and research (iii) interviews and surveys of experts and key stakeholders and (iv) analysis of the operation of Parliament in practice The PTAS and their accompanying indicators serve as the guideposts with which to measure implementation progress or regression on a periodic basis While all the PTAS are important and their relevance in the country context varies IFESrsquo working assumption for each report is that certain mutually supportive principles are essential to establishing the legal enabling environment necessary to build an independent accountable Parliament and a Rule of Law culture We also believe that for purposes of capturing global issues lessons learned model programs across borders it is also important for all country reports to uniformly cover a specific set of standards
5 We chose the term ldquoindicatorrdquo because is the most commonly used in the literature on similar topics and we recognize its value In fact we intend to describe and analyze the state and performance of the Parliaments through what can also be called ldquosearch questionsrdquo that will allow to look to the Parliaments uniformly Having indicators will bring coherence and systematization to the national SOP reports
11
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Compiling a National SOP Report The framework was created to serve both as (i) a tool for civil society to monitor parliamentary activity and identify spaces for improvement and participation and (ii) a tool for legislators to assess their own institution Each report should be compiled with the following in mind
Combining a civil society evaluation and a parliamentary self-evaluation will lead to a better report
Sharing information with civil society will be a first step towards strengthening collaborative partnerships between Parliament and the people
The indicators will provide two sorts of data (i) quantitative data such as how many legislators timing of elections number of commissions etc and (ii) qualitative data on the performance of Parliament through an analysis of the processes of parliamentary life and
The PTAS cover to three key aspects of parliamentary operations and activity transparency accountability and efficiency
Assessment of the level of compliance with each PTAS is guided by an examination of relevant laws and practices identified through a survey of legislation and interviews of key stakeholders There are three degrees of compliance
bull Formal compliance (laws and decrees) bull Compliance in practice (effective implementation of laws and decrees as well as
of constitutional and conventional principles) and bull Quality and integrity of the compliance in practice (fair implementation for all)
The Report outlines in the country context the legal and institutional framework within which the judiciary operates The indicators serve as guideposts for the analysis of the level of compliance with each PTAS This analytical process will lead to an overall judgment as to whether there is a ldquosatisfactoryrdquo ldquopartially satisfactoryrdquo or ldquounsatisfactoryrdquo JIP compliance with the possible nuance of ldquoimprovingrdquo or ldquoregressingrdquo and to present prioritized reform recommendations
2 Relevant International and Domestic Legal and Institutional Framework
a International and Regional Obligations IFES has examined various documents relating to the relevant international and regional governmental and non-governmental declarations Standards best practices and guidelines on issues of parliamentary independence transparency and accountability Each annual country-specific SOP Report should present a list of relevant applicable international and regional obligations including
Declarations on democracy and parliamentary independence and best practices guidelines and Standards by international and regional Parliamentary
12
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Associations eg the Commonwealth Latimer House Standards the IPU Declaration on Democracy
International and regional human rights treaties and human rights court and commission case law eg the Universal Declaration of Rights the International Covenant on Civil and Political Rights the UN High Commission on Human Rights Resolution 200047 and
Non-governmental guidelines
b Constitutional Standards Each annual country-specific SOP Report should outline the constitutional Standards related to the separation of powers and parliamentary independence including
The guarantees of parliamentary independence lawmaking powers and other key Standards
The roles of parliamentary committees and of party caucuses The powers to develop amend or review budget and levy taxes The power to question Ministers hold hearings conduct investigations and call
witnesses The power to appoint andor confirm candidates to high-level positions in the
other branches of government The power to access information about government activities and programs6
c Country Legal Framework
In presenting the legal framework each annual country-specific SOP Report should include a review of the relevant applicable legislation and regulations affecting parliamentary transparency and accountability such as
The institutional structure of the Parliament Standing Rules of Order Parliamentary internal regulatory framework Access to information legislation Anticorruption legislation Political party campaign financing regulations and Parliamentary Codes of Ethics and conflict of interest rules
d Country Institutional Framework
In presenting the institutional framework each annual country-specific SOP Report should present a review of the relevant institutional characteristics affecting the Parliament such as
Intra-parliamentary structures bicameralunicameral Committees support services etc
6 USAID Handbook on Legislative Strengthening page 15
13
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Extra-parliamentary structures and governmental relationships Ombudsman political parties Ministry of Justice civil society organizations with watchdog role and
Oversight mechanisms
3 Assessment of the Level of Compliance with the PTAS For each of the PTAS this Model Framework for an annual SOP Report will present
bull Guidelines based on international and regional standards and best practices and
bull Indicators to monitor the level of compliance or non-compliance PTAS1 Independence of Parliament
Institutional Independence Separation of power Standards mandate a Parliament independent from the other two branches of government the Executive and the Judiciary This independence must translate itself into freedom from external pressure and interference In the exercise of its functions Parliament should be subject only to the Constitution and the law CLHP ECOWAS-P UPA-Res00
The institutional independence of Parliaments rests in the doctrine of separation of powers This doctrine is widely accepted internationally as a tenet of democratic societies and is now formally recognized in the Constitutions of most countries7 The separation of powers is either expressly mandated in the Constitution or a document having constitutional value or it is found in the practical organization of the three powers8
Parliament must also be free to legislate and introduce legislation otherwise it is relegated to a rubber-stamping institution for the Executive Finally Parliament must be entrusted with the freedom to organize itself to decide on its own rules of procedures and the proceedings for parliamentary bodies The principle of independence has broader implications Indeed it is now agreed that independence must be recognized to not only Parliament as an institution but also to legislators in the exercise of their functions Both the institution and its members must be free from undue interference and external controls emanating of the other branches of government the Executive and the Judiciary as well as from forces within society such as political parties the private sector the media and others Indeed interferences would
7 ASGP Report dated September 1998 by Michael Couderc The Administrative and financial autonomy of Parliamentary Assemblies page 1 (found at wwwasgpinfopublicationshtm ) The report states that exceptions to this general rule appear the Cyprus Kenya and Switzerland Parliaments 8 Ibid Most countries now have adopted Constitutions but there are some noteworthy exceptions such as the United Kingdom
14
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
render impossible the exercise of the core functions of Parliament lawmaking and oversight In order to be independent legislators must be able to discharge their duties without fear for their physical security or the well being of their families and staff This principle requires the State to provide security services for legislators and to secure the House of Parliament PTAS2 Free and Fair Parliamentary Elections
Parliamentary Elections The process of the election of members of Parliament should be open and transparent allowing for full citizen participation and free of coercion fraud or violence CLHG CSCE-CD ECOWAS-P IPU-DD IPU-Res03 UNHCHR UPA-Res00
The right of everyone to take part in the government of hisher country is expressed through the right to freely choose representatives Parliaments differ in the manner and types of election held to elect members There is an international consensus on the need to provide voting rights for all citizens on the basis of universal equal and secret suffrage so that all voters can choose their representatives in an environment conducive to equality and political competition The different systems include direct and indirect proportional versus single constituency The IPU Declaration on Democracy notes that holding free and fair elections which allow the expression of the peoplersquos will at regular intervals is a key element of democracy This Standard is seen as the best way of guaranteeing representative democracy Whatever the system used elections of legislators must be organized following an open and transparent process There must be full citizen participation without a suggestion of manipulation Legislators should not be required to run for office exclusively under the nomination of a Political party PTAS3 Transparent Adequate Political Financing and Compensation
Political finance The fight against corruption requires the adoption of clear rules for transparent political financing of legislators their campaigns and their political organizations need to be adopted These rules should include transparent compensation as well as the disclosure of campaign account income and assets of legislators Anticorruption Treaties Adequate compensation Legislators should receive adequate salaries and benefits which are comparable to those of equivalent positions in the other branches of government and private sector CLHG IPU-DD
The financing of any parliamentary candidate by his her political party should be transparent and there should be clear written rules and regulations on the types of political financing which are impermissible and illegal and those which are permitted and legal
15
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Clear rules for political party and campaign financing ndash these rules should foster financial transparency and integrity
bull Income and asset disclosure requirements bull Oversight by an independent authority (internal ie Parliamentary Committee or
external) and publication of information To the extent possible political parties and parliamentary candidates should be required to place all contributions above a certain limit in official bank accounts and use these accounts for all campaign expenditures Official bank accounts are accounts which are fully documented and disclosed Disclosure requirements should cover all income assets and expenditures related to the campaign and should be made to an independent official agency Uniform and reliable software will help monitor all income and expenditure during political campaigns The independent official agency should verify and report on the parliamentary campaign finance data Additional independent verifications and reports should be undertaken by civil society to avoid collusion A serious problem in many countries has been the use of parliamentary resources such as office space staff time or funds by incumbents This is a practice which should be seriously discouraged or even outlawed as it constitutes a misuse of funds by parliamentarians Legislators should also be adequately compensated for their work Compensation includes both their salary and any additional benefit granted to workers The adequacy of compensation will be assessed in comparison with the cost of living and the compensation-level of senior officials in the Executive judiciary and private sector Due to high turnover in parliamentary office an appropriate compensation level is important to attract high-quality people and to shield legislators from outside pressure Pension entitlement by virtue of office is a widely recognized right in most Parliaments independently of the diversity of the methods and procedures chosen to implement it A number of other countries in which no recognized pension scheme currently exists for Legislators have indicated that this subject is currently under review (Egypt Lesotho Nigeria Thailand) The great majority of legislators today benefit from social security (sickness maternity invalidity death and industrial injury insurance) coverage while in office This is for the most part organized within the framework of the common labor rights legislation of each country9 Transparency regarding all amounts received by legislators as compensation is necessary to promoting parliamentary accountability and ethics Legislators and if possible their dependents should be required to disclose all their incomes assets and relevant interests to an independent official agency The public should have an opportunity to access information about the salaries and other benefits of the legislators whom they have elected Like with parliamentary campaign finance uniform and reliable software will
9 Helene Ponceau AGSP Report April 2001 This report is based on a questionnaire of the Association of General Secretaries of Parliaments approved at the Berlin session in October 1999 and sent to 56 countries
16
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
help monitor the disclosures and verification and reporting by the independent official agency as well as civil society will foster more transparency and accountability PTAS4 Representative Parliament
Broad-Based Representation An inclusive fully representative Parliament across gender ethnicity political affiliation religion etc is one of the main tenets of a democratic society CLHG CSCE-CD ECOWAS-P IPU-GD IPU-Res03 UNHCHR UPA-Res00
There is increasing consensus at the international level that democratic institutions must be representative of the diversities of society Parliament should therefore be composed of a broad cross-section of society including members of different genders ethnicity political affiliation religion etc Diversity in institutional membership echoes the Standards enshrined in the numerous conventions against discrimination which have been ratified in the past decades10
A broad-based representative Parliament will contribute to the promotion of the right of everyone to take part in government and of all interests to be given expression As noted by the IPU in its Declaration on Democracy ldquoDemocracy is founded on the right of everyone to take part in the management of public affairs it therefore requires the existence of representative institutions at all levels and in particular a Parliament in which all components of society are represented and which has the requisite powers and means to express the will of the people by legislating and overseeing government actionrdquo Some countries have taken additional steps to encourage participation by marginalized groups such as women or minorities For example in Pakistan quotas for gender participation were established 33 quota in direct elections (local) and 17 quota in indirect national elections (legislature and senate) Women membership in the legislature is currently at 21 slightly above the mandatory quota PTAS5 Security of Tenure
Security of tenure ldquoSecurity of Members during their Parliamentary term is fundamental to Parliamentary independencerdquo CLHG CSCE-CD
The legitimacy of Parliament rests on the fact that its membership is rooted in the will of the people who chose representatives in periodic elections In order to guarantee that their will is respected the term of office of legislators must be respected Certain classes of legislators may have life terms (cite House of Lords other examples) but most legislators are elected for fixed terms Exceptionally the tenure of legislators may be terminated but such mechanisms must be narrowly defined and follow clear transparent
10 See for example the International Convention on the Elimination of All Forms of Racial Discrimination [CERD] (1965) and the International Convention on the Elimination of All Forms of Discrimination against Women [CEDAW] (1979)
17
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
legal procedures This may be the case for immunity waivers in case of criminal offences committed by a legislator or of dissolution of parliament by the executive The CLHG lists three requirements to protect the security of tenure of legislators in its guideline number 2
ldquo (a) The expulsion of members from Parliament as a penalty for leaving their parties (floor-crossing) should be viewed as a possible infringement of membersrsquo independence anti-defection measures may be necessary in some jurisdictions to deal with corrupt practices
(b) Laws allowing for the recall of members during their elected term should be viewed with caution as a potential threat to the independence of members
(c) The cessation of membership of a political party of itself should not lead to the loss of a Memberrsquos seatrdquo
PTAS6 Freed Parliamentary Speech
Freedom of Speech The true expression of democracy lies in the right to free speech This should not just be a right guaranteed to the general public but legislators also must be free from censorship and defamation laws that restrict the right to criticize government thereby curtailing parliamentary oversight of the Executive Banjul CLHG CLHP CPA-Media CPA-Rec03 ECHR IACHR ICCPR IPU-GD IPU-DD UPA-Res00
The International Covenant on Civil and Political Rights (ICCPR) expressly states in article 19(1) that everyone shall have the right to hold opinions without interference Article 19(2) guarantees the right to freedom of expression and broadens it to include the freedom to seek receive and impart information and ideas of all kinds regardless of frontiers either orally in writing or in print in the form of art or through any other media of choice These rights are not absolute and may be restricted under specific circumstances as outlined in article 19(3) Most international human rights instruments provide that every individual shall have the right to express and disseminate his opinions within the law Other instruments recognize the right of freedom of expression as an inalienable fundamental right Free speech rights should entitle legislators to
bull Put written and oral questions to members of the government and receive answers to these questions The opposition in Parliament should also be entitled to speaking time proportionate to its numbers in sittings set aside for oral questions
bull Request documents and receive such documents in a timely manner National security concerns constitute one of the main reasons why governments restrict freedom of expression Freedom of expression should not be restricted on public order or national security grounds unless there is a real risk of harm to a legitimate interest and there is a causal link between the risk of harm and the expression
18
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Defamation laws are a serious concern for legislators when seeking to protect or exercise their freedom of expression rights Legislators should be free from improper pressures in the discharge of their functions These improper pressures can be in the form of criminal laws and the use of defamation proceedings restricting legitimate criticism of the government by legislators Criminal defamation laws need to be carefully reviewed Similarly the defense of qualified privilege with respect to reports of parliamentary proceedings should be drawn as broadly as possible to permit full public reporting and discussion of public affairs and offence of contempt of Parliament should be drawn as narrowly as possible There is a need to achieve a balance between the free speech rights of Legislators vis-agrave-vis the government and the publicrsquos right of free speech vis-agrave-vis the Parliament PTAS7 Participatory Transparent Law and Decision-Making Processes
Parliamentary Processes Parliament must be open transparent and accountable to the public in its lawmaking and policymaking functions In this regard the free flow of information from Parliament to its members and the public as well as avenues for effective public participation is fundamental to a democratic Parliament CLHG CLHP ECOWAS-P IPU-GD IPU-Res03 UPA-Res00
Law and policy-making are the primary responsibilities of Parliament as the elected body representing the people The Executive may initiate laws and policies and the Judiciary may be constructive and purposive in the interpretation of legislation neither must be seen as usurping Parliamentrsquos legislative function Ultimately only the Parliament is entitled to adopt laws for the country Consequently legislators should be encouraged to adopt national policies and laws through open processes which allow for consultation and citizen participation Parliamentary processes must be not only transparent but also participatory Participation starts with the right to form democratic political parties and entails the need for transparent and fairness in the electoral process including through appropriate access to funds and free independent and pluralistic media Transparent decision-making and law-making processes create ownership in governance by the public which is necessary in a democratic society The Parliament should implement efficient mechanisms to allow and encourage public participation in the different stages of the law making process From the moment that Parliament receives a bill from the Executive or from the moment a bill is drafted by a committee civil society representatives should have a voice and be consulted Civil society participation will add a fresh look and ensure a better response to community needs Legislators will benefit from input and the resulting laws will better reflect real needs and local buy-in Committees meetings and parliamentary sessions should be usually open to the public Information on meetings and final decisions should be broadly disseminated Parliament should be consulted by the government on important questions affecting the life of the nation war national security human rights economic policy social rights
19
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
labor markets etc This will enable the opposition to take part in the debate and provide its input to the decision-making process The opposition must also be able to raise matters regarding the Constitution with a view to its amendment PTAS8 Transparent Oversight of the Executive
General Oversight One of the core functions of Parliament is to provide a continuous check on the activities of the Executive In performing this oversight function Parliament must follow transparent procedures and respect strict standards of accountability CLHG CLHP IPU-GD UPA-Res00
The separation of powers not only means that each branch of government is independent from the other two but also that mechanisms of checks and balances are in place to avoid abuses and encroachments To that end the Parliament is traditionally entrusted with the responsibility of overseeing the activities of the Executive The Executive as Parliament must follow high standards of accountability transparency and responsibility in the performance of its duties Parliament is responsible for ensuring that these standards are met and for providing adequate mechanisms to challenge the Executive for failure to meet these standards Oversight may take place in the form of periodic questions to the government in a parliamentary sessions or investigations undertaken by parliamentary commissions or votes of confidencenon-confidence Parliamentary procedures should be transparent and allow for public scrutiny Governments should be required to announce publicly within a defined time period their responses to committee investigations PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
Budget Design and Oversight Parliament is traditionally responsibly for adopting the national budget There is a growing international consensus that Parliaments around the world need to make maximum use of existing processes for exerting influence in national budget control scrutiny and accountability IPU-Res03 UPA-Res00
Parliament must have a certain amount of authority to affect the budget otherwise its role in establishing national policy and representing citizen interests will remain limited11 Involvement should extend beyond budget approval and include budget formulation tracking and accountability Unless it has substantial involvement beyond approval Parliament will do no more than rubberstamp the Executiversquos budgetary and policy decisions To promote more accountability in government Parliament should be entitled to monitor income and expenditures especially how effectively government programs and activities are administered
11 USAID Handbook
20
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Parliamentary procedures should therefore provide adequate mechanisms to oversee the Executive including accountability mechanisms targeted at budget development effective money flows budget implementation etc This can be achieved by allowing independent audits of public accounts establishing that the opposition will chair the Public Accounts Committee or a combination of the mechanisms andor others PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
International Obligations and Parliament International treaties carry a general obligation for signatory States to ratify and to adopt all necessary measures for their implementation Both functions should fall on Parliament CLHG CLHP IPU-Res03
The need for governments to respect their international law obligations has become more urgent post World War II particularly as inter-State conflicts are on the rise Legislators as law makers and representatives of the people need to be more proficient in their knowledge and understanding of human rights and humanitarian law instruments including those relating to economic social and cultural rights In a 2000 Declaration the Conference of Presiding Officers of National Parliaments outlined the four inter-connected levels of intervention for Parliaments in relation to international obligations
bull ldquoInfluencing their respective countriesrsquo policy on matters dealt with in the United Nations and other international negotiating forums
bull Keeping themselves informed of the progress and outcome of these negotiations bull Deciding on ratification where the Constitution so foresees of texts and treaties
signed by governments and bull Contributing actively to the subsequent implementation processrdquo12
Parliaments play a central role in adjusting domestic law to international standards According to the legal systems of many countries Parliaments are not only the bodies entitled to ratify international obligations but also the ones responsible for adopting the necessary implementing legislation Many international treaties particularly those related to human rights the environment gender and corruption require that States parties adjust their national legislation to match the minimum standards laid out in the treaties For example United Nations Convention against Corruption (2004) is explicitly applicable to legislators Indeed its scope covers ldquopublic officialsrdquo who are defined as including any person holding parliamentary office in a State party Compliance with this provision and others often requires the adoption of legislation Conventions generally include explicit requirements for the adoption of new laws by national Parliaments
12 Conference of Presiding Officers of National Parliaments organized by the IPU in cooperation with the UN Declaration adopted by at UN Headquarters New York 30 August ndash 1st September 2000
21
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The United Nations Convention against Corruption (2004) establishes that each State party should develop and implement anti-corruption policies
bull The Inter-American Convention against Corruption (1996) requires in its article VII the adoption by State parties of all ldquonecessary legislative or other measures to establish as criminal offences under their domestic law the acts of corruption described in Article VI(1) and to facilitate cooperation among themselves pursuant to this Conventionrdquo
As guardians of the Constitution legislators have an obligation to protect the human rights of people This obligation is reinforced by the requirement to comply with international and regional human rights treaties This obligation to protect and legislate in support of human rights should lead to increased oversight by Parliament in areas in which the Executive has traditional exercised blanket discretionary powers such as national security There has been a growing consensus on the need to shift focus away from military security to broader factors of ldquohuman securityrdquo such as environmental economic social as well as political13 PTAS11 Transparent Efficient Parliamentary Committees
Parliamentary Committees The legislative and oversight functions of Parliament are actually undertaken by Parliamentary Committees the powers and structures of which differ from country to country It is essential for these committees to be properly structured and well funded to enable them to be effective in discharging Parliamentrsquos legislative and policy making functions CLHG CPA-Media CPA-CP CPA-Rec03 CPA-REc04 IPU-GD
Committee structures may vary depending on the size of Parliament its constitutional mandate and other country-specific factors However all committees should have adequate resources both human and financial and have the power to summon witnesses including ministers as necessary to fulfill their mission Committee meetings should be generally open and allow for public attendance and participation Committee reports should be published and made readily available to both the government and the public PTAS12 Adequate Independent Parliamentary Budget
Parliamentary Budget It is the duty of the State to provide adequate resources to enable Parliament to perform its functions properly CLHG
Parliamentary independence and effectiveness to carry out its functions is eroded when Parliament lacks control over its own budget or has inadequate finances to manage its committees and carry out various other internal administrative duties14 Parliament 13 IPU and the Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born Philipp H Fluri amp Anders B Johnsson page 16 (Found at httpwwwdcafchpublicationse-publicationsHandbook_eng ) 14 Indeed without adequate resources for the training of new members secretarial office library and research facilities drafting assistance for bills etc Parliament is handicapped
22
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
should be able to design its own budget based on its needs and negotiate with the Executive the amount allocated to it from the national budget There should be sufficient autonomy over these finances by Parliament to protect the institutional independence and integrity It has been suggested that an all-party committee of members of Parliament should review and administer the parliamentary budget Moreover the parliamentary budget should not be subject to amendment by the Executive15 It is the Parliamentary budget that inter alia funds training of parliamentary support staff ensures that library and research facilities are properly and adequately equipped guarantees that legislators have the necessary support staff to undertake their functions and funds security services PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
Parliamentary Conduct Legislators are required to exhibit and promote high standards of professional conduct in order to reinforce public confidence in Parliament which is fundamental to its independence and legitimacy in a democratic society ANTICORRUPTION TREATIES CLHG CLHP
The CLHG outline three components for a comprehensive ethical framework applicable to Parliament
bull Conflict of interest rules and codes of conduct requiring disclosure of interests bull Access to ethics advisors and bull Restrictions on lobbying and interest group influence
Ethical professional conduct requires legislators not only to conform to high standards of ethics in practice but also to avoid the appearance of impropriety The need for financial transparency by public officials has increasingly gained acceptance as anti-corruption issues have become global Legislatorsrsquo professional and private conduct must be subject to some system of internal codified rules regulating standards of behavior and making disclosure of personal income and assets mandatory Other professions have codes of ethics regulating membersrsquo behavior for example doctors and lawyers Ethical rules should include conflict of interest rules outlining incompatible professional activities or interests such as holding another governmental office and restricting certain ventures such as participation or shareholding in corporations These rules should also require the submission to an independent oversight authority of disclosures of income assets and interests These disclosures should then be publicized for broader ethical monitoring by the public Disclosure of interests will go a long way in establishing institutional integrity trust and respect by the public and effective discharge of duties on the part of legislators as they are fully conscious of the ethical parameters which govern them as a profession 15 Commonwealth Latimer House Guidelines Number VII6
23
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
Discipline Just as other professionals have quasi-judicial bodies to regulate discipline and even remove members there should also be an internal or external authority to sanction legislators conduct investigations and hearings and adopt findings and conclusions There should also be a clear appeals process available to any member aggrieved by a decision CLHG
ldquoThe Committee recommends
bull The House should appoint a person of independent standing who should have a degree of tenure and not be a career member of the House of Commons staff as Parliamentary Commissioner for Standards
bull The Commissioners should have independent discretion to decide whether or not a complaint merits investigation or to initiate an investigationrdquo Recommendations of Committee on Standards in Public Life First Report16
Just as any other citizen legislators should be bound by the law In cases when legislators commit acts contrary to the laws and regulations they expose themselves to disciplinary action and prosecution Moreover there are special conditions only for the status of being public servants that they must observe such as compliance of high standards of ethics assets disclosure and conflict of interest rules There must be a clear system of sanctions for non-compliance with the laws and regulations The disciplinary process in representative bodies is a very sensitive one It should not be used to punish the opposition or dissidents In this sense the existence of an objective internal or external body to sanction legislators is essential to the proper operation of the system An additional problem represents the immunity that all legislators should have The immunity is a protection to ensure that legislators can perform their duties without interference it should not however be used as an excuse to avoid sanctions for common misconducts or crimes PTAS15 Parliamentary Immunity
Immunity Legislators shall enjoy personal immunity from civil suits and criminal prosecution for acts and omissions in the exercise of their functions CLHG ECOWAS-P IPU-GD
Legislators should enjoy some degree of immunity from prosecution or civil suit for acts and omissions in the exercise of their functions However no one should be exempted from accountability The requirements of parliamentary independence from political institutional and societal forces must be balanced against those of public accountability
16 These recommendations were implemented by the House of Commons England A Standing Order setting up the office of Parliamentary Commissioner for Standards was set up on 6 November 1995
24
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Consequently the immunity regime should be strictly regulated especially through the recognition of
bull Clear limited scope of immunity (for example it should not cover acts performed outside of office nor common crimes) and
bull Possibility of waivers in clearly defined cases and following a transparent procedure
Regarding the scope of parliamentary immunity its historical roots lie with the freedom of speech of legislators as recognized in the British and American Bills of Rights The underlying justification for immunity is that it allows legislators to fulfill their mandate without fear of retaliatory measures on account of their positions or votes Legislators must therefore be protected against arrest and detention or civil and criminal prosecution for any acts performed or words spoken while in office or in the conduct of parliamentary affairs Legislators should not be subject to any form of inquiry detention or legal proceedings in respect of opinions expressed or votes cast by them in the performance of their duties Immunity should not be limited to acts or speech within the parliamentary facilities Rather immunity must be interpreted as broadly as possible For example the members of the European Parliament enjoy immunity in their own States in the territories of other Member States and whilst traveling to and from the place of the meeting of the European Parliament However immunity should not be absolute The immunity regime applicable to legislators should provide for the possibility of waiving this immunity in limited circumstances in the interests of justice Immunity is not a privilege benefiting individual members but rather a guarantee protecting the independence of Parliament and its members in their relations with other governmental and private bodies17 Parliamentary privileges must be clearly defined and established by law These immunities are not meant to place legislators above the law but to protect them from possible groundless proceedings or accusations that may be politically motivated The grounds and terms for lifting of immunity must be clearly specified by law so that this may only occur following a decision taken by a competent body on a non-partisan basis PTAS16 Parliamentary and Public Access to Information
Access to Information Legislators as well as the general public must have access to accurate timely information and data including legislation parliamentary procedures governmental data and relevant research data Banjul CLHG CLHP CPA-Media CPA-CP CPA-Rec03 CPA-Rec04 CSCE-CD ECHR IACHR ICCPR IPU-DD IPU-GD IPU-Res03 UNHCHR
17 ECPRD Parliamentary Codes of Conduct in Europe by Veronica Williams November 2001
25
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
The free flow of information is essential in a democratic society Access to information should not only be viewed in relation to the media and civil societyrsquos right to access governmental documents but also in relation to the legislatorsrsquo right to access relevant research and information from the government and other sources Access to information can be facilitated by the use of databases networks and information technology in general The media should be free to report the activities of Parliament and the public should be able to attend parliamentary meetings and Committee sittings where appropriate The CPA encouraged Parliaments ldquoto provide live coverage of their proceedings on a dedicated channel andor onlinerdquo in its Recommendations for an Informed Democracy The environment should be made conducive for civil society organizations the public and multiple stakeholders to exchange information with legislators to enable Parliament to effectively discharge its duties of oversight policy making law making representation and recruitment This could be achieved through the establishment of a public information office within Parliament Bills and Acts of Parliament must be published regularly and should be freely available to the public Indeed the CSCE Copenhagen Document notes that ldquolegislation adopted at the end of a public procedure and regulations will be published that being the condition of their applicability Those texts will be accessible to everyonerdquo In its recommendations following a conference on ldquoWhat Parliament and Legislators Can Dordquo the CPA noted that access should be granted ldquoto basic information and documents produced by the parliamentary process such as access to parliamentary libraries the provision of on-line information and the distribution of Parliamentary speeches promptly after delivery in the Houserdquo18 The type of information available to the public and to legislators should include
bull Attendance and voting records bull Registers of membersrsquo interests bull Bills and Acts of Parliament bull Procedural rules bull Codes of Conduct
Legislators should also have access to parliamentary archives as well as all necessary information and data from the government The IPU Guidelines note that ldquolegislators from the majority and the opposition alike are equally entitled to receive in a timely manner the same information from the governmentrdquo
18 Parliament and The Media Building an Effective Relationship 15-18 February 2000 [CPA-Media]
26
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS17 Adequate Facilities Equipment and Technology
Adequate Infrastructure Parliament should have at a minimum the necessary infrastructure and technical assistance including research capacity adequate facilities and equipment to enable it to carry out its basic democratic functions CPA-Rec03 CPA-Rec04 IPU-GD
The working conditions of legislators must be adequate and reflect the importance of Parliament as a key democratic institution Parliament must be housed in one or more buildings with the necessary equipment and office space for legislators and their staff including tables chairs and all other necessary office equipment Adequate resources must be allocated to Parliament andor legislators and support services to maintain and equip their facilities Some of the facilities and services which can be reasonably expected to be available to legislators include
bull Offices bull Secretarial services (general andor individual) bull Library and archive facilities bull Research services (to which requests for information can be submitted) and bull Information technology
In its 2002 Report the CPA Study Group highlights the importance of information technology including ldquoimproved networking between legislators and constituents among legislators between legislators and Parliament and better information sharing and record keepingrdquo Information technology can also facilitate access to information and best practices on the broad range of issues which fall under the purview of parliament including human rights socioeconomic rights and gender issues The use of information technology could include the development of intra-parliament networks and of searchable public databases on parliamentary activity as well as the increased access to outside information for legislators PTAS18 Professional Training for Legislators and Staff
Adequate Training Resources must be allocated to training programs both for new legislators and for the continuing education of sitting legislators These programs must be geared towards developing the skills required by parliamentary functions as well as exposing legislators to substantive issues and developments affecting their legislative oversight and representative functions CLHG CPA-CP
Training should be geared towards providing legislators with the specific skills and knowledge necessary to fulfill their parliamentary functions Legislators just like other professionals need continuing education programs and professional development to keep them updated on emerging democracy and governance trends Equally significant is the need to properly train new or incoming legislators on the constitutional rights and obligations of Parliament internal procedures and order of business ethics etc
27
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS19 Adequately-Compensated Research Library and Committee Staff
Support Staff ldquoParliament should be serviced by professional staff independent of the regular public servicerdquo CLHG IPU-GD
Parliamentary support staff in sufficient numbers and with the appropriate professional skills is crucial for an effective institution Parliamentary staff performs duties such as
bull Assisting in bill drafting bull Tracking the status of bills in the legislative process bull Maintaining and in some cases designing web sites bull Producing and drafting documents about the legislature bull Undertaking accounting and various other clerkship duties
High turnover of parliamentary staff requires more money for attracting new competent staff and providing them with the necessary training It is important to ensure that staff is reasonably well compensated to attract good candidates for the job who will retain their jobs longer When vacancies are not rapidly filled parliamentary work can be undermined resulting in misplacement of documents errors and overall inefficiency Parliamentary staff should be independent from other public service offices Their selection promotion and discipline must be clearly defined and reflect merit-based criteria and transparent processes Professional development opportunities and training should be offered to them The longer support staff stay in Parliament the more it benefits the institution especially as it may provide new legislators with the information and support necessary to adapt to their new functions faster
28
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 1 List of Acronyms
Banjul African Charter on Human and Peoplersquos Rights (1986) CEDAW Convention on the Elimination of All Forms of Discrimination
against Women ICERD Convention on the Elimination of All Forms of Racial
Discrimination CLHP Commonwealth Latimer House Principles on the Accountability and Relationship between the Three Branches of Government (2003) CLHG Commonwealth Latimer House Guidelines (1998) CPA Commonwealth Parliamentary Association CPA-Media Parliament and the Media Building an Effective Relationship
CPA (2000) CPA-CP Capetown Principles for an Informed Democracy CPA (2002) CPA-Rec03 Recommendation for an Informed Democracy CPA (2003) CPA-Rec04 Recommendation for Transparent Governance CPA (2004 CSCE Conference on Security and Cooperation in Europe CSCE-CD Copenhagen Document CSCE (1990) CSCE-MD Moscow Document CSCE (1991) ECHR European Convention on Human Rights and Fundamental
Liberties (1951) ECOWAS-P Protocol ASP11202 on Democracy and Good Governance
ECOWAS (2001) IACHR Inter-American Convention on Human Rights (1978) ICCPR International Covenant on Civil and Political Rights (1966) IPU Inter-Parliamentary Union IPU-DD Universal Declaration on Democracy IPU (1997) IPU-GD Guidelines and Duties for the Opposition in Parliament IPU (1999) IPU-Res03 Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World IPU (2003) UPA Union des Parlementaires Africains [African Parliamentary Union] UPA-Res00 Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence Building between Peoples and their Institutions (2000) UNHCHR United Nations High Commissioner for Human Rights Resolution
200047
29
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 2 Bibliography Governmental Documents
bull Commonwealth Latimer House Standards bull Commonwealth Latimer House Guidelines bull Commonwealth Parliamentary Association (CPA) Parliament and the Media
Building an Effective Relationship bull English Bill of Rights 1689 bull Inter-Parliamentary Union (IPU) Guidelines bull ECOWAS Protocol on Democracy and Good Governance Supplementary to the
Protocol Relating to the Mechanism for Conflict Prevention Management Resolution Peacekeeping and Security
bull Protocol on the Privileges and Immunities of the European Communities bull ECPRD Parliamentary Codes of Conduct in Europe (Compilation by the Council
of Europe Parliamentary Assembly) bull IPU Universal Declaration on Democracy bull International Covenant on Civil and Political Rights (ICCPR) bull The African (Banjul) Charter on Human and Peoplersquos Rights bull The Johannesburg Standards National Security Freedom of Expression and
Access to Information bull Document of the Copenhagen Meeting of the Conference on the Human
Dimension of the CSCE 1990 bull Declaration of Principle on Freedom of Expression in Africa bull Union des Parliamentaires Africains on the Role of Parliaments in the
Consolidation of Democracy and Confidence-Building Between the Peoples and their Institutions 23rd Conference in Addis Ababa 24-25 November 2000
bull The Harare Declaration bull IPU Conference of Presiding Officers of National Parliaments bull International Convention on the Elimination of All Forms of Racial
Discrimination bull Convention on the Elimination of All Forms of Discrimination Against Women bull Report of the Ethics Reform Task Force on H Res 168 105th Congress 1st
Session 17 June 1997 (found at httpwwwhousegovethicsethicsreporttxt ) bull Parliamentary Standards and the Wicks Committee Report Standard Note
SNPC2200 24 June 2003 by Ruth Winstone (found at httpwwwparliamentukcommonslibresearchnotessnpc-02200pdf )
bull Committee on Standards in Public Life First Report Cm 2850 Volume 1 11 May 1995 (found at httpwwwarchiveofficial-documentscoukdocumentcm282850285002pdf )
bull Committee on Standards in Public Life Sixth Report Reinforcing Standards Cm 4557 Volume 1 January 2000 (found at httpwwwpublic-standardsgovuk )
bull Committee on Standards in Public Life Eighth Report Cm 5663 Standards of Conduct in the House of Commons November 2002 (found at httpwww-standardsgovukreports8th_reportreporteighthreportpdf
bull African Union Declarations and Decisions
30
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The African Commission Declaration of Principle on Freedom of Expression in Africa
bull United Nations High Commissioner for Human Rights Resolution 200047
Non-Governmental Documents Transparency and Accountability of the Parliament
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Anti-Corruption Commissions Panacea or Real Medicine to Fight Corruption By John Heilbrunn 2004
bull PREM Notes Public Sector No 74 October 2002 Strengthening Oversight by Legislatures (found at httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull PREM Notes Public Sector No63 March 2002 Strengthening Legislatures Implications from Industrial Countries (found at httpwww1worldbankorgpremPREMNotespremnote63pdf )
bull WBI Working Papers Building a Clean Machine Anti-Corruption Coalitions and Sustainable Reforms by Michael Johnston and Sahr J Kpundeh 2002
bull IFES IFES Parliamentary Toolkit Transparency and Accountability Tools for Civil Society
bull PREM Notes Public Sector No59 October 2001 Features and Functions of Supreme Audit Institutions
bull World Bank Institute Improving Governance and Controlling Corruption Towards a Participatory and Action-oriented Approach Grounded on Empirical Rigor October 2001
bull World Bank Towards Transparency in Finance and Governance by Tara Vishwanath and Daniel Kaufman September 6 1999
bull World Bank Institute Pillars of Integrity The Importance of Supreme Audit Institutions in Curbing Corruption by Kenneth M Dye and Rick Stapenhurst 1998
bull Association of Secretaries General of Parliaments (ASGP) Promoting the Work of Parliament Report by Mr Ian Harris Clerk of the House of Representatives of Australia19 Autumn 2000 (found at httpwwwasgpinfodiscussionshtmstudies)
bull USAID Handbook on Legislative Strengthening httpwwwusaidgovour_workdemocracy_and_governancegovhtml
bull Parliamentary Centre Canada Controlling Corruption A Parliamentarianrsquos Handbook httpwwwparlcentcaindex_ephp
bull Parliamentary Centre Canada Parliamentary Accountability and Good Governance httpwwwparlcentcaindex_ephp
19 This report contains a detailed analysis of the answers from a Questionnaire of how the public is provided information about the operation and work of Parliament The review was launched at the Conference of the Association of Secretaries General of Parliaments which was held in Autumn 2000 in Jakarta
31
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Center for Democracy and Governance February 2000 USAID Handbook on Legislative Strengthening
bull Parliamentary Centre Parliamentary Accountability and Good Governance A Parliamentarianrsquos Handbook
bull Parliamentary Centre Forum on Parliamentary Reform bull NEPAD Library Emerging Legislatures in Emerging African Democracies bull Commonwealth Parliamentary Association and World Bank Institute
Recommendations for Transparent Governance Conclusions of a CPA Study Group on Access to Information Accra Ghana 5-9 July 2004
bull GOPAC Parliamentarians Fighting Corruption A Conceptual Overview PCentrefsPCentreSProjectsParliamentary_RelationsGOPACWBI
bull International IDEA Democracy Assessment Questionnaire wwwideaintideas_work14_statedemocracy_assessmentpdf
bull NDI and UNDP Parliaments and Poverty Series Toolkit No1 Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Strengthening the Accountability Process and Parliamentary Reform A Report on the Parliamentary Roundtable Held in Bhurban Pakistan March 1-2 1997
Independence of the Parliament bull NDI Strengthening Legislative Capacity in Legislative-Executive Relations
Paper 6 httpwwwndiorgglobalpgovgovernanceasp bull Venice Commission Opinion on the Draft Proposal for Rules of Procedure of the
Assembly of the Republic of Macedonia by Georg Nolte July 5 2002 bull Venice Commission Report on the Referral of a Law Back to Parliament by the
Head of State November 15 1996 bull AGSP The Role of the Secretary General in the Administration of Parliament
Report by Mr Ugo Zampetti General Secretary of the Chamber of Deputies (Italy) October 2000 Review no 180
bull AGSP Constitutional and Parliamentary Information The Status of Parliamentary Groups
Parliamentary Immunity
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union Part Three Immunity in the European Parliament June 2001
bull Venice Commission Opinion 11995 Report on the Regime of Parliamentary Immunity CDL ndash INF(1996) 007 6496 (found at httpvenicecoeintsitedynamicsN_Opinion_efaspampL=EampOID=1 )
bull Venice Commission Supplementary Opinion on the Revision of the Constitution of Romania October 18 2002
32
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Venice Commission Draft Report ndash The Regime of Parliamentary Immunity April 29 1996
bull Venice Commission Questionnaire on Parliamentary Immunity prepared by Mr GW Maas-Geesteranus June 19 1995
Freedom of Parliamentary Speech
bull AGSP The Immunities of Members of Parliament Report prepared by Mr Robert Myttenaere September 1998
bull AGSP Position of Witnesses before Parliamentary Committees Report prepared by Mr Demaree JB Raval April 1997
Conflict of Interest amp Ethics
bull Parliamentary Affairs A Journal of Comparative Politics Volume 55 No 4 October 2002 Conduct Unbecoming The Regulation of Legislative Ethics in Britain and the United States by Robert Williams
bull Parliamentary Affairs A Journal of Comparative Politics Volume 52 No 3 July 1999 Parliament in the Age of Internet by S Coleman JA Taylor and W Van de Donk
bull European Centre for Parliamentary Research and Documentation (ECPRD) Parliamentary Codes of Conduct in Europe an Overview November 2001
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union June 2001
bull Research Paper Commissioned on behalf of The Committee on Standards in Public Life May 2002 The Regulation of Parliamentary Standards ndash A Comparative Perspective (found at httpwwwpublic-standardsgovukreports8th_reportreportresearchdoc
bull House of Representatives Resolution 168 on the Report of the Ethics Reform Task Force 18 June 1997
bull NDI Accountability Ethics and Transparency in Government Pakistan Study Mission to South Africa June 3 1997
bull NDI Report on Regional Consultative Workshops ndash Ethics Questionnaire August 1998
bull Council of Europe Steering Committee on Local and Regional Democracy (CDLR) Public Ethics at Local Level Model Initiatives Package November 25 2002
bull NDI Legislative Research Series Paper No 4 ndash Legislative Ethics A Comparative Analysis 1999
bull OECD United States Case Study ndash Ethics and Corruption The Management of Ethics and Conduct in the Public Service by Stuart Gilman December 1995
bull OECD Recommendations of the Council on Guidelines for Managing Conflict of Interest in the Public Service June 2003
33
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Sanction and Removal of Legislators bull Venice Commission Comments on the Draft Law of the Chechen Republic on
Elections to the Parliament of the Chechen Republic As Submitted to Referendum by Mr G Nolte March 23 2003
bull Venice Commission Opinion on the Draft Law on the Public Attorney (Ombudsman) of ldquoThe Former Yugoslav Republic of Macedoniardquo March 15 2003
bull Venice Commission Comments on the Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia by Ms Serra Lopes February 28 2003
bull Venice Commission Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia February 2003
bull WBI PREM Notes Public Sector Number 19 April 1999 Using an Ombudsman to oversee Public Officials
bull AGSP The Office of the Parliamentary Ombudsman March 1994 Salaries and Benefits of Legislators
bull AGSP The Social Protection of Parliamentarians Report by Mrs Helene Ponceau General Secretary of the Senate Quaestorrsquos Office [Havana Senate Treasurerrsquos Department] Review No 181 April 2001
Professional Development and Training
bull SADC Parliamentary Forum MPs Orientation Handbook ndash Professional Performance and Development httpwwwsadcpforgaboutindexasp
The Parliament and the Budget Cycle
bull OECD Development Centre Policy Brief No 22 Strengthening Participation in Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD May 2001 OECD Best Practices for Budget Transparency bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and
Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull ASGP The Administrative and Financial Autonomy of Parliamentary Assemblies Report prepared by Michel Couderc (France) adopted at the Moscow Session (September 1998)
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development The Legislature and the Budget by Frederick Stapenhurst 2004 httpwwwworldbankorgwbigovernanceparliament
34
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull WBI Working Papers Series on Contemporary Issues in Parliamentary
Development Parliaments and the PRSP Process by Scott Hubli and Alicia P Mandaville 2004
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull WBI PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull WBI PREM Notes Public Sector Number 74 October 2002 Strengthening Oversight by Legislatures
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull Commonwealth Parliamentary Association (CPA) The Parliamentarian 2002
Issue Two 179 Parliaments and Poverty by Ms Frannie A Lrsquoeautier bull Parliamentary Centre Canada and WBI and CIDA (with support from the
International Development Research Centre) Handbook on Parliamentarians and Policies to Reduce Poverty May 2001
bull Parliamentary Centre Cambodia Focus Group on Parliamentrsquos Role in the Budget Process Analysis
bull Parliamentary Centre Indicators of Parliamentary Performance in the Budget Process
bull The International Budget Project Legislatures and Budget Oversight httpwwwinternationalbudgetorgthemesLEGindexhtm
bull NDI Legislatures and the Budget Process An International Survey 2003 httpwwwndiorgglobalpgovgovernanceasp
bull NDI Parliaments and Poverty Series Toolkit No1 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Parliaments and Poverty Series Toolkit No2 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives
35
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull NDI Parliaments and Poverty Series Toolkit No3 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative Public Outreach on Poverty Issues
bull UNDP IPU WBI and UNIFEM Parliament The Budget and Gender httpwwwundporgdpapublicationsgovernancehtml
bull IMF Finance amp Development Magazine December 2002 Volume 39 Number 4 A Bigger Role for Legislators
bull Case Study PRSPs and Parliament by Stephen Langdon bull Ministry of Foreign Affairs Netherlands March 2002 Economics and Finance
(b) Budget Impact Assessments (Gender Budgeting) bull Cagatay N M Keklik R Lal and J Lang (2000) ldquoBudgets As if People
Mattered Democratizing Macroeconomic Policiesrdquo SEPED Conference Paper Series Number 4 May
bull Navarro Z (1998) ldquoParticipation Democratizing Practices and the Formulation of a Modern Policy ndash the Case of ldquoParticipatory Budgetingrdquo in Porto Alegre Brazil (1989-1998) Development Sage London Volume 41 number 3 September
Representative and Inclusive Parliament
bull Commonwealth Parliamentary Association (CPA) Commonwealth Women Parliamentarians Into The Democratic Mainstream August 2002
bull CPA EnGendering Development and Democracy May 2004 bull IPU and UNDP Guidelines on the Rights and Duties of the Opposition in
Parliament May 19 1999 (Unanimously adopted by the participants at the Parliamentary Seminar on Relations Between Majority and Minority Parties in African Parliaments Libreville (Gabon) 17-19 May 1999)
bull AWEPA European Parliamentarians for Africa OPS7 Parliamentary Gender Handbook South Africa 2001 (found at httpwwwawepaorgdownloadsOPS07-_Parliamentary_Gender_Handbook-_South_Africapdf
Free Elections of Legislators
bull Venice Commission Opinion 2502003 Report on Electoral Systems - Overview of Available Solutions and Selection Criteria Adopted by the Venice Commission at its 57th Plenary Session CDL ndash AD(2004)003 (found at httpvenicecoeintdocs2004CDL-AD(2004)003-easp )
bull Venice Commission Opinion 2392003 Comments on the Draft Law of the Chechen Republic on Elections to the Parliament of the Chechen Republic CDL (2003)021rev (found at httpvenicecoeintdocs2003CDL(2003)021rev-easp )
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Resolution 1320 (2003) httpassemblycoeintDocumentsAdoptedTextTA03ERES1320htm
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Document 9267 15 October 2001
36
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Socio-Economic Cultural and Traditional Context Key Issues
Analysis of the socioeconomic situation (ie class structure wealth distribution prevalence of patterns of corruption)
Traditional role of Parliament Traditional status of legislators Role of political parties in recruiting and expressing cultural demands and Degree to which cross-cutting issues such as religion and gender affect the
composition of the Parliament
b Scope of the State of Parliament Report the IFES Parliamentary Transparency and Accountability Standards PTAS4
This paper presents and explains 19 Parliamentary Transparency and Accountability Standards (PTAS) around which an Annual State of Parliament (SOP) report may be developed The PTAS are in part based on the overarching separation of powers principle which means that a democratic legislature should be an independent institution with the capacity resources and governmental and public support to perform its constitutional duties such as lawmaking government oversight and constituency representation in a transparent accountable manner The standards cover a broad range of transparency and accountability issues highlighting the rights and obligations of both the institution as well as its members This model framework presents a set of core standards guiding the design of a democratic Parliament including a targeted set of minimal standards that are designed to establish the foundation for democratic governance and broader sustainable reforms The minimal standards are based largely upon consensus global standards and practices found either in international law or actual democratic global experience This approach acknowledges the fact that most emerging democracies cannot simultaneously implement all of the nineteen (19) standards and that some are more crosscutting and fundamental than others While more debate needs to occur on the minimal principles approach one of the purposes of this paper is to engender this debate by placing them on the global discussion table In effect the paper advances the notion that these standards should be priority reforms in all transition countries and it encourages the inclusion of other priority standards within differing country contexts These crosscutting minimal standards we would like to center the global debate on are PTAS 1 2 6 7 9 10 11 12 and 16 While the other standards are clearly very important implementing these alone in most transition countries will be a very tall task It is also worth noting that these standards also capture some of the others that are closely inter-related such as PTAS 16-19 which are all contingent on having an adequate parliamentary budget (PTAS 12)
4 The Parliamentary Transparency and Accountability Standards are based on the overarching principle of Parliamentary independence distinct from the Executive and Judiciary arms of government and cover issues of transparency and accountability of the institution as well as the members
9
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
The PTAS emerged after a thorough review of international and regional governmental and non-governmental declarations standards guidelines and standards (cited in Annex 2) This review included in-depth analysis of relevant papers studies country and regional surveys and best practices including the work of Parliamentary Associations such as the Commonwealth Parliamentary Association the Canadian Parliamentary Centre the European Parliament and the Inter-Parliamentary Union IFES is now refining the framework in close consultation with a number of these organizations as well as the Consumer Rights Commission of Pakistan where we are developing a report for possible replication throughout the region IFES also reviewed the considerable research and experience of a number of governmental institutions such as the World Bank the National Democratic Institute UNDP USAID the OSCE and the OECD The PTAS are not intended to duplicate the work undertaken by these organizations and others Rather they constitute an attempt to identify consensus Standards which should be found in any democratic Parliament and to present them in a systematic framework Thus the PTAS can be used as the backbone for drafting annual country-specific SOP Reports The model framework for SOP Reports constitutes a component of the IFES Parliamentary Toolkit designed to help civil society and Parliament monitor report on and promote parliamentary transparency and accountability By reporting and monitoring progress against a core set of benchmarks and consensus Standards a SOP Report will assist a diverse range of civil society and governmental stakeholders to prioritize a parliamentary reform agenda in a systematic manner The SOP Report is intended to assess the effectiveness of Parliaments in emerging democracies but also to equip multiple civil society and governmental stakeholders with the information necessary to prioritize and implement parliamentary transparency and accountability reforms
The IFES PTAS and model SOP Framework are grounded in bull International and regional consensus Standards and best practices of
Parliamentary transparency and accountability bull Core international regional and constitutional obligations bull A general overview of the relevant country legal and institutional framework
c Multifaceted Methodology The model SOP framework is designed to lay out the standards and the methodology necessary to assess the transparency accountability and performance of Parliaments around the world against a set of core benchmarks grounded in international and regional best practices The framework captures consensus Parliamentary Transparency and Accountability Standards (PTAS) identified in a series of international and regional treaties declarations guidelines and practices related to the parliamentary structure and
10
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
responsibilities In identifying the PTAS and the framework we sought to include a variety of sources representing a broad consensus The sources are listed in annex Each of the consensus PTAS was disaggregated into qualitative and quantitative indicators5 Indicators designed to assess the level of compliance with each PTAS are a core element of the framework The use of indicators is necessary to obtain a clear picture of where improvements are needed and which achievements and shortcomings affect the Parliament These indicators are not designed to stigmatize countries in comparison to others While the use of a uniform framework and measurements based on indicators will allow for some degree of comparison each Parliament evolves in a set of country-specific circumstances Compliance with the PTAS within a given country-context is the objective of our endeavor Identifying the PTAS and disaggregating them into indicators is an evolving process Standards are slowly emerging as national stakeholders gather in the international arena in search of guidelines to improve independence and efficiency Like new standards emerging indicators can continuously be refined to clarify the contents of each PTAS Standards without indicators are empty concepts which can be interpreted in many different ways depending on the author of the report Indicators help define the PTAS and provide a concrete guide for the assessment of compliance The draft indicators are available in a separate attached document The framework is built around the need to implement and link up key reforms embedded in the PTAS Each country report is developed through a multifaceted methodology that incorporates an array of information resources necessary to assess the level of PTAS compliance (i) desk studies of all relevant laws institutions and international obligations (ii) analysis of existing best practices country studies and research (iii) interviews and surveys of experts and key stakeholders and (iv) analysis of the operation of Parliament in practice The PTAS and their accompanying indicators serve as the guideposts with which to measure implementation progress or regression on a periodic basis While all the PTAS are important and their relevance in the country context varies IFESrsquo working assumption for each report is that certain mutually supportive principles are essential to establishing the legal enabling environment necessary to build an independent accountable Parliament and a Rule of Law culture We also believe that for purposes of capturing global issues lessons learned model programs across borders it is also important for all country reports to uniformly cover a specific set of standards
5 We chose the term ldquoindicatorrdquo because is the most commonly used in the literature on similar topics and we recognize its value In fact we intend to describe and analyze the state and performance of the Parliaments through what can also be called ldquosearch questionsrdquo that will allow to look to the Parliaments uniformly Having indicators will bring coherence and systematization to the national SOP reports
11
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Compiling a National SOP Report The framework was created to serve both as (i) a tool for civil society to monitor parliamentary activity and identify spaces for improvement and participation and (ii) a tool for legislators to assess their own institution Each report should be compiled with the following in mind
Combining a civil society evaluation and a parliamentary self-evaluation will lead to a better report
Sharing information with civil society will be a first step towards strengthening collaborative partnerships between Parliament and the people
The indicators will provide two sorts of data (i) quantitative data such as how many legislators timing of elections number of commissions etc and (ii) qualitative data on the performance of Parliament through an analysis of the processes of parliamentary life and
The PTAS cover to three key aspects of parliamentary operations and activity transparency accountability and efficiency
Assessment of the level of compliance with each PTAS is guided by an examination of relevant laws and practices identified through a survey of legislation and interviews of key stakeholders There are three degrees of compliance
bull Formal compliance (laws and decrees) bull Compliance in practice (effective implementation of laws and decrees as well as
of constitutional and conventional principles) and bull Quality and integrity of the compliance in practice (fair implementation for all)
The Report outlines in the country context the legal and institutional framework within which the judiciary operates The indicators serve as guideposts for the analysis of the level of compliance with each PTAS This analytical process will lead to an overall judgment as to whether there is a ldquosatisfactoryrdquo ldquopartially satisfactoryrdquo or ldquounsatisfactoryrdquo JIP compliance with the possible nuance of ldquoimprovingrdquo or ldquoregressingrdquo and to present prioritized reform recommendations
2 Relevant International and Domestic Legal and Institutional Framework
a International and Regional Obligations IFES has examined various documents relating to the relevant international and regional governmental and non-governmental declarations Standards best practices and guidelines on issues of parliamentary independence transparency and accountability Each annual country-specific SOP Report should present a list of relevant applicable international and regional obligations including
Declarations on democracy and parliamentary independence and best practices guidelines and Standards by international and regional Parliamentary
12
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Associations eg the Commonwealth Latimer House Standards the IPU Declaration on Democracy
International and regional human rights treaties and human rights court and commission case law eg the Universal Declaration of Rights the International Covenant on Civil and Political Rights the UN High Commission on Human Rights Resolution 200047 and
Non-governmental guidelines
b Constitutional Standards Each annual country-specific SOP Report should outline the constitutional Standards related to the separation of powers and parliamentary independence including
The guarantees of parliamentary independence lawmaking powers and other key Standards
The roles of parliamentary committees and of party caucuses The powers to develop amend or review budget and levy taxes The power to question Ministers hold hearings conduct investigations and call
witnesses The power to appoint andor confirm candidates to high-level positions in the
other branches of government The power to access information about government activities and programs6
c Country Legal Framework
In presenting the legal framework each annual country-specific SOP Report should include a review of the relevant applicable legislation and regulations affecting parliamentary transparency and accountability such as
The institutional structure of the Parliament Standing Rules of Order Parliamentary internal regulatory framework Access to information legislation Anticorruption legislation Political party campaign financing regulations and Parliamentary Codes of Ethics and conflict of interest rules
d Country Institutional Framework
In presenting the institutional framework each annual country-specific SOP Report should present a review of the relevant institutional characteristics affecting the Parliament such as
Intra-parliamentary structures bicameralunicameral Committees support services etc
6 USAID Handbook on Legislative Strengthening page 15
13
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Extra-parliamentary structures and governmental relationships Ombudsman political parties Ministry of Justice civil society organizations with watchdog role and
Oversight mechanisms
3 Assessment of the Level of Compliance with the PTAS For each of the PTAS this Model Framework for an annual SOP Report will present
bull Guidelines based on international and regional standards and best practices and
bull Indicators to monitor the level of compliance or non-compliance PTAS1 Independence of Parliament
Institutional Independence Separation of power Standards mandate a Parliament independent from the other two branches of government the Executive and the Judiciary This independence must translate itself into freedom from external pressure and interference In the exercise of its functions Parliament should be subject only to the Constitution and the law CLHP ECOWAS-P UPA-Res00
The institutional independence of Parliaments rests in the doctrine of separation of powers This doctrine is widely accepted internationally as a tenet of democratic societies and is now formally recognized in the Constitutions of most countries7 The separation of powers is either expressly mandated in the Constitution or a document having constitutional value or it is found in the practical organization of the three powers8
Parliament must also be free to legislate and introduce legislation otherwise it is relegated to a rubber-stamping institution for the Executive Finally Parliament must be entrusted with the freedom to organize itself to decide on its own rules of procedures and the proceedings for parliamentary bodies The principle of independence has broader implications Indeed it is now agreed that independence must be recognized to not only Parliament as an institution but also to legislators in the exercise of their functions Both the institution and its members must be free from undue interference and external controls emanating of the other branches of government the Executive and the Judiciary as well as from forces within society such as political parties the private sector the media and others Indeed interferences would
7 ASGP Report dated September 1998 by Michael Couderc The Administrative and financial autonomy of Parliamentary Assemblies page 1 (found at wwwasgpinfopublicationshtm ) The report states that exceptions to this general rule appear the Cyprus Kenya and Switzerland Parliaments 8 Ibid Most countries now have adopted Constitutions but there are some noteworthy exceptions such as the United Kingdom
14
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
render impossible the exercise of the core functions of Parliament lawmaking and oversight In order to be independent legislators must be able to discharge their duties without fear for their physical security or the well being of their families and staff This principle requires the State to provide security services for legislators and to secure the House of Parliament PTAS2 Free and Fair Parliamentary Elections
Parliamentary Elections The process of the election of members of Parliament should be open and transparent allowing for full citizen participation and free of coercion fraud or violence CLHG CSCE-CD ECOWAS-P IPU-DD IPU-Res03 UNHCHR UPA-Res00
The right of everyone to take part in the government of hisher country is expressed through the right to freely choose representatives Parliaments differ in the manner and types of election held to elect members There is an international consensus on the need to provide voting rights for all citizens on the basis of universal equal and secret suffrage so that all voters can choose their representatives in an environment conducive to equality and political competition The different systems include direct and indirect proportional versus single constituency The IPU Declaration on Democracy notes that holding free and fair elections which allow the expression of the peoplersquos will at regular intervals is a key element of democracy This Standard is seen as the best way of guaranteeing representative democracy Whatever the system used elections of legislators must be organized following an open and transparent process There must be full citizen participation without a suggestion of manipulation Legislators should not be required to run for office exclusively under the nomination of a Political party PTAS3 Transparent Adequate Political Financing and Compensation
Political finance The fight against corruption requires the adoption of clear rules for transparent political financing of legislators their campaigns and their political organizations need to be adopted These rules should include transparent compensation as well as the disclosure of campaign account income and assets of legislators Anticorruption Treaties Adequate compensation Legislators should receive adequate salaries and benefits which are comparable to those of equivalent positions in the other branches of government and private sector CLHG IPU-DD
The financing of any parliamentary candidate by his her political party should be transparent and there should be clear written rules and regulations on the types of political financing which are impermissible and illegal and those which are permitted and legal
15
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Clear rules for political party and campaign financing ndash these rules should foster financial transparency and integrity
bull Income and asset disclosure requirements bull Oversight by an independent authority (internal ie Parliamentary Committee or
external) and publication of information To the extent possible political parties and parliamentary candidates should be required to place all contributions above a certain limit in official bank accounts and use these accounts for all campaign expenditures Official bank accounts are accounts which are fully documented and disclosed Disclosure requirements should cover all income assets and expenditures related to the campaign and should be made to an independent official agency Uniform and reliable software will help monitor all income and expenditure during political campaigns The independent official agency should verify and report on the parliamentary campaign finance data Additional independent verifications and reports should be undertaken by civil society to avoid collusion A serious problem in many countries has been the use of parliamentary resources such as office space staff time or funds by incumbents This is a practice which should be seriously discouraged or even outlawed as it constitutes a misuse of funds by parliamentarians Legislators should also be adequately compensated for their work Compensation includes both their salary and any additional benefit granted to workers The adequacy of compensation will be assessed in comparison with the cost of living and the compensation-level of senior officials in the Executive judiciary and private sector Due to high turnover in parliamentary office an appropriate compensation level is important to attract high-quality people and to shield legislators from outside pressure Pension entitlement by virtue of office is a widely recognized right in most Parliaments independently of the diversity of the methods and procedures chosen to implement it A number of other countries in which no recognized pension scheme currently exists for Legislators have indicated that this subject is currently under review (Egypt Lesotho Nigeria Thailand) The great majority of legislators today benefit from social security (sickness maternity invalidity death and industrial injury insurance) coverage while in office This is for the most part organized within the framework of the common labor rights legislation of each country9 Transparency regarding all amounts received by legislators as compensation is necessary to promoting parliamentary accountability and ethics Legislators and if possible their dependents should be required to disclose all their incomes assets and relevant interests to an independent official agency The public should have an opportunity to access information about the salaries and other benefits of the legislators whom they have elected Like with parliamentary campaign finance uniform and reliable software will
9 Helene Ponceau AGSP Report April 2001 This report is based on a questionnaire of the Association of General Secretaries of Parliaments approved at the Berlin session in October 1999 and sent to 56 countries
16
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
help monitor the disclosures and verification and reporting by the independent official agency as well as civil society will foster more transparency and accountability PTAS4 Representative Parliament
Broad-Based Representation An inclusive fully representative Parliament across gender ethnicity political affiliation religion etc is one of the main tenets of a democratic society CLHG CSCE-CD ECOWAS-P IPU-GD IPU-Res03 UNHCHR UPA-Res00
There is increasing consensus at the international level that democratic institutions must be representative of the diversities of society Parliament should therefore be composed of a broad cross-section of society including members of different genders ethnicity political affiliation religion etc Diversity in institutional membership echoes the Standards enshrined in the numerous conventions against discrimination which have been ratified in the past decades10
A broad-based representative Parliament will contribute to the promotion of the right of everyone to take part in government and of all interests to be given expression As noted by the IPU in its Declaration on Democracy ldquoDemocracy is founded on the right of everyone to take part in the management of public affairs it therefore requires the existence of representative institutions at all levels and in particular a Parliament in which all components of society are represented and which has the requisite powers and means to express the will of the people by legislating and overseeing government actionrdquo Some countries have taken additional steps to encourage participation by marginalized groups such as women or minorities For example in Pakistan quotas for gender participation were established 33 quota in direct elections (local) and 17 quota in indirect national elections (legislature and senate) Women membership in the legislature is currently at 21 slightly above the mandatory quota PTAS5 Security of Tenure
Security of tenure ldquoSecurity of Members during their Parliamentary term is fundamental to Parliamentary independencerdquo CLHG CSCE-CD
The legitimacy of Parliament rests on the fact that its membership is rooted in the will of the people who chose representatives in periodic elections In order to guarantee that their will is respected the term of office of legislators must be respected Certain classes of legislators may have life terms (cite House of Lords other examples) but most legislators are elected for fixed terms Exceptionally the tenure of legislators may be terminated but such mechanisms must be narrowly defined and follow clear transparent
10 See for example the International Convention on the Elimination of All Forms of Racial Discrimination [CERD] (1965) and the International Convention on the Elimination of All Forms of Discrimination against Women [CEDAW] (1979)
17
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
legal procedures This may be the case for immunity waivers in case of criminal offences committed by a legislator or of dissolution of parliament by the executive The CLHG lists three requirements to protect the security of tenure of legislators in its guideline number 2
ldquo (a) The expulsion of members from Parliament as a penalty for leaving their parties (floor-crossing) should be viewed as a possible infringement of membersrsquo independence anti-defection measures may be necessary in some jurisdictions to deal with corrupt practices
(b) Laws allowing for the recall of members during their elected term should be viewed with caution as a potential threat to the independence of members
(c) The cessation of membership of a political party of itself should not lead to the loss of a Memberrsquos seatrdquo
PTAS6 Freed Parliamentary Speech
Freedom of Speech The true expression of democracy lies in the right to free speech This should not just be a right guaranteed to the general public but legislators also must be free from censorship and defamation laws that restrict the right to criticize government thereby curtailing parliamentary oversight of the Executive Banjul CLHG CLHP CPA-Media CPA-Rec03 ECHR IACHR ICCPR IPU-GD IPU-DD UPA-Res00
The International Covenant on Civil and Political Rights (ICCPR) expressly states in article 19(1) that everyone shall have the right to hold opinions without interference Article 19(2) guarantees the right to freedom of expression and broadens it to include the freedom to seek receive and impart information and ideas of all kinds regardless of frontiers either orally in writing or in print in the form of art or through any other media of choice These rights are not absolute and may be restricted under specific circumstances as outlined in article 19(3) Most international human rights instruments provide that every individual shall have the right to express and disseminate his opinions within the law Other instruments recognize the right of freedom of expression as an inalienable fundamental right Free speech rights should entitle legislators to
bull Put written and oral questions to members of the government and receive answers to these questions The opposition in Parliament should also be entitled to speaking time proportionate to its numbers in sittings set aside for oral questions
bull Request documents and receive such documents in a timely manner National security concerns constitute one of the main reasons why governments restrict freedom of expression Freedom of expression should not be restricted on public order or national security grounds unless there is a real risk of harm to a legitimate interest and there is a causal link between the risk of harm and the expression
18
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Defamation laws are a serious concern for legislators when seeking to protect or exercise their freedom of expression rights Legislators should be free from improper pressures in the discharge of their functions These improper pressures can be in the form of criminal laws and the use of defamation proceedings restricting legitimate criticism of the government by legislators Criminal defamation laws need to be carefully reviewed Similarly the defense of qualified privilege with respect to reports of parliamentary proceedings should be drawn as broadly as possible to permit full public reporting and discussion of public affairs and offence of contempt of Parliament should be drawn as narrowly as possible There is a need to achieve a balance between the free speech rights of Legislators vis-agrave-vis the government and the publicrsquos right of free speech vis-agrave-vis the Parliament PTAS7 Participatory Transparent Law and Decision-Making Processes
Parliamentary Processes Parliament must be open transparent and accountable to the public in its lawmaking and policymaking functions In this regard the free flow of information from Parliament to its members and the public as well as avenues for effective public participation is fundamental to a democratic Parliament CLHG CLHP ECOWAS-P IPU-GD IPU-Res03 UPA-Res00
Law and policy-making are the primary responsibilities of Parliament as the elected body representing the people The Executive may initiate laws and policies and the Judiciary may be constructive and purposive in the interpretation of legislation neither must be seen as usurping Parliamentrsquos legislative function Ultimately only the Parliament is entitled to adopt laws for the country Consequently legislators should be encouraged to adopt national policies and laws through open processes which allow for consultation and citizen participation Parliamentary processes must be not only transparent but also participatory Participation starts with the right to form democratic political parties and entails the need for transparent and fairness in the electoral process including through appropriate access to funds and free independent and pluralistic media Transparent decision-making and law-making processes create ownership in governance by the public which is necessary in a democratic society The Parliament should implement efficient mechanisms to allow and encourage public participation in the different stages of the law making process From the moment that Parliament receives a bill from the Executive or from the moment a bill is drafted by a committee civil society representatives should have a voice and be consulted Civil society participation will add a fresh look and ensure a better response to community needs Legislators will benefit from input and the resulting laws will better reflect real needs and local buy-in Committees meetings and parliamentary sessions should be usually open to the public Information on meetings and final decisions should be broadly disseminated Parliament should be consulted by the government on important questions affecting the life of the nation war national security human rights economic policy social rights
19
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
labor markets etc This will enable the opposition to take part in the debate and provide its input to the decision-making process The opposition must also be able to raise matters regarding the Constitution with a view to its amendment PTAS8 Transparent Oversight of the Executive
General Oversight One of the core functions of Parliament is to provide a continuous check on the activities of the Executive In performing this oversight function Parliament must follow transparent procedures and respect strict standards of accountability CLHG CLHP IPU-GD UPA-Res00
The separation of powers not only means that each branch of government is independent from the other two but also that mechanisms of checks and balances are in place to avoid abuses and encroachments To that end the Parliament is traditionally entrusted with the responsibility of overseeing the activities of the Executive The Executive as Parliament must follow high standards of accountability transparency and responsibility in the performance of its duties Parliament is responsible for ensuring that these standards are met and for providing adequate mechanisms to challenge the Executive for failure to meet these standards Oversight may take place in the form of periodic questions to the government in a parliamentary sessions or investigations undertaken by parliamentary commissions or votes of confidencenon-confidence Parliamentary procedures should be transparent and allow for public scrutiny Governments should be required to announce publicly within a defined time period their responses to committee investigations PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
Budget Design and Oversight Parliament is traditionally responsibly for adopting the national budget There is a growing international consensus that Parliaments around the world need to make maximum use of existing processes for exerting influence in national budget control scrutiny and accountability IPU-Res03 UPA-Res00
Parliament must have a certain amount of authority to affect the budget otherwise its role in establishing national policy and representing citizen interests will remain limited11 Involvement should extend beyond budget approval and include budget formulation tracking and accountability Unless it has substantial involvement beyond approval Parliament will do no more than rubberstamp the Executiversquos budgetary and policy decisions To promote more accountability in government Parliament should be entitled to monitor income and expenditures especially how effectively government programs and activities are administered
11 USAID Handbook
20
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Parliamentary procedures should therefore provide adequate mechanisms to oversee the Executive including accountability mechanisms targeted at budget development effective money flows budget implementation etc This can be achieved by allowing independent audits of public accounts establishing that the opposition will chair the Public Accounts Committee or a combination of the mechanisms andor others PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
International Obligations and Parliament International treaties carry a general obligation for signatory States to ratify and to adopt all necessary measures for their implementation Both functions should fall on Parliament CLHG CLHP IPU-Res03
The need for governments to respect their international law obligations has become more urgent post World War II particularly as inter-State conflicts are on the rise Legislators as law makers and representatives of the people need to be more proficient in their knowledge and understanding of human rights and humanitarian law instruments including those relating to economic social and cultural rights In a 2000 Declaration the Conference of Presiding Officers of National Parliaments outlined the four inter-connected levels of intervention for Parliaments in relation to international obligations
bull ldquoInfluencing their respective countriesrsquo policy on matters dealt with in the United Nations and other international negotiating forums
bull Keeping themselves informed of the progress and outcome of these negotiations bull Deciding on ratification where the Constitution so foresees of texts and treaties
signed by governments and bull Contributing actively to the subsequent implementation processrdquo12
Parliaments play a central role in adjusting domestic law to international standards According to the legal systems of many countries Parliaments are not only the bodies entitled to ratify international obligations but also the ones responsible for adopting the necessary implementing legislation Many international treaties particularly those related to human rights the environment gender and corruption require that States parties adjust their national legislation to match the minimum standards laid out in the treaties For example United Nations Convention against Corruption (2004) is explicitly applicable to legislators Indeed its scope covers ldquopublic officialsrdquo who are defined as including any person holding parliamentary office in a State party Compliance with this provision and others often requires the adoption of legislation Conventions generally include explicit requirements for the adoption of new laws by national Parliaments
12 Conference of Presiding Officers of National Parliaments organized by the IPU in cooperation with the UN Declaration adopted by at UN Headquarters New York 30 August ndash 1st September 2000
21
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The United Nations Convention against Corruption (2004) establishes that each State party should develop and implement anti-corruption policies
bull The Inter-American Convention against Corruption (1996) requires in its article VII the adoption by State parties of all ldquonecessary legislative or other measures to establish as criminal offences under their domestic law the acts of corruption described in Article VI(1) and to facilitate cooperation among themselves pursuant to this Conventionrdquo
As guardians of the Constitution legislators have an obligation to protect the human rights of people This obligation is reinforced by the requirement to comply with international and regional human rights treaties This obligation to protect and legislate in support of human rights should lead to increased oversight by Parliament in areas in which the Executive has traditional exercised blanket discretionary powers such as national security There has been a growing consensus on the need to shift focus away from military security to broader factors of ldquohuman securityrdquo such as environmental economic social as well as political13 PTAS11 Transparent Efficient Parliamentary Committees
Parliamentary Committees The legislative and oversight functions of Parliament are actually undertaken by Parliamentary Committees the powers and structures of which differ from country to country It is essential for these committees to be properly structured and well funded to enable them to be effective in discharging Parliamentrsquos legislative and policy making functions CLHG CPA-Media CPA-CP CPA-Rec03 CPA-REc04 IPU-GD
Committee structures may vary depending on the size of Parliament its constitutional mandate and other country-specific factors However all committees should have adequate resources both human and financial and have the power to summon witnesses including ministers as necessary to fulfill their mission Committee meetings should be generally open and allow for public attendance and participation Committee reports should be published and made readily available to both the government and the public PTAS12 Adequate Independent Parliamentary Budget
Parliamentary Budget It is the duty of the State to provide adequate resources to enable Parliament to perform its functions properly CLHG
Parliamentary independence and effectiveness to carry out its functions is eroded when Parliament lacks control over its own budget or has inadequate finances to manage its committees and carry out various other internal administrative duties14 Parliament 13 IPU and the Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born Philipp H Fluri amp Anders B Johnsson page 16 (Found at httpwwwdcafchpublicationse-publicationsHandbook_eng ) 14 Indeed without adequate resources for the training of new members secretarial office library and research facilities drafting assistance for bills etc Parliament is handicapped
22
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
should be able to design its own budget based on its needs and negotiate with the Executive the amount allocated to it from the national budget There should be sufficient autonomy over these finances by Parliament to protect the institutional independence and integrity It has been suggested that an all-party committee of members of Parliament should review and administer the parliamentary budget Moreover the parliamentary budget should not be subject to amendment by the Executive15 It is the Parliamentary budget that inter alia funds training of parliamentary support staff ensures that library and research facilities are properly and adequately equipped guarantees that legislators have the necessary support staff to undertake their functions and funds security services PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
Parliamentary Conduct Legislators are required to exhibit and promote high standards of professional conduct in order to reinforce public confidence in Parliament which is fundamental to its independence and legitimacy in a democratic society ANTICORRUPTION TREATIES CLHG CLHP
The CLHG outline three components for a comprehensive ethical framework applicable to Parliament
bull Conflict of interest rules and codes of conduct requiring disclosure of interests bull Access to ethics advisors and bull Restrictions on lobbying and interest group influence
Ethical professional conduct requires legislators not only to conform to high standards of ethics in practice but also to avoid the appearance of impropriety The need for financial transparency by public officials has increasingly gained acceptance as anti-corruption issues have become global Legislatorsrsquo professional and private conduct must be subject to some system of internal codified rules regulating standards of behavior and making disclosure of personal income and assets mandatory Other professions have codes of ethics regulating membersrsquo behavior for example doctors and lawyers Ethical rules should include conflict of interest rules outlining incompatible professional activities or interests such as holding another governmental office and restricting certain ventures such as participation or shareholding in corporations These rules should also require the submission to an independent oversight authority of disclosures of income assets and interests These disclosures should then be publicized for broader ethical monitoring by the public Disclosure of interests will go a long way in establishing institutional integrity trust and respect by the public and effective discharge of duties on the part of legislators as they are fully conscious of the ethical parameters which govern them as a profession 15 Commonwealth Latimer House Guidelines Number VII6
23
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
Discipline Just as other professionals have quasi-judicial bodies to regulate discipline and even remove members there should also be an internal or external authority to sanction legislators conduct investigations and hearings and adopt findings and conclusions There should also be a clear appeals process available to any member aggrieved by a decision CLHG
ldquoThe Committee recommends
bull The House should appoint a person of independent standing who should have a degree of tenure and not be a career member of the House of Commons staff as Parliamentary Commissioner for Standards
bull The Commissioners should have independent discretion to decide whether or not a complaint merits investigation or to initiate an investigationrdquo Recommendations of Committee on Standards in Public Life First Report16
Just as any other citizen legislators should be bound by the law In cases when legislators commit acts contrary to the laws and regulations they expose themselves to disciplinary action and prosecution Moreover there are special conditions only for the status of being public servants that they must observe such as compliance of high standards of ethics assets disclosure and conflict of interest rules There must be a clear system of sanctions for non-compliance with the laws and regulations The disciplinary process in representative bodies is a very sensitive one It should not be used to punish the opposition or dissidents In this sense the existence of an objective internal or external body to sanction legislators is essential to the proper operation of the system An additional problem represents the immunity that all legislators should have The immunity is a protection to ensure that legislators can perform their duties without interference it should not however be used as an excuse to avoid sanctions for common misconducts or crimes PTAS15 Parliamentary Immunity
Immunity Legislators shall enjoy personal immunity from civil suits and criminal prosecution for acts and omissions in the exercise of their functions CLHG ECOWAS-P IPU-GD
Legislators should enjoy some degree of immunity from prosecution or civil suit for acts and omissions in the exercise of their functions However no one should be exempted from accountability The requirements of parliamentary independence from political institutional and societal forces must be balanced against those of public accountability
16 These recommendations were implemented by the House of Commons England A Standing Order setting up the office of Parliamentary Commissioner for Standards was set up on 6 November 1995
24
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Consequently the immunity regime should be strictly regulated especially through the recognition of
bull Clear limited scope of immunity (for example it should not cover acts performed outside of office nor common crimes) and
bull Possibility of waivers in clearly defined cases and following a transparent procedure
Regarding the scope of parliamentary immunity its historical roots lie with the freedom of speech of legislators as recognized in the British and American Bills of Rights The underlying justification for immunity is that it allows legislators to fulfill their mandate without fear of retaliatory measures on account of their positions or votes Legislators must therefore be protected against arrest and detention or civil and criminal prosecution for any acts performed or words spoken while in office or in the conduct of parliamentary affairs Legislators should not be subject to any form of inquiry detention or legal proceedings in respect of opinions expressed or votes cast by them in the performance of their duties Immunity should not be limited to acts or speech within the parliamentary facilities Rather immunity must be interpreted as broadly as possible For example the members of the European Parliament enjoy immunity in their own States in the territories of other Member States and whilst traveling to and from the place of the meeting of the European Parliament However immunity should not be absolute The immunity regime applicable to legislators should provide for the possibility of waiving this immunity in limited circumstances in the interests of justice Immunity is not a privilege benefiting individual members but rather a guarantee protecting the independence of Parliament and its members in their relations with other governmental and private bodies17 Parliamentary privileges must be clearly defined and established by law These immunities are not meant to place legislators above the law but to protect them from possible groundless proceedings or accusations that may be politically motivated The grounds and terms for lifting of immunity must be clearly specified by law so that this may only occur following a decision taken by a competent body on a non-partisan basis PTAS16 Parliamentary and Public Access to Information
Access to Information Legislators as well as the general public must have access to accurate timely information and data including legislation parliamentary procedures governmental data and relevant research data Banjul CLHG CLHP CPA-Media CPA-CP CPA-Rec03 CPA-Rec04 CSCE-CD ECHR IACHR ICCPR IPU-DD IPU-GD IPU-Res03 UNHCHR
17 ECPRD Parliamentary Codes of Conduct in Europe by Veronica Williams November 2001
25
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
The free flow of information is essential in a democratic society Access to information should not only be viewed in relation to the media and civil societyrsquos right to access governmental documents but also in relation to the legislatorsrsquo right to access relevant research and information from the government and other sources Access to information can be facilitated by the use of databases networks and information technology in general The media should be free to report the activities of Parliament and the public should be able to attend parliamentary meetings and Committee sittings where appropriate The CPA encouraged Parliaments ldquoto provide live coverage of their proceedings on a dedicated channel andor onlinerdquo in its Recommendations for an Informed Democracy The environment should be made conducive for civil society organizations the public and multiple stakeholders to exchange information with legislators to enable Parliament to effectively discharge its duties of oversight policy making law making representation and recruitment This could be achieved through the establishment of a public information office within Parliament Bills and Acts of Parliament must be published regularly and should be freely available to the public Indeed the CSCE Copenhagen Document notes that ldquolegislation adopted at the end of a public procedure and regulations will be published that being the condition of their applicability Those texts will be accessible to everyonerdquo In its recommendations following a conference on ldquoWhat Parliament and Legislators Can Dordquo the CPA noted that access should be granted ldquoto basic information and documents produced by the parliamentary process such as access to parliamentary libraries the provision of on-line information and the distribution of Parliamentary speeches promptly after delivery in the Houserdquo18 The type of information available to the public and to legislators should include
bull Attendance and voting records bull Registers of membersrsquo interests bull Bills and Acts of Parliament bull Procedural rules bull Codes of Conduct
Legislators should also have access to parliamentary archives as well as all necessary information and data from the government The IPU Guidelines note that ldquolegislators from the majority and the opposition alike are equally entitled to receive in a timely manner the same information from the governmentrdquo
18 Parliament and The Media Building an Effective Relationship 15-18 February 2000 [CPA-Media]
26
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS17 Adequate Facilities Equipment and Technology
Adequate Infrastructure Parliament should have at a minimum the necessary infrastructure and technical assistance including research capacity adequate facilities and equipment to enable it to carry out its basic democratic functions CPA-Rec03 CPA-Rec04 IPU-GD
The working conditions of legislators must be adequate and reflect the importance of Parliament as a key democratic institution Parliament must be housed in one or more buildings with the necessary equipment and office space for legislators and their staff including tables chairs and all other necessary office equipment Adequate resources must be allocated to Parliament andor legislators and support services to maintain and equip their facilities Some of the facilities and services which can be reasonably expected to be available to legislators include
bull Offices bull Secretarial services (general andor individual) bull Library and archive facilities bull Research services (to which requests for information can be submitted) and bull Information technology
In its 2002 Report the CPA Study Group highlights the importance of information technology including ldquoimproved networking between legislators and constituents among legislators between legislators and Parliament and better information sharing and record keepingrdquo Information technology can also facilitate access to information and best practices on the broad range of issues which fall under the purview of parliament including human rights socioeconomic rights and gender issues The use of information technology could include the development of intra-parliament networks and of searchable public databases on parliamentary activity as well as the increased access to outside information for legislators PTAS18 Professional Training for Legislators and Staff
Adequate Training Resources must be allocated to training programs both for new legislators and for the continuing education of sitting legislators These programs must be geared towards developing the skills required by parliamentary functions as well as exposing legislators to substantive issues and developments affecting their legislative oversight and representative functions CLHG CPA-CP
Training should be geared towards providing legislators with the specific skills and knowledge necessary to fulfill their parliamentary functions Legislators just like other professionals need continuing education programs and professional development to keep them updated on emerging democracy and governance trends Equally significant is the need to properly train new or incoming legislators on the constitutional rights and obligations of Parliament internal procedures and order of business ethics etc
27
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS19 Adequately-Compensated Research Library and Committee Staff
Support Staff ldquoParliament should be serviced by professional staff independent of the regular public servicerdquo CLHG IPU-GD
Parliamentary support staff in sufficient numbers and with the appropriate professional skills is crucial for an effective institution Parliamentary staff performs duties such as
bull Assisting in bill drafting bull Tracking the status of bills in the legislative process bull Maintaining and in some cases designing web sites bull Producing and drafting documents about the legislature bull Undertaking accounting and various other clerkship duties
High turnover of parliamentary staff requires more money for attracting new competent staff and providing them with the necessary training It is important to ensure that staff is reasonably well compensated to attract good candidates for the job who will retain their jobs longer When vacancies are not rapidly filled parliamentary work can be undermined resulting in misplacement of documents errors and overall inefficiency Parliamentary staff should be independent from other public service offices Their selection promotion and discipline must be clearly defined and reflect merit-based criteria and transparent processes Professional development opportunities and training should be offered to them The longer support staff stay in Parliament the more it benefits the institution especially as it may provide new legislators with the information and support necessary to adapt to their new functions faster
28
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 1 List of Acronyms
Banjul African Charter on Human and Peoplersquos Rights (1986) CEDAW Convention on the Elimination of All Forms of Discrimination
against Women ICERD Convention on the Elimination of All Forms of Racial
Discrimination CLHP Commonwealth Latimer House Principles on the Accountability and Relationship between the Three Branches of Government (2003) CLHG Commonwealth Latimer House Guidelines (1998) CPA Commonwealth Parliamentary Association CPA-Media Parliament and the Media Building an Effective Relationship
CPA (2000) CPA-CP Capetown Principles for an Informed Democracy CPA (2002) CPA-Rec03 Recommendation for an Informed Democracy CPA (2003) CPA-Rec04 Recommendation for Transparent Governance CPA (2004 CSCE Conference on Security and Cooperation in Europe CSCE-CD Copenhagen Document CSCE (1990) CSCE-MD Moscow Document CSCE (1991) ECHR European Convention on Human Rights and Fundamental
Liberties (1951) ECOWAS-P Protocol ASP11202 on Democracy and Good Governance
ECOWAS (2001) IACHR Inter-American Convention on Human Rights (1978) ICCPR International Covenant on Civil and Political Rights (1966) IPU Inter-Parliamentary Union IPU-DD Universal Declaration on Democracy IPU (1997) IPU-GD Guidelines and Duties for the Opposition in Parliament IPU (1999) IPU-Res03 Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World IPU (2003) UPA Union des Parlementaires Africains [African Parliamentary Union] UPA-Res00 Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence Building between Peoples and their Institutions (2000) UNHCHR United Nations High Commissioner for Human Rights Resolution
200047
29
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 2 Bibliography Governmental Documents
bull Commonwealth Latimer House Standards bull Commonwealth Latimer House Guidelines bull Commonwealth Parliamentary Association (CPA) Parliament and the Media
Building an Effective Relationship bull English Bill of Rights 1689 bull Inter-Parliamentary Union (IPU) Guidelines bull ECOWAS Protocol on Democracy and Good Governance Supplementary to the
Protocol Relating to the Mechanism for Conflict Prevention Management Resolution Peacekeeping and Security
bull Protocol on the Privileges and Immunities of the European Communities bull ECPRD Parliamentary Codes of Conduct in Europe (Compilation by the Council
of Europe Parliamentary Assembly) bull IPU Universal Declaration on Democracy bull International Covenant on Civil and Political Rights (ICCPR) bull The African (Banjul) Charter on Human and Peoplersquos Rights bull The Johannesburg Standards National Security Freedom of Expression and
Access to Information bull Document of the Copenhagen Meeting of the Conference on the Human
Dimension of the CSCE 1990 bull Declaration of Principle on Freedom of Expression in Africa bull Union des Parliamentaires Africains on the Role of Parliaments in the
Consolidation of Democracy and Confidence-Building Between the Peoples and their Institutions 23rd Conference in Addis Ababa 24-25 November 2000
bull The Harare Declaration bull IPU Conference of Presiding Officers of National Parliaments bull International Convention on the Elimination of All Forms of Racial
Discrimination bull Convention on the Elimination of All Forms of Discrimination Against Women bull Report of the Ethics Reform Task Force on H Res 168 105th Congress 1st
Session 17 June 1997 (found at httpwwwhousegovethicsethicsreporttxt ) bull Parliamentary Standards and the Wicks Committee Report Standard Note
SNPC2200 24 June 2003 by Ruth Winstone (found at httpwwwparliamentukcommonslibresearchnotessnpc-02200pdf )
bull Committee on Standards in Public Life First Report Cm 2850 Volume 1 11 May 1995 (found at httpwwwarchiveofficial-documentscoukdocumentcm282850285002pdf )
bull Committee on Standards in Public Life Sixth Report Reinforcing Standards Cm 4557 Volume 1 January 2000 (found at httpwwwpublic-standardsgovuk )
bull Committee on Standards in Public Life Eighth Report Cm 5663 Standards of Conduct in the House of Commons November 2002 (found at httpwww-standardsgovukreports8th_reportreporteighthreportpdf
bull African Union Declarations and Decisions
30
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The African Commission Declaration of Principle on Freedom of Expression in Africa
bull United Nations High Commissioner for Human Rights Resolution 200047
Non-Governmental Documents Transparency and Accountability of the Parliament
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Anti-Corruption Commissions Panacea or Real Medicine to Fight Corruption By John Heilbrunn 2004
bull PREM Notes Public Sector No 74 October 2002 Strengthening Oversight by Legislatures (found at httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull PREM Notes Public Sector No63 March 2002 Strengthening Legislatures Implications from Industrial Countries (found at httpwww1worldbankorgpremPREMNotespremnote63pdf )
bull WBI Working Papers Building a Clean Machine Anti-Corruption Coalitions and Sustainable Reforms by Michael Johnston and Sahr J Kpundeh 2002
bull IFES IFES Parliamentary Toolkit Transparency and Accountability Tools for Civil Society
bull PREM Notes Public Sector No59 October 2001 Features and Functions of Supreme Audit Institutions
bull World Bank Institute Improving Governance and Controlling Corruption Towards a Participatory and Action-oriented Approach Grounded on Empirical Rigor October 2001
bull World Bank Towards Transparency in Finance and Governance by Tara Vishwanath and Daniel Kaufman September 6 1999
bull World Bank Institute Pillars of Integrity The Importance of Supreme Audit Institutions in Curbing Corruption by Kenneth M Dye and Rick Stapenhurst 1998
bull Association of Secretaries General of Parliaments (ASGP) Promoting the Work of Parliament Report by Mr Ian Harris Clerk of the House of Representatives of Australia19 Autumn 2000 (found at httpwwwasgpinfodiscussionshtmstudies)
bull USAID Handbook on Legislative Strengthening httpwwwusaidgovour_workdemocracy_and_governancegovhtml
bull Parliamentary Centre Canada Controlling Corruption A Parliamentarianrsquos Handbook httpwwwparlcentcaindex_ephp
bull Parliamentary Centre Canada Parliamentary Accountability and Good Governance httpwwwparlcentcaindex_ephp
19 This report contains a detailed analysis of the answers from a Questionnaire of how the public is provided information about the operation and work of Parliament The review was launched at the Conference of the Association of Secretaries General of Parliaments which was held in Autumn 2000 in Jakarta
31
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Center for Democracy and Governance February 2000 USAID Handbook on Legislative Strengthening
bull Parliamentary Centre Parliamentary Accountability and Good Governance A Parliamentarianrsquos Handbook
bull Parliamentary Centre Forum on Parliamentary Reform bull NEPAD Library Emerging Legislatures in Emerging African Democracies bull Commonwealth Parliamentary Association and World Bank Institute
Recommendations for Transparent Governance Conclusions of a CPA Study Group on Access to Information Accra Ghana 5-9 July 2004
bull GOPAC Parliamentarians Fighting Corruption A Conceptual Overview PCentrefsPCentreSProjectsParliamentary_RelationsGOPACWBI
bull International IDEA Democracy Assessment Questionnaire wwwideaintideas_work14_statedemocracy_assessmentpdf
bull NDI and UNDP Parliaments and Poverty Series Toolkit No1 Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Strengthening the Accountability Process and Parliamentary Reform A Report on the Parliamentary Roundtable Held in Bhurban Pakistan March 1-2 1997
Independence of the Parliament bull NDI Strengthening Legislative Capacity in Legislative-Executive Relations
Paper 6 httpwwwndiorgglobalpgovgovernanceasp bull Venice Commission Opinion on the Draft Proposal for Rules of Procedure of the
Assembly of the Republic of Macedonia by Georg Nolte July 5 2002 bull Venice Commission Report on the Referral of a Law Back to Parliament by the
Head of State November 15 1996 bull AGSP The Role of the Secretary General in the Administration of Parliament
Report by Mr Ugo Zampetti General Secretary of the Chamber of Deputies (Italy) October 2000 Review no 180
bull AGSP Constitutional and Parliamentary Information The Status of Parliamentary Groups
Parliamentary Immunity
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union Part Three Immunity in the European Parliament June 2001
bull Venice Commission Opinion 11995 Report on the Regime of Parliamentary Immunity CDL ndash INF(1996) 007 6496 (found at httpvenicecoeintsitedynamicsN_Opinion_efaspampL=EampOID=1 )
bull Venice Commission Supplementary Opinion on the Revision of the Constitution of Romania October 18 2002
32
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Venice Commission Draft Report ndash The Regime of Parliamentary Immunity April 29 1996
bull Venice Commission Questionnaire on Parliamentary Immunity prepared by Mr GW Maas-Geesteranus June 19 1995
Freedom of Parliamentary Speech
bull AGSP The Immunities of Members of Parliament Report prepared by Mr Robert Myttenaere September 1998
bull AGSP Position of Witnesses before Parliamentary Committees Report prepared by Mr Demaree JB Raval April 1997
Conflict of Interest amp Ethics
bull Parliamentary Affairs A Journal of Comparative Politics Volume 55 No 4 October 2002 Conduct Unbecoming The Regulation of Legislative Ethics in Britain and the United States by Robert Williams
bull Parliamentary Affairs A Journal of Comparative Politics Volume 52 No 3 July 1999 Parliament in the Age of Internet by S Coleman JA Taylor and W Van de Donk
bull European Centre for Parliamentary Research and Documentation (ECPRD) Parliamentary Codes of Conduct in Europe an Overview November 2001
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union June 2001
bull Research Paper Commissioned on behalf of The Committee on Standards in Public Life May 2002 The Regulation of Parliamentary Standards ndash A Comparative Perspective (found at httpwwwpublic-standardsgovukreports8th_reportreportresearchdoc
bull House of Representatives Resolution 168 on the Report of the Ethics Reform Task Force 18 June 1997
bull NDI Accountability Ethics and Transparency in Government Pakistan Study Mission to South Africa June 3 1997
bull NDI Report on Regional Consultative Workshops ndash Ethics Questionnaire August 1998
bull Council of Europe Steering Committee on Local and Regional Democracy (CDLR) Public Ethics at Local Level Model Initiatives Package November 25 2002
bull NDI Legislative Research Series Paper No 4 ndash Legislative Ethics A Comparative Analysis 1999
bull OECD United States Case Study ndash Ethics and Corruption The Management of Ethics and Conduct in the Public Service by Stuart Gilman December 1995
bull OECD Recommendations of the Council on Guidelines for Managing Conflict of Interest in the Public Service June 2003
33
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Sanction and Removal of Legislators bull Venice Commission Comments on the Draft Law of the Chechen Republic on
Elections to the Parliament of the Chechen Republic As Submitted to Referendum by Mr G Nolte March 23 2003
bull Venice Commission Opinion on the Draft Law on the Public Attorney (Ombudsman) of ldquoThe Former Yugoslav Republic of Macedoniardquo March 15 2003
bull Venice Commission Comments on the Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia by Ms Serra Lopes February 28 2003
bull Venice Commission Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia February 2003
bull WBI PREM Notes Public Sector Number 19 April 1999 Using an Ombudsman to oversee Public Officials
bull AGSP The Office of the Parliamentary Ombudsman March 1994 Salaries and Benefits of Legislators
bull AGSP The Social Protection of Parliamentarians Report by Mrs Helene Ponceau General Secretary of the Senate Quaestorrsquos Office [Havana Senate Treasurerrsquos Department] Review No 181 April 2001
Professional Development and Training
bull SADC Parliamentary Forum MPs Orientation Handbook ndash Professional Performance and Development httpwwwsadcpforgaboutindexasp
The Parliament and the Budget Cycle
bull OECD Development Centre Policy Brief No 22 Strengthening Participation in Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD May 2001 OECD Best Practices for Budget Transparency bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and
Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull ASGP The Administrative and Financial Autonomy of Parliamentary Assemblies Report prepared by Michel Couderc (France) adopted at the Moscow Session (September 1998)
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development The Legislature and the Budget by Frederick Stapenhurst 2004 httpwwwworldbankorgwbigovernanceparliament
34
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull WBI Working Papers Series on Contemporary Issues in Parliamentary
Development Parliaments and the PRSP Process by Scott Hubli and Alicia P Mandaville 2004
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull WBI PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull WBI PREM Notes Public Sector Number 74 October 2002 Strengthening Oversight by Legislatures
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull Commonwealth Parliamentary Association (CPA) The Parliamentarian 2002
Issue Two 179 Parliaments and Poverty by Ms Frannie A Lrsquoeautier bull Parliamentary Centre Canada and WBI and CIDA (with support from the
International Development Research Centre) Handbook on Parliamentarians and Policies to Reduce Poverty May 2001
bull Parliamentary Centre Cambodia Focus Group on Parliamentrsquos Role in the Budget Process Analysis
bull Parliamentary Centre Indicators of Parliamentary Performance in the Budget Process
bull The International Budget Project Legislatures and Budget Oversight httpwwwinternationalbudgetorgthemesLEGindexhtm
bull NDI Legislatures and the Budget Process An International Survey 2003 httpwwwndiorgglobalpgovgovernanceasp
bull NDI Parliaments and Poverty Series Toolkit No1 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Parliaments and Poverty Series Toolkit No2 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives
35
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull NDI Parliaments and Poverty Series Toolkit No3 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative Public Outreach on Poverty Issues
bull UNDP IPU WBI and UNIFEM Parliament The Budget and Gender httpwwwundporgdpapublicationsgovernancehtml
bull IMF Finance amp Development Magazine December 2002 Volume 39 Number 4 A Bigger Role for Legislators
bull Case Study PRSPs and Parliament by Stephen Langdon bull Ministry of Foreign Affairs Netherlands March 2002 Economics and Finance
(b) Budget Impact Assessments (Gender Budgeting) bull Cagatay N M Keklik R Lal and J Lang (2000) ldquoBudgets As if People
Mattered Democratizing Macroeconomic Policiesrdquo SEPED Conference Paper Series Number 4 May
bull Navarro Z (1998) ldquoParticipation Democratizing Practices and the Formulation of a Modern Policy ndash the Case of ldquoParticipatory Budgetingrdquo in Porto Alegre Brazil (1989-1998) Development Sage London Volume 41 number 3 September
Representative and Inclusive Parliament
bull Commonwealth Parliamentary Association (CPA) Commonwealth Women Parliamentarians Into The Democratic Mainstream August 2002
bull CPA EnGendering Development and Democracy May 2004 bull IPU and UNDP Guidelines on the Rights and Duties of the Opposition in
Parliament May 19 1999 (Unanimously adopted by the participants at the Parliamentary Seminar on Relations Between Majority and Minority Parties in African Parliaments Libreville (Gabon) 17-19 May 1999)
bull AWEPA European Parliamentarians for Africa OPS7 Parliamentary Gender Handbook South Africa 2001 (found at httpwwwawepaorgdownloadsOPS07-_Parliamentary_Gender_Handbook-_South_Africapdf
Free Elections of Legislators
bull Venice Commission Opinion 2502003 Report on Electoral Systems - Overview of Available Solutions and Selection Criteria Adopted by the Venice Commission at its 57th Plenary Session CDL ndash AD(2004)003 (found at httpvenicecoeintdocs2004CDL-AD(2004)003-easp )
bull Venice Commission Opinion 2392003 Comments on the Draft Law of the Chechen Republic on Elections to the Parliament of the Chechen Republic CDL (2003)021rev (found at httpvenicecoeintdocs2003CDL(2003)021rev-easp )
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Resolution 1320 (2003) httpassemblycoeintDocumentsAdoptedTextTA03ERES1320htm
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Document 9267 15 October 2001
36
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
The PTAS emerged after a thorough review of international and regional governmental and non-governmental declarations standards guidelines and standards (cited in Annex 2) This review included in-depth analysis of relevant papers studies country and regional surveys and best practices including the work of Parliamentary Associations such as the Commonwealth Parliamentary Association the Canadian Parliamentary Centre the European Parliament and the Inter-Parliamentary Union IFES is now refining the framework in close consultation with a number of these organizations as well as the Consumer Rights Commission of Pakistan where we are developing a report for possible replication throughout the region IFES also reviewed the considerable research and experience of a number of governmental institutions such as the World Bank the National Democratic Institute UNDP USAID the OSCE and the OECD The PTAS are not intended to duplicate the work undertaken by these organizations and others Rather they constitute an attempt to identify consensus Standards which should be found in any democratic Parliament and to present them in a systematic framework Thus the PTAS can be used as the backbone for drafting annual country-specific SOP Reports The model framework for SOP Reports constitutes a component of the IFES Parliamentary Toolkit designed to help civil society and Parliament monitor report on and promote parliamentary transparency and accountability By reporting and monitoring progress against a core set of benchmarks and consensus Standards a SOP Report will assist a diverse range of civil society and governmental stakeholders to prioritize a parliamentary reform agenda in a systematic manner The SOP Report is intended to assess the effectiveness of Parliaments in emerging democracies but also to equip multiple civil society and governmental stakeholders with the information necessary to prioritize and implement parliamentary transparency and accountability reforms
The IFES PTAS and model SOP Framework are grounded in bull International and regional consensus Standards and best practices of
Parliamentary transparency and accountability bull Core international regional and constitutional obligations bull A general overview of the relevant country legal and institutional framework
c Multifaceted Methodology The model SOP framework is designed to lay out the standards and the methodology necessary to assess the transparency accountability and performance of Parliaments around the world against a set of core benchmarks grounded in international and regional best practices The framework captures consensus Parliamentary Transparency and Accountability Standards (PTAS) identified in a series of international and regional treaties declarations guidelines and practices related to the parliamentary structure and
10
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
responsibilities In identifying the PTAS and the framework we sought to include a variety of sources representing a broad consensus The sources are listed in annex Each of the consensus PTAS was disaggregated into qualitative and quantitative indicators5 Indicators designed to assess the level of compliance with each PTAS are a core element of the framework The use of indicators is necessary to obtain a clear picture of where improvements are needed and which achievements and shortcomings affect the Parliament These indicators are not designed to stigmatize countries in comparison to others While the use of a uniform framework and measurements based on indicators will allow for some degree of comparison each Parliament evolves in a set of country-specific circumstances Compliance with the PTAS within a given country-context is the objective of our endeavor Identifying the PTAS and disaggregating them into indicators is an evolving process Standards are slowly emerging as national stakeholders gather in the international arena in search of guidelines to improve independence and efficiency Like new standards emerging indicators can continuously be refined to clarify the contents of each PTAS Standards without indicators are empty concepts which can be interpreted in many different ways depending on the author of the report Indicators help define the PTAS and provide a concrete guide for the assessment of compliance The draft indicators are available in a separate attached document The framework is built around the need to implement and link up key reforms embedded in the PTAS Each country report is developed through a multifaceted methodology that incorporates an array of information resources necessary to assess the level of PTAS compliance (i) desk studies of all relevant laws institutions and international obligations (ii) analysis of existing best practices country studies and research (iii) interviews and surveys of experts and key stakeholders and (iv) analysis of the operation of Parliament in practice The PTAS and their accompanying indicators serve as the guideposts with which to measure implementation progress or regression on a periodic basis While all the PTAS are important and their relevance in the country context varies IFESrsquo working assumption for each report is that certain mutually supportive principles are essential to establishing the legal enabling environment necessary to build an independent accountable Parliament and a Rule of Law culture We also believe that for purposes of capturing global issues lessons learned model programs across borders it is also important for all country reports to uniformly cover a specific set of standards
5 We chose the term ldquoindicatorrdquo because is the most commonly used in the literature on similar topics and we recognize its value In fact we intend to describe and analyze the state and performance of the Parliaments through what can also be called ldquosearch questionsrdquo that will allow to look to the Parliaments uniformly Having indicators will bring coherence and systematization to the national SOP reports
11
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Compiling a National SOP Report The framework was created to serve both as (i) a tool for civil society to monitor parliamentary activity and identify spaces for improvement and participation and (ii) a tool for legislators to assess their own institution Each report should be compiled with the following in mind
Combining a civil society evaluation and a parliamentary self-evaluation will lead to a better report
Sharing information with civil society will be a first step towards strengthening collaborative partnerships between Parliament and the people
The indicators will provide two sorts of data (i) quantitative data such as how many legislators timing of elections number of commissions etc and (ii) qualitative data on the performance of Parliament through an analysis of the processes of parliamentary life and
The PTAS cover to three key aspects of parliamentary operations and activity transparency accountability and efficiency
Assessment of the level of compliance with each PTAS is guided by an examination of relevant laws and practices identified through a survey of legislation and interviews of key stakeholders There are three degrees of compliance
bull Formal compliance (laws and decrees) bull Compliance in practice (effective implementation of laws and decrees as well as
of constitutional and conventional principles) and bull Quality and integrity of the compliance in practice (fair implementation for all)
The Report outlines in the country context the legal and institutional framework within which the judiciary operates The indicators serve as guideposts for the analysis of the level of compliance with each PTAS This analytical process will lead to an overall judgment as to whether there is a ldquosatisfactoryrdquo ldquopartially satisfactoryrdquo or ldquounsatisfactoryrdquo JIP compliance with the possible nuance of ldquoimprovingrdquo or ldquoregressingrdquo and to present prioritized reform recommendations
2 Relevant International and Domestic Legal and Institutional Framework
a International and Regional Obligations IFES has examined various documents relating to the relevant international and regional governmental and non-governmental declarations Standards best practices and guidelines on issues of parliamentary independence transparency and accountability Each annual country-specific SOP Report should present a list of relevant applicable international and regional obligations including
Declarations on democracy and parliamentary independence and best practices guidelines and Standards by international and regional Parliamentary
12
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Associations eg the Commonwealth Latimer House Standards the IPU Declaration on Democracy
International and regional human rights treaties and human rights court and commission case law eg the Universal Declaration of Rights the International Covenant on Civil and Political Rights the UN High Commission on Human Rights Resolution 200047 and
Non-governmental guidelines
b Constitutional Standards Each annual country-specific SOP Report should outline the constitutional Standards related to the separation of powers and parliamentary independence including
The guarantees of parliamentary independence lawmaking powers and other key Standards
The roles of parliamentary committees and of party caucuses The powers to develop amend or review budget and levy taxes The power to question Ministers hold hearings conduct investigations and call
witnesses The power to appoint andor confirm candidates to high-level positions in the
other branches of government The power to access information about government activities and programs6
c Country Legal Framework
In presenting the legal framework each annual country-specific SOP Report should include a review of the relevant applicable legislation and regulations affecting parliamentary transparency and accountability such as
The institutional structure of the Parliament Standing Rules of Order Parliamentary internal regulatory framework Access to information legislation Anticorruption legislation Political party campaign financing regulations and Parliamentary Codes of Ethics and conflict of interest rules
d Country Institutional Framework
In presenting the institutional framework each annual country-specific SOP Report should present a review of the relevant institutional characteristics affecting the Parliament such as
Intra-parliamentary structures bicameralunicameral Committees support services etc
6 USAID Handbook on Legislative Strengthening page 15
13
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Extra-parliamentary structures and governmental relationships Ombudsman political parties Ministry of Justice civil society organizations with watchdog role and
Oversight mechanisms
3 Assessment of the Level of Compliance with the PTAS For each of the PTAS this Model Framework for an annual SOP Report will present
bull Guidelines based on international and regional standards and best practices and
bull Indicators to monitor the level of compliance or non-compliance PTAS1 Independence of Parliament
Institutional Independence Separation of power Standards mandate a Parliament independent from the other two branches of government the Executive and the Judiciary This independence must translate itself into freedom from external pressure and interference In the exercise of its functions Parliament should be subject only to the Constitution and the law CLHP ECOWAS-P UPA-Res00
The institutional independence of Parliaments rests in the doctrine of separation of powers This doctrine is widely accepted internationally as a tenet of democratic societies and is now formally recognized in the Constitutions of most countries7 The separation of powers is either expressly mandated in the Constitution or a document having constitutional value or it is found in the practical organization of the three powers8
Parliament must also be free to legislate and introduce legislation otherwise it is relegated to a rubber-stamping institution for the Executive Finally Parliament must be entrusted with the freedom to organize itself to decide on its own rules of procedures and the proceedings for parliamentary bodies The principle of independence has broader implications Indeed it is now agreed that independence must be recognized to not only Parliament as an institution but also to legislators in the exercise of their functions Both the institution and its members must be free from undue interference and external controls emanating of the other branches of government the Executive and the Judiciary as well as from forces within society such as political parties the private sector the media and others Indeed interferences would
7 ASGP Report dated September 1998 by Michael Couderc The Administrative and financial autonomy of Parliamentary Assemblies page 1 (found at wwwasgpinfopublicationshtm ) The report states that exceptions to this general rule appear the Cyprus Kenya and Switzerland Parliaments 8 Ibid Most countries now have adopted Constitutions but there are some noteworthy exceptions such as the United Kingdom
14
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
render impossible the exercise of the core functions of Parliament lawmaking and oversight In order to be independent legislators must be able to discharge their duties without fear for their physical security or the well being of their families and staff This principle requires the State to provide security services for legislators and to secure the House of Parliament PTAS2 Free and Fair Parliamentary Elections
Parliamentary Elections The process of the election of members of Parliament should be open and transparent allowing for full citizen participation and free of coercion fraud or violence CLHG CSCE-CD ECOWAS-P IPU-DD IPU-Res03 UNHCHR UPA-Res00
The right of everyone to take part in the government of hisher country is expressed through the right to freely choose representatives Parliaments differ in the manner and types of election held to elect members There is an international consensus on the need to provide voting rights for all citizens on the basis of universal equal and secret suffrage so that all voters can choose their representatives in an environment conducive to equality and political competition The different systems include direct and indirect proportional versus single constituency The IPU Declaration on Democracy notes that holding free and fair elections which allow the expression of the peoplersquos will at regular intervals is a key element of democracy This Standard is seen as the best way of guaranteeing representative democracy Whatever the system used elections of legislators must be organized following an open and transparent process There must be full citizen participation without a suggestion of manipulation Legislators should not be required to run for office exclusively under the nomination of a Political party PTAS3 Transparent Adequate Political Financing and Compensation
Political finance The fight against corruption requires the adoption of clear rules for transparent political financing of legislators their campaigns and their political organizations need to be adopted These rules should include transparent compensation as well as the disclosure of campaign account income and assets of legislators Anticorruption Treaties Adequate compensation Legislators should receive adequate salaries and benefits which are comparable to those of equivalent positions in the other branches of government and private sector CLHG IPU-DD
The financing of any parliamentary candidate by his her political party should be transparent and there should be clear written rules and regulations on the types of political financing which are impermissible and illegal and those which are permitted and legal
15
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Clear rules for political party and campaign financing ndash these rules should foster financial transparency and integrity
bull Income and asset disclosure requirements bull Oversight by an independent authority (internal ie Parliamentary Committee or
external) and publication of information To the extent possible political parties and parliamentary candidates should be required to place all contributions above a certain limit in official bank accounts and use these accounts for all campaign expenditures Official bank accounts are accounts which are fully documented and disclosed Disclosure requirements should cover all income assets and expenditures related to the campaign and should be made to an independent official agency Uniform and reliable software will help monitor all income and expenditure during political campaigns The independent official agency should verify and report on the parliamentary campaign finance data Additional independent verifications and reports should be undertaken by civil society to avoid collusion A serious problem in many countries has been the use of parliamentary resources such as office space staff time or funds by incumbents This is a practice which should be seriously discouraged or even outlawed as it constitutes a misuse of funds by parliamentarians Legislators should also be adequately compensated for their work Compensation includes both their salary and any additional benefit granted to workers The adequacy of compensation will be assessed in comparison with the cost of living and the compensation-level of senior officials in the Executive judiciary and private sector Due to high turnover in parliamentary office an appropriate compensation level is important to attract high-quality people and to shield legislators from outside pressure Pension entitlement by virtue of office is a widely recognized right in most Parliaments independently of the diversity of the methods and procedures chosen to implement it A number of other countries in which no recognized pension scheme currently exists for Legislators have indicated that this subject is currently under review (Egypt Lesotho Nigeria Thailand) The great majority of legislators today benefit from social security (sickness maternity invalidity death and industrial injury insurance) coverage while in office This is for the most part organized within the framework of the common labor rights legislation of each country9 Transparency regarding all amounts received by legislators as compensation is necessary to promoting parliamentary accountability and ethics Legislators and if possible their dependents should be required to disclose all their incomes assets and relevant interests to an independent official agency The public should have an opportunity to access information about the salaries and other benefits of the legislators whom they have elected Like with parliamentary campaign finance uniform and reliable software will
9 Helene Ponceau AGSP Report April 2001 This report is based on a questionnaire of the Association of General Secretaries of Parliaments approved at the Berlin session in October 1999 and sent to 56 countries
16
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
help monitor the disclosures and verification and reporting by the independent official agency as well as civil society will foster more transparency and accountability PTAS4 Representative Parliament
Broad-Based Representation An inclusive fully representative Parliament across gender ethnicity political affiliation religion etc is one of the main tenets of a democratic society CLHG CSCE-CD ECOWAS-P IPU-GD IPU-Res03 UNHCHR UPA-Res00
There is increasing consensus at the international level that democratic institutions must be representative of the diversities of society Parliament should therefore be composed of a broad cross-section of society including members of different genders ethnicity political affiliation religion etc Diversity in institutional membership echoes the Standards enshrined in the numerous conventions against discrimination which have been ratified in the past decades10
A broad-based representative Parliament will contribute to the promotion of the right of everyone to take part in government and of all interests to be given expression As noted by the IPU in its Declaration on Democracy ldquoDemocracy is founded on the right of everyone to take part in the management of public affairs it therefore requires the existence of representative institutions at all levels and in particular a Parliament in which all components of society are represented and which has the requisite powers and means to express the will of the people by legislating and overseeing government actionrdquo Some countries have taken additional steps to encourage participation by marginalized groups such as women or minorities For example in Pakistan quotas for gender participation were established 33 quota in direct elections (local) and 17 quota in indirect national elections (legislature and senate) Women membership in the legislature is currently at 21 slightly above the mandatory quota PTAS5 Security of Tenure
Security of tenure ldquoSecurity of Members during their Parliamentary term is fundamental to Parliamentary independencerdquo CLHG CSCE-CD
The legitimacy of Parliament rests on the fact that its membership is rooted in the will of the people who chose representatives in periodic elections In order to guarantee that their will is respected the term of office of legislators must be respected Certain classes of legislators may have life terms (cite House of Lords other examples) but most legislators are elected for fixed terms Exceptionally the tenure of legislators may be terminated but such mechanisms must be narrowly defined and follow clear transparent
10 See for example the International Convention on the Elimination of All Forms of Racial Discrimination [CERD] (1965) and the International Convention on the Elimination of All Forms of Discrimination against Women [CEDAW] (1979)
17
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
legal procedures This may be the case for immunity waivers in case of criminal offences committed by a legislator or of dissolution of parliament by the executive The CLHG lists three requirements to protect the security of tenure of legislators in its guideline number 2
ldquo (a) The expulsion of members from Parliament as a penalty for leaving their parties (floor-crossing) should be viewed as a possible infringement of membersrsquo independence anti-defection measures may be necessary in some jurisdictions to deal with corrupt practices
(b) Laws allowing for the recall of members during their elected term should be viewed with caution as a potential threat to the independence of members
(c) The cessation of membership of a political party of itself should not lead to the loss of a Memberrsquos seatrdquo
PTAS6 Freed Parliamentary Speech
Freedom of Speech The true expression of democracy lies in the right to free speech This should not just be a right guaranteed to the general public but legislators also must be free from censorship and defamation laws that restrict the right to criticize government thereby curtailing parliamentary oversight of the Executive Banjul CLHG CLHP CPA-Media CPA-Rec03 ECHR IACHR ICCPR IPU-GD IPU-DD UPA-Res00
The International Covenant on Civil and Political Rights (ICCPR) expressly states in article 19(1) that everyone shall have the right to hold opinions without interference Article 19(2) guarantees the right to freedom of expression and broadens it to include the freedom to seek receive and impart information and ideas of all kinds regardless of frontiers either orally in writing or in print in the form of art or through any other media of choice These rights are not absolute and may be restricted under specific circumstances as outlined in article 19(3) Most international human rights instruments provide that every individual shall have the right to express and disseminate his opinions within the law Other instruments recognize the right of freedom of expression as an inalienable fundamental right Free speech rights should entitle legislators to
bull Put written and oral questions to members of the government and receive answers to these questions The opposition in Parliament should also be entitled to speaking time proportionate to its numbers in sittings set aside for oral questions
bull Request documents and receive such documents in a timely manner National security concerns constitute one of the main reasons why governments restrict freedom of expression Freedom of expression should not be restricted on public order or national security grounds unless there is a real risk of harm to a legitimate interest and there is a causal link between the risk of harm and the expression
18
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Defamation laws are a serious concern for legislators when seeking to protect or exercise their freedom of expression rights Legislators should be free from improper pressures in the discharge of their functions These improper pressures can be in the form of criminal laws and the use of defamation proceedings restricting legitimate criticism of the government by legislators Criminal defamation laws need to be carefully reviewed Similarly the defense of qualified privilege with respect to reports of parliamentary proceedings should be drawn as broadly as possible to permit full public reporting and discussion of public affairs and offence of contempt of Parliament should be drawn as narrowly as possible There is a need to achieve a balance between the free speech rights of Legislators vis-agrave-vis the government and the publicrsquos right of free speech vis-agrave-vis the Parliament PTAS7 Participatory Transparent Law and Decision-Making Processes
Parliamentary Processes Parliament must be open transparent and accountable to the public in its lawmaking and policymaking functions In this regard the free flow of information from Parliament to its members and the public as well as avenues for effective public participation is fundamental to a democratic Parliament CLHG CLHP ECOWAS-P IPU-GD IPU-Res03 UPA-Res00
Law and policy-making are the primary responsibilities of Parliament as the elected body representing the people The Executive may initiate laws and policies and the Judiciary may be constructive and purposive in the interpretation of legislation neither must be seen as usurping Parliamentrsquos legislative function Ultimately only the Parliament is entitled to adopt laws for the country Consequently legislators should be encouraged to adopt national policies and laws through open processes which allow for consultation and citizen participation Parliamentary processes must be not only transparent but also participatory Participation starts with the right to form democratic political parties and entails the need for transparent and fairness in the electoral process including through appropriate access to funds and free independent and pluralistic media Transparent decision-making and law-making processes create ownership in governance by the public which is necessary in a democratic society The Parliament should implement efficient mechanisms to allow and encourage public participation in the different stages of the law making process From the moment that Parliament receives a bill from the Executive or from the moment a bill is drafted by a committee civil society representatives should have a voice and be consulted Civil society participation will add a fresh look and ensure a better response to community needs Legislators will benefit from input and the resulting laws will better reflect real needs and local buy-in Committees meetings and parliamentary sessions should be usually open to the public Information on meetings and final decisions should be broadly disseminated Parliament should be consulted by the government on important questions affecting the life of the nation war national security human rights economic policy social rights
19
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
labor markets etc This will enable the opposition to take part in the debate and provide its input to the decision-making process The opposition must also be able to raise matters regarding the Constitution with a view to its amendment PTAS8 Transparent Oversight of the Executive
General Oversight One of the core functions of Parliament is to provide a continuous check on the activities of the Executive In performing this oversight function Parliament must follow transparent procedures and respect strict standards of accountability CLHG CLHP IPU-GD UPA-Res00
The separation of powers not only means that each branch of government is independent from the other two but also that mechanisms of checks and balances are in place to avoid abuses and encroachments To that end the Parliament is traditionally entrusted with the responsibility of overseeing the activities of the Executive The Executive as Parliament must follow high standards of accountability transparency and responsibility in the performance of its duties Parliament is responsible for ensuring that these standards are met and for providing adequate mechanisms to challenge the Executive for failure to meet these standards Oversight may take place in the form of periodic questions to the government in a parliamentary sessions or investigations undertaken by parliamentary commissions or votes of confidencenon-confidence Parliamentary procedures should be transparent and allow for public scrutiny Governments should be required to announce publicly within a defined time period their responses to committee investigations PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
Budget Design and Oversight Parliament is traditionally responsibly for adopting the national budget There is a growing international consensus that Parliaments around the world need to make maximum use of existing processes for exerting influence in national budget control scrutiny and accountability IPU-Res03 UPA-Res00
Parliament must have a certain amount of authority to affect the budget otherwise its role in establishing national policy and representing citizen interests will remain limited11 Involvement should extend beyond budget approval and include budget formulation tracking and accountability Unless it has substantial involvement beyond approval Parliament will do no more than rubberstamp the Executiversquos budgetary and policy decisions To promote more accountability in government Parliament should be entitled to monitor income and expenditures especially how effectively government programs and activities are administered
11 USAID Handbook
20
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Parliamentary procedures should therefore provide adequate mechanisms to oversee the Executive including accountability mechanisms targeted at budget development effective money flows budget implementation etc This can be achieved by allowing independent audits of public accounts establishing that the opposition will chair the Public Accounts Committee or a combination of the mechanisms andor others PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
International Obligations and Parliament International treaties carry a general obligation for signatory States to ratify and to adopt all necessary measures for their implementation Both functions should fall on Parliament CLHG CLHP IPU-Res03
The need for governments to respect their international law obligations has become more urgent post World War II particularly as inter-State conflicts are on the rise Legislators as law makers and representatives of the people need to be more proficient in their knowledge and understanding of human rights and humanitarian law instruments including those relating to economic social and cultural rights In a 2000 Declaration the Conference of Presiding Officers of National Parliaments outlined the four inter-connected levels of intervention for Parliaments in relation to international obligations
bull ldquoInfluencing their respective countriesrsquo policy on matters dealt with in the United Nations and other international negotiating forums
bull Keeping themselves informed of the progress and outcome of these negotiations bull Deciding on ratification where the Constitution so foresees of texts and treaties
signed by governments and bull Contributing actively to the subsequent implementation processrdquo12
Parliaments play a central role in adjusting domestic law to international standards According to the legal systems of many countries Parliaments are not only the bodies entitled to ratify international obligations but also the ones responsible for adopting the necessary implementing legislation Many international treaties particularly those related to human rights the environment gender and corruption require that States parties adjust their national legislation to match the minimum standards laid out in the treaties For example United Nations Convention against Corruption (2004) is explicitly applicable to legislators Indeed its scope covers ldquopublic officialsrdquo who are defined as including any person holding parliamentary office in a State party Compliance with this provision and others often requires the adoption of legislation Conventions generally include explicit requirements for the adoption of new laws by national Parliaments
12 Conference of Presiding Officers of National Parliaments organized by the IPU in cooperation with the UN Declaration adopted by at UN Headquarters New York 30 August ndash 1st September 2000
21
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The United Nations Convention against Corruption (2004) establishes that each State party should develop and implement anti-corruption policies
bull The Inter-American Convention against Corruption (1996) requires in its article VII the adoption by State parties of all ldquonecessary legislative or other measures to establish as criminal offences under their domestic law the acts of corruption described in Article VI(1) and to facilitate cooperation among themselves pursuant to this Conventionrdquo
As guardians of the Constitution legislators have an obligation to protect the human rights of people This obligation is reinforced by the requirement to comply with international and regional human rights treaties This obligation to protect and legislate in support of human rights should lead to increased oversight by Parliament in areas in which the Executive has traditional exercised blanket discretionary powers such as national security There has been a growing consensus on the need to shift focus away from military security to broader factors of ldquohuman securityrdquo such as environmental economic social as well as political13 PTAS11 Transparent Efficient Parliamentary Committees
Parliamentary Committees The legislative and oversight functions of Parliament are actually undertaken by Parliamentary Committees the powers and structures of which differ from country to country It is essential for these committees to be properly structured and well funded to enable them to be effective in discharging Parliamentrsquos legislative and policy making functions CLHG CPA-Media CPA-CP CPA-Rec03 CPA-REc04 IPU-GD
Committee structures may vary depending on the size of Parliament its constitutional mandate and other country-specific factors However all committees should have adequate resources both human and financial and have the power to summon witnesses including ministers as necessary to fulfill their mission Committee meetings should be generally open and allow for public attendance and participation Committee reports should be published and made readily available to both the government and the public PTAS12 Adequate Independent Parliamentary Budget
Parliamentary Budget It is the duty of the State to provide adequate resources to enable Parliament to perform its functions properly CLHG
Parliamentary independence and effectiveness to carry out its functions is eroded when Parliament lacks control over its own budget or has inadequate finances to manage its committees and carry out various other internal administrative duties14 Parliament 13 IPU and the Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born Philipp H Fluri amp Anders B Johnsson page 16 (Found at httpwwwdcafchpublicationse-publicationsHandbook_eng ) 14 Indeed without adequate resources for the training of new members secretarial office library and research facilities drafting assistance for bills etc Parliament is handicapped
22
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
should be able to design its own budget based on its needs and negotiate with the Executive the amount allocated to it from the national budget There should be sufficient autonomy over these finances by Parliament to protect the institutional independence and integrity It has been suggested that an all-party committee of members of Parliament should review and administer the parliamentary budget Moreover the parliamentary budget should not be subject to amendment by the Executive15 It is the Parliamentary budget that inter alia funds training of parliamentary support staff ensures that library and research facilities are properly and adequately equipped guarantees that legislators have the necessary support staff to undertake their functions and funds security services PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
Parliamentary Conduct Legislators are required to exhibit and promote high standards of professional conduct in order to reinforce public confidence in Parliament which is fundamental to its independence and legitimacy in a democratic society ANTICORRUPTION TREATIES CLHG CLHP
The CLHG outline three components for a comprehensive ethical framework applicable to Parliament
bull Conflict of interest rules and codes of conduct requiring disclosure of interests bull Access to ethics advisors and bull Restrictions on lobbying and interest group influence
Ethical professional conduct requires legislators not only to conform to high standards of ethics in practice but also to avoid the appearance of impropriety The need for financial transparency by public officials has increasingly gained acceptance as anti-corruption issues have become global Legislatorsrsquo professional and private conduct must be subject to some system of internal codified rules regulating standards of behavior and making disclosure of personal income and assets mandatory Other professions have codes of ethics regulating membersrsquo behavior for example doctors and lawyers Ethical rules should include conflict of interest rules outlining incompatible professional activities or interests such as holding another governmental office and restricting certain ventures such as participation or shareholding in corporations These rules should also require the submission to an independent oversight authority of disclosures of income assets and interests These disclosures should then be publicized for broader ethical monitoring by the public Disclosure of interests will go a long way in establishing institutional integrity trust and respect by the public and effective discharge of duties on the part of legislators as they are fully conscious of the ethical parameters which govern them as a profession 15 Commonwealth Latimer House Guidelines Number VII6
23
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
Discipline Just as other professionals have quasi-judicial bodies to regulate discipline and even remove members there should also be an internal or external authority to sanction legislators conduct investigations and hearings and adopt findings and conclusions There should also be a clear appeals process available to any member aggrieved by a decision CLHG
ldquoThe Committee recommends
bull The House should appoint a person of independent standing who should have a degree of tenure and not be a career member of the House of Commons staff as Parliamentary Commissioner for Standards
bull The Commissioners should have independent discretion to decide whether or not a complaint merits investigation or to initiate an investigationrdquo Recommendations of Committee on Standards in Public Life First Report16
Just as any other citizen legislators should be bound by the law In cases when legislators commit acts contrary to the laws and regulations they expose themselves to disciplinary action and prosecution Moreover there are special conditions only for the status of being public servants that they must observe such as compliance of high standards of ethics assets disclosure and conflict of interest rules There must be a clear system of sanctions for non-compliance with the laws and regulations The disciplinary process in representative bodies is a very sensitive one It should not be used to punish the opposition or dissidents In this sense the existence of an objective internal or external body to sanction legislators is essential to the proper operation of the system An additional problem represents the immunity that all legislators should have The immunity is a protection to ensure that legislators can perform their duties without interference it should not however be used as an excuse to avoid sanctions for common misconducts or crimes PTAS15 Parliamentary Immunity
Immunity Legislators shall enjoy personal immunity from civil suits and criminal prosecution for acts and omissions in the exercise of their functions CLHG ECOWAS-P IPU-GD
Legislators should enjoy some degree of immunity from prosecution or civil suit for acts and omissions in the exercise of their functions However no one should be exempted from accountability The requirements of parliamentary independence from political institutional and societal forces must be balanced against those of public accountability
16 These recommendations were implemented by the House of Commons England A Standing Order setting up the office of Parliamentary Commissioner for Standards was set up on 6 November 1995
24
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Consequently the immunity regime should be strictly regulated especially through the recognition of
bull Clear limited scope of immunity (for example it should not cover acts performed outside of office nor common crimes) and
bull Possibility of waivers in clearly defined cases and following a transparent procedure
Regarding the scope of parliamentary immunity its historical roots lie with the freedom of speech of legislators as recognized in the British and American Bills of Rights The underlying justification for immunity is that it allows legislators to fulfill their mandate without fear of retaliatory measures on account of their positions or votes Legislators must therefore be protected against arrest and detention or civil and criminal prosecution for any acts performed or words spoken while in office or in the conduct of parliamentary affairs Legislators should not be subject to any form of inquiry detention or legal proceedings in respect of opinions expressed or votes cast by them in the performance of their duties Immunity should not be limited to acts or speech within the parliamentary facilities Rather immunity must be interpreted as broadly as possible For example the members of the European Parliament enjoy immunity in their own States in the territories of other Member States and whilst traveling to and from the place of the meeting of the European Parliament However immunity should not be absolute The immunity regime applicable to legislators should provide for the possibility of waiving this immunity in limited circumstances in the interests of justice Immunity is not a privilege benefiting individual members but rather a guarantee protecting the independence of Parliament and its members in their relations with other governmental and private bodies17 Parliamentary privileges must be clearly defined and established by law These immunities are not meant to place legislators above the law but to protect them from possible groundless proceedings or accusations that may be politically motivated The grounds and terms for lifting of immunity must be clearly specified by law so that this may only occur following a decision taken by a competent body on a non-partisan basis PTAS16 Parliamentary and Public Access to Information
Access to Information Legislators as well as the general public must have access to accurate timely information and data including legislation parliamentary procedures governmental data and relevant research data Banjul CLHG CLHP CPA-Media CPA-CP CPA-Rec03 CPA-Rec04 CSCE-CD ECHR IACHR ICCPR IPU-DD IPU-GD IPU-Res03 UNHCHR
17 ECPRD Parliamentary Codes of Conduct in Europe by Veronica Williams November 2001
25
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
The free flow of information is essential in a democratic society Access to information should not only be viewed in relation to the media and civil societyrsquos right to access governmental documents but also in relation to the legislatorsrsquo right to access relevant research and information from the government and other sources Access to information can be facilitated by the use of databases networks and information technology in general The media should be free to report the activities of Parliament and the public should be able to attend parliamentary meetings and Committee sittings where appropriate The CPA encouraged Parliaments ldquoto provide live coverage of their proceedings on a dedicated channel andor onlinerdquo in its Recommendations for an Informed Democracy The environment should be made conducive for civil society organizations the public and multiple stakeholders to exchange information with legislators to enable Parliament to effectively discharge its duties of oversight policy making law making representation and recruitment This could be achieved through the establishment of a public information office within Parliament Bills and Acts of Parliament must be published regularly and should be freely available to the public Indeed the CSCE Copenhagen Document notes that ldquolegislation adopted at the end of a public procedure and regulations will be published that being the condition of their applicability Those texts will be accessible to everyonerdquo In its recommendations following a conference on ldquoWhat Parliament and Legislators Can Dordquo the CPA noted that access should be granted ldquoto basic information and documents produced by the parliamentary process such as access to parliamentary libraries the provision of on-line information and the distribution of Parliamentary speeches promptly after delivery in the Houserdquo18 The type of information available to the public and to legislators should include
bull Attendance and voting records bull Registers of membersrsquo interests bull Bills and Acts of Parliament bull Procedural rules bull Codes of Conduct
Legislators should also have access to parliamentary archives as well as all necessary information and data from the government The IPU Guidelines note that ldquolegislators from the majority and the opposition alike are equally entitled to receive in a timely manner the same information from the governmentrdquo
18 Parliament and The Media Building an Effective Relationship 15-18 February 2000 [CPA-Media]
26
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS17 Adequate Facilities Equipment and Technology
Adequate Infrastructure Parliament should have at a minimum the necessary infrastructure and technical assistance including research capacity adequate facilities and equipment to enable it to carry out its basic democratic functions CPA-Rec03 CPA-Rec04 IPU-GD
The working conditions of legislators must be adequate and reflect the importance of Parliament as a key democratic institution Parliament must be housed in one or more buildings with the necessary equipment and office space for legislators and their staff including tables chairs and all other necessary office equipment Adequate resources must be allocated to Parliament andor legislators and support services to maintain and equip their facilities Some of the facilities and services which can be reasonably expected to be available to legislators include
bull Offices bull Secretarial services (general andor individual) bull Library and archive facilities bull Research services (to which requests for information can be submitted) and bull Information technology
In its 2002 Report the CPA Study Group highlights the importance of information technology including ldquoimproved networking between legislators and constituents among legislators between legislators and Parliament and better information sharing and record keepingrdquo Information technology can also facilitate access to information and best practices on the broad range of issues which fall under the purview of parliament including human rights socioeconomic rights and gender issues The use of information technology could include the development of intra-parliament networks and of searchable public databases on parliamentary activity as well as the increased access to outside information for legislators PTAS18 Professional Training for Legislators and Staff
Adequate Training Resources must be allocated to training programs both for new legislators and for the continuing education of sitting legislators These programs must be geared towards developing the skills required by parliamentary functions as well as exposing legislators to substantive issues and developments affecting their legislative oversight and representative functions CLHG CPA-CP
Training should be geared towards providing legislators with the specific skills and knowledge necessary to fulfill their parliamentary functions Legislators just like other professionals need continuing education programs and professional development to keep them updated on emerging democracy and governance trends Equally significant is the need to properly train new or incoming legislators on the constitutional rights and obligations of Parliament internal procedures and order of business ethics etc
27
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS19 Adequately-Compensated Research Library and Committee Staff
Support Staff ldquoParliament should be serviced by professional staff independent of the regular public servicerdquo CLHG IPU-GD
Parliamentary support staff in sufficient numbers and with the appropriate professional skills is crucial for an effective institution Parliamentary staff performs duties such as
bull Assisting in bill drafting bull Tracking the status of bills in the legislative process bull Maintaining and in some cases designing web sites bull Producing and drafting documents about the legislature bull Undertaking accounting and various other clerkship duties
High turnover of parliamentary staff requires more money for attracting new competent staff and providing them with the necessary training It is important to ensure that staff is reasonably well compensated to attract good candidates for the job who will retain their jobs longer When vacancies are not rapidly filled parliamentary work can be undermined resulting in misplacement of documents errors and overall inefficiency Parliamentary staff should be independent from other public service offices Their selection promotion and discipline must be clearly defined and reflect merit-based criteria and transparent processes Professional development opportunities and training should be offered to them The longer support staff stay in Parliament the more it benefits the institution especially as it may provide new legislators with the information and support necessary to adapt to their new functions faster
28
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 1 List of Acronyms
Banjul African Charter on Human and Peoplersquos Rights (1986) CEDAW Convention on the Elimination of All Forms of Discrimination
against Women ICERD Convention on the Elimination of All Forms of Racial
Discrimination CLHP Commonwealth Latimer House Principles on the Accountability and Relationship between the Three Branches of Government (2003) CLHG Commonwealth Latimer House Guidelines (1998) CPA Commonwealth Parliamentary Association CPA-Media Parliament and the Media Building an Effective Relationship
CPA (2000) CPA-CP Capetown Principles for an Informed Democracy CPA (2002) CPA-Rec03 Recommendation for an Informed Democracy CPA (2003) CPA-Rec04 Recommendation for Transparent Governance CPA (2004 CSCE Conference on Security and Cooperation in Europe CSCE-CD Copenhagen Document CSCE (1990) CSCE-MD Moscow Document CSCE (1991) ECHR European Convention on Human Rights and Fundamental
Liberties (1951) ECOWAS-P Protocol ASP11202 on Democracy and Good Governance
ECOWAS (2001) IACHR Inter-American Convention on Human Rights (1978) ICCPR International Covenant on Civil and Political Rights (1966) IPU Inter-Parliamentary Union IPU-DD Universal Declaration on Democracy IPU (1997) IPU-GD Guidelines and Duties for the Opposition in Parliament IPU (1999) IPU-Res03 Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World IPU (2003) UPA Union des Parlementaires Africains [African Parliamentary Union] UPA-Res00 Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence Building between Peoples and their Institutions (2000) UNHCHR United Nations High Commissioner for Human Rights Resolution
200047
29
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 2 Bibliography Governmental Documents
bull Commonwealth Latimer House Standards bull Commonwealth Latimer House Guidelines bull Commonwealth Parliamentary Association (CPA) Parliament and the Media
Building an Effective Relationship bull English Bill of Rights 1689 bull Inter-Parliamentary Union (IPU) Guidelines bull ECOWAS Protocol on Democracy and Good Governance Supplementary to the
Protocol Relating to the Mechanism for Conflict Prevention Management Resolution Peacekeeping and Security
bull Protocol on the Privileges and Immunities of the European Communities bull ECPRD Parliamentary Codes of Conduct in Europe (Compilation by the Council
of Europe Parliamentary Assembly) bull IPU Universal Declaration on Democracy bull International Covenant on Civil and Political Rights (ICCPR) bull The African (Banjul) Charter on Human and Peoplersquos Rights bull The Johannesburg Standards National Security Freedom of Expression and
Access to Information bull Document of the Copenhagen Meeting of the Conference on the Human
Dimension of the CSCE 1990 bull Declaration of Principle on Freedom of Expression in Africa bull Union des Parliamentaires Africains on the Role of Parliaments in the
Consolidation of Democracy and Confidence-Building Between the Peoples and their Institutions 23rd Conference in Addis Ababa 24-25 November 2000
bull The Harare Declaration bull IPU Conference of Presiding Officers of National Parliaments bull International Convention on the Elimination of All Forms of Racial
Discrimination bull Convention on the Elimination of All Forms of Discrimination Against Women bull Report of the Ethics Reform Task Force on H Res 168 105th Congress 1st
Session 17 June 1997 (found at httpwwwhousegovethicsethicsreporttxt ) bull Parliamentary Standards and the Wicks Committee Report Standard Note
SNPC2200 24 June 2003 by Ruth Winstone (found at httpwwwparliamentukcommonslibresearchnotessnpc-02200pdf )
bull Committee on Standards in Public Life First Report Cm 2850 Volume 1 11 May 1995 (found at httpwwwarchiveofficial-documentscoukdocumentcm282850285002pdf )
bull Committee on Standards in Public Life Sixth Report Reinforcing Standards Cm 4557 Volume 1 January 2000 (found at httpwwwpublic-standardsgovuk )
bull Committee on Standards in Public Life Eighth Report Cm 5663 Standards of Conduct in the House of Commons November 2002 (found at httpwww-standardsgovukreports8th_reportreporteighthreportpdf
bull African Union Declarations and Decisions
30
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The African Commission Declaration of Principle on Freedom of Expression in Africa
bull United Nations High Commissioner for Human Rights Resolution 200047
Non-Governmental Documents Transparency and Accountability of the Parliament
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Anti-Corruption Commissions Panacea or Real Medicine to Fight Corruption By John Heilbrunn 2004
bull PREM Notes Public Sector No 74 October 2002 Strengthening Oversight by Legislatures (found at httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull PREM Notes Public Sector No63 March 2002 Strengthening Legislatures Implications from Industrial Countries (found at httpwww1worldbankorgpremPREMNotespremnote63pdf )
bull WBI Working Papers Building a Clean Machine Anti-Corruption Coalitions and Sustainable Reforms by Michael Johnston and Sahr J Kpundeh 2002
bull IFES IFES Parliamentary Toolkit Transparency and Accountability Tools for Civil Society
bull PREM Notes Public Sector No59 October 2001 Features and Functions of Supreme Audit Institutions
bull World Bank Institute Improving Governance and Controlling Corruption Towards a Participatory and Action-oriented Approach Grounded on Empirical Rigor October 2001
bull World Bank Towards Transparency in Finance and Governance by Tara Vishwanath and Daniel Kaufman September 6 1999
bull World Bank Institute Pillars of Integrity The Importance of Supreme Audit Institutions in Curbing Corruption by Kenneth M Dye and Rick Stapenhurst 1998
bull Association of Secretaries General of Parliaments (ASGP) Promoting the Work of Parliament Report by Mr Ian Harris Clerk of the House of Representatives of Australia19 Autumn 2000 (found at httpwwwasgpinfodiscussionshtmstudies)
bull USAID Handbook on Legislative Strengthening httpwwwusaidgovour_workdemocracy_and_governancegovhtml
bull Parliamentary Centre Canada Controlling Corruption A Parliamentarianrsquos Handbook httpwwwparlcentcaindex_ephp
bull Parliamentary Centre Canada Parliamentary Accountability and Good Governance httpwwwparlcentcaindex_ephp
19 This report contains a detailed analysis of the answers from a Questionnaire of how the public is provided information about the operation and work of Parliament The review was launched at the Conference of the Association of Secretaries General of Parliaments which was held in Autumn 2000 in Jakarta
31
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Center for Democracy and Governance February 2000 USAID Handbook on Legislative Strengthening
bull Parliamentary Centre Parliamentary Accountability and Good Governance A Parliamentarianrsquos Handbook
bull Parliamentary Centre Forum on Parliamentary Reform bull NEPAD Library Emerging Legislatures in Emerging African Democracies bull Commonwealth Parliamentary Association and World Bank Institute
Recommendations for Transparent Governance Conclusions of a CPA Study Group on Access to Information Accra Ghana 5-9 July 2004
bull GOPAC Parliamentarians Fighting Corruption A Conceptual Overview PCentrefsPCentreSProjectsParliamentary_RelationsGOPACWBI
bull International IDEA Democracy Assessment Questionnaire wwwideaintideas_work14_statedemocracy_assessmentpdf
bull NDI and UNDP Parliaments and Poverty Series Toolkit No1 Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Strengthening the Accountability Process and Parliamentary Reform A Report on the Parliamentary Roundtable Held in Bhurban Pakistan March 1-2 1997
Independence of the Parliament bull NDI Strengthening Legislative Capacity in Legislative-Executive Relations
Paper 6 httpwwwndiorgglobalpgovgovernanceasp bull Venice Commission Opinion on the Draft Proposal for Rules of Procedure of the
Assembly of the Republic of Macedonia by Georg Nolte July 5 2002 bull Venice Commission Report on the Referral of a Law Back to Parliament by the
Head of State November 15 1996 bull AGSP The Role of the Secretary General in the Administration of Parliament
Report by Mr Ugo Zampetti General Secretary of the Chamber of Deputies (Italy) October 2000 Review no 180
bull AGSP Constitutional and Parliamentary Information The Status of Parliamentary Groups
Parliamentary Immunity
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union Part Three Immunity in the European Parliament June 2001
bull Venice Commission Opinion 11995 Report on the Regime of Parliamentary Immunity CDL ndash INF(1996) 007 6496 (found at httpvenicecoeintsitedynamicsN_Opinion_efaspampL=EampOID=1 )
bull Venice Commission Supplementary Opinion on the Revision of the Constitution of Romania October 18 2002
32
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Venice Commission Draft Report ndash The Regime of Parliamentary Immunity April 29 1996
bull Venice Commission Questionnaire on Parliamentary Immunity prepared by Mr GW Maas-Geesteranus June 19 1995
Freedom of Parliamentary Speech
bull AGSP The Immunities of Members of Parliament Report prepared by Mr Robert Myttenaere September 1998
bull AGSP Position of Witnesses before Parliamentary Committees Report prepared by Mr Demaree JB Raval April 1997
Conflict of Interest amp Ethics
bull Parliamentary Affairs A Journal of Comparative Politics Volume 55 No 4 October 2002 Conduct Unbecoming The Regulation of Legislative Ethics in Britain and the United States by Robert Williams
bull Parliamentary Affairs A Journal of Comparative Politics Volume 52 No 3 July 1999 Parliament in the Age of Internet by S Coleman JA Taylor and W Van de Donk
bull European Centre for Parliamentary Research and Documentation (ECPRD) Parliamentary Codes of Conduct in Europe an Overview November 2001
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union June 2001
bull Research Paper Commissioned on behalf of The Committee on Standards in Public Life May 2002 The Regulation of Parliamentary Standards ndash A Comparative Perspective (found at httpwwwpublic-standardsgovukreports8th_reportreportresearchdoc
bull House of Representatives Resolution 168 on the Report of the Ethics Reform Task Force 18 June 1997
bull NDI Accountability Ethics and Transparency in Government Pakistan Study Mission to South Africa June 3 1997
bull NDI Report on Regional Consultative Workshops ndash Ethics Questionnaire August 1998
bull Council of Europe Steering Committee on Local and Regional Democracy (CDLR) Public Ethics at Local Level Model Initiatives Package November 25 2002
bull NDI Legislative Research Series Paper No 4 ndash Legislative Ethics A Comparative Analysis 1999
bull OECD United States Case Study ndash Ethics and Corruption The Management of Ethics and Conduct in the Public Service by Stuart Gilman December 1995
bull OECD Recommendations of the Council on Guidelines for Managing Conflict of Interest in the Public Service June 2003
33
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Sanction and Removal of Legislators bull Venice Commission Comments on the Draft Law of the Chechen Republic on
Elections to the Parliament of the Chechen Republic As Submitted to Referendum by Mr G Nolte March 23 2003
bull Venice Commission Opinion on the Draft Law on the Public Attorney (Ombudsman) of ldquoThe Former Yugoslav Republic of Macedoniardquo March 15 2003
bull Venice Commission Comments on the Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia by Ms Serra Lopes February 28 2003
bull Venice Commission Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia February 2003
bull WBI PREM Notes Public Sector Number 19 April 1999 Using an Ombudsman to oversee Public Officials
bull AGSP The Office of the Parliamentary Ombudsman March 1994 Salaries and Benefits of Legislators
bull AGSP The Social Protection of Parliamentarians Report by Mrs Helene Ponceau General Secretary of the Senate Quaestorrsquos Office [Havana Senate Treasurerrsquos Department] Review No 181 April 2001
Professional Development and Training
bull SADC Parliamentary Forum MPs Orientation Handbook ndash Professional Performance and Development httpwwwsadcpforgaboutindexasp
The Parliament and the Budget Cycle
bull OECD Development Centre Policy Brief No 22 Strengthening Participation in Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD May 2001 OECD Best Practices for Budget Transparency bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and
Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull ASGP The Administrative and Financial Autonomy of Parliamentary Assemblies Report prepared by Michel Couderc (France) adopted at the Moscow Session (September 1998)
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development The Legislature and the Budget by Frederick Stapenhurst 2004 httpwwwworldbankorgwbigovernanceparliament
34
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull WBI Working Papers Series on Contemporary Issues in Parliamentary
Development Parliaments and the PRSP Process by Scott Hubli and Alicia P Mandaville 2004
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull WBI PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull WBI PREM Notes Public Sector Number 74 October 2002 Strengthening Oversight by Legislatures
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull Commonwealth Parliamentary Association (CPA) The Parliamentarian 2002
Issue Two 179 Parliaments and Poverty by Ms Frannie A Lrsquoeautier bull Parliamentary Centre Canada and WBI and CIDA (with support from the
International Development Research Centre) Handbook on Parliamentarians and Policies to Reduce Poverty May 2001
bull Parliamentary Centre Cambodia Focus Group on Parliamentrsquos Role in the Budget Process Analysis
bull Parliamentary Centre Indicators of Parliamentary Performance in the Budget Process
bull The International Budget Project Legislatures and Budget Oversight httpwwwinternationalbudgetorgthemesLEGindexhtm
bull NDI Legislatures and the Budget Process An International Survey 2003 httpwwwndiorgglobalpgovgovernanceasp
bull NDI Parliaments and Poverty Series Toolkit No1 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Parliaments and Poverty Series Toolkit No2 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives
35
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull NDI Parliaments and Poverty Series Toolkit No3 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative Public Outreach on Poverty Issues
bull UNDP IPU WBI and UNIFEM Parliament The Budget and Gender httpwwwundporgdpapublicationsgovernancehtml
bull IMF Finance amp Development Magazine December 2002 Volume 39 Number 4 A Bigger Role for Legislators
bull Case Study PRSPs and Parliament by Stephen Langdon bull Ministry of Foreign Affairs Netherlands March 2002 Economics and Finance
(b) Budget Impact Assessments (Gender Budgeting) bull Cagatay N M Keklik R Lal and J Lang (2000) ldquoBudgets As if People
Mattered Democratizing Macroeconomic Policiesrdquo SEPED Conference Paper Series Number 4 May
bull Navarro Z (1998) ldquoParticipation Democratizing Practices and the Formulation of a Modern Policy ndash the Case of ldquoParticipatory Budgetingrdquo in Porto Alegre Brazil (1989-1998) Development Sage London Volume 41 number 3 September
Representative and Inclusive Parliament
bull Commonwealth Parliamentary Association (CPA) Commonwealth Women Parliamentarians Into The Democratic Mainstream August 2002
bull CPA EnGendering Development and Democracy May 2004 bull IPU and UNDP Guidelines on the Rights and Duties of the Opposition in
Parliament May 19 1999 (Unanimously adopted by the participants at the Parliamentary Seminar on Relations Between Majority and Minority Parties in African Parliaments Libreville (Gabon) 17-19 May 1999)
bull AWEPA European Parliamentarians for Africa OPS7 Parliamentary Gender Handbook South Africa 2001 (found at httpwwwawepaorgdownloadsOPS07-_Parliamentary_Gender_Handbook-_South_Africapdf
Free Elections of Legislators
bull Venice Commission Opinion 2502003 Report on Electoral Systems - Overview of Available Solutions and Selection Criteria Adopted by the Venice Commission at its 57th Plenary Session CDL ndash AD(2004)003 (found at httpvenicecoeintdocs2004CDL-AD(2004)003-easp )
bull Venice Commission Opinion 2392003 Comments on the Draft Law of the Chechen Republic on Elections to the Parliament of the Chechen Republic CDL (2003)021rev (found at httpvenicecoeintdocs2003CDL(2003)021rev-easp )
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Resolution 1320 (2003) httpassemblycoeintDocumentsAdoptedTextTA03ERES1320htm
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Document 9267 15 October 2001
36
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
responsibilities In identifying the PTAS and the framework we sought to include a variety of sources representing a broad consensus The sources are listed in annex Each of the consensus PTAS was disaggregated into qualitative and quantitative indicators5 Indicators designed to assess the level of compliance with each PTAS are a core element of the framework The use of indicators is necessary to obtain a clear picture of where improvements are needed and which achievements and shortcomings affect the Parliament These indicators are not designed to stigmatize countries in comparison to others While the use of a uniform framework and measurements based on indicators will allow for some degree of comparison each Parliament evolves in a set of country-specific circumstances Compliance with the PTAS within a given country-context is the objective of our endeavor Identifying the PTAS and disaggregating them into indicators is an evolving process Standards are slowly emerging as national stakeholders gather in the international arena in search of guidelines to improve independence and efficiency Like new standards emerging indicators can continuously be refined to clarify the contents of each PTAS Standards without indicators are empty concepts which can be interpreted in many different ways depending on the author of the report Indicators help define the PTAS and provide a concrete guide for the assessment of compliance The draft indicators are available in a separate attached document The framework is built around the need to implement and link up key reforms embedded in the PTAS Each country report is developed through a multifaceted methodology that incorporates an array of information resources necessary to assess the level of PTAS compliance (i) desk studies of all relevant laws institutions and international obligations (ii) analysis of existing best practices country studies and research (iii) interviews and surveys of experts and key stakeholders and (iv) analysis of the operation of Parliament in practice The PTAS and their accompanying indicators serve as the guideposts with which to measure implementation progress or regression on a periodic basis While all the PTAS are important and their relevance in the country context varies IFESrsquo working assumption for each report is that certain mutually supportive principles are essential to establishing the legal enabling environment necessary to build an independent accountable Parliament and a Rule of Law culture We also believe that for purposes of capturing global issues lessons learned model programs across borders it is also important for all country reports to uniformly cover a specific set of standards
5 We chose the term ldquoindicatorrdquo because is the most commonly used in the literature on similar topics and we recognize its value In fact we intend to describe and analyze the state and performance of the Parliaments through what can also be called ldquosearch questionsrdquo that will allow to look to the Parliaments uniformly Having indicators will bring coherence and systematization to the national SOP reports
11
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Compiling a National SOP Report The framework was created to serve both as (i) a tool for civil society to monitor parliamentary activity and identify spaces for improvement and participation and (ii) a tool for legislators to assess their own institution Each report should be compiled with the following in mind
Combining a civil society evaluation and a parliamentary self-evaluation will lead to a better report
Sharing information with civil society will be a first step towards strengthening collaborative partnerships between Parliament and the people
The indicators will provide two sorts of data (i) quantitative data such as how many legislators timing of elections number of commissions etc and (ii) qualitative data on the performance of Parliament through an analysis of the processes of parliamentary life and
The PTAS cover to three key aspects of parliamentary operations and activity transparency accountability and efficiency
Assessment of the level of compliance with each PTAS is guided by an examination of relevant laws and practices identified through a survey of legislation and interviews of key stakeholders There are three degrees of compliance
bull Formal compliance (laws and decrees) bull Compliance in practice (effective implementation of laws and decrees as well as
of constitutional and conventional principles) and bull Quality and integrity of the compliance in practice (fair implementation for all)
The Report outlines in the country context the legal and institutional framework within which the judiciary operates The indicators serve as guideposts for the analysis of the level of compliance with each PTAS This analytical process will lead to an overall judgment as to whether there is a ldquosatisfactoryrdquo ldquopartially satisfactoryrdquo or ldquounsatisfactoryrdquo JIP compliance with the possible nuance of ldquoimprovingrdquo or ldquoregressingrdquo and to present prioritized reform recommendations
2 Relevant International and Domestic Legal and Institutional Framework
a International and Regional Obligations IFES has examined various documents relating to the relevant international and regional governmental and non-governmental declarations Standards best practices and guidelines on issues of parliamentary independence transparency and accountability Each annual country-specific SOP Report should present a list of relevant applicable international and regional obligations including
Declarations on democracy and parliamentary independence and best practices guidelines and Standards by international and regional Parliamentary
12
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Associations eg the Commonwealth Latimer House Standards the IPU Declaration on Democracy
International and regional human rights treaties and human rights court and commission case law eg the Universal Declaration of Rights the International Covenant on Civil and Political Rights the UN High Commission on Human Rights Resolution 200047 and
Non-governmental guidelines
b Constitutional Standards Each annual country-specific SOP Report should outline the constitutional Standards related to the separation of powers and parliamentary independence including
The guarantees of parliamentary independence lawmaking powers and other key Standards
The roles of parliamentary committees and of party caucuses The powers to develop amend or review budget and levy taxes The power to question Ministers hold hearings conduct investigations and call
witnesses The power to appoint andor confirm candidates to high-level positions in the
other branches of government The power to access information about government activities and programs6
c Country Legal Framework
In presenting the legal framework each annual country-specific SOP Report should include a review of the relevant applicable legislation and regulations affecting parliamentary transparency and accountability such as
The institutional structure of the Parliament Standing Rules of Order Parliamentary internal regulatory framework Access to information legislation Anticorruption legislation Political party campaign financing regulations and Parliamentary Codes of Ethics and conflict of interest rules
d Country Institutional Framework
In presenting the institutional framework each annual country-specific SOP Report should present a review of the relevant institutional characteristics affecting the Parliament such as
Intra-parliamentary structures bicameralunicameral Committees support services etc
6 USAID Handbook on Legislative Strengthening page 15
13
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Extra-parliamentary structures and governmental relationships Ombudsman political parties Ministry of Justice civil society organizations with watchdog role and
Oversight mechanisms
3 Assessment of the Level of Compliance with the PTAS For each of the PTAS this Model Framework for an annual SOP Report will present
bull Guidelines based on international and regional standards and best practices and
bull Indicators to monitor the level of compliance or non-compliance PTAS1 Independence of Parliament
Institutional Independence Separation of power Standards mandate a Parliament independent from the other two branches of government the Executive and the Judiciary This independence must translate itself into freedom from external pressure and interference In the exercise of its functions Parliament should be subject only to the Constitution and the law CLHP ECOWAS-P UPA-Res00
The institutional independence of Parliaments rests in the doctrine of separation of powers This doctrine is widely accepted internationally as a tenet of democratic societies and is now formally recognized in the Constitutions of most countries7 The separation of powers is either expressly mandated in the Constitution or a document having constitutional value or it is found in the practical organization of the three powers8
Parliament must also be free to legislate and introduce legislation otherwise it is relegated to a rubber-stamping institution for the Executive Finally Parliament must be entrusted with the freedom to organize itself to decide on its own rules of procedures and the proceedings for parliamentary bodies The principle of independence has broader implications Indeed it is now agreed that independence must be recognized to not only Parliament as an institution but also to legislators in the exercise of their functions Both the institution and its members must be free from undue interference and external controls emanating of the other branches of government the Executive and the Judiciary as well as from forces within society such as political parties the private sector the media and others Indeed interferences would
7 ASGP Report dated September 1998 by Michael Couderc The Administrative and financial autonomy of Parliamentary Assemblies page 1 (found at wwwasgpinfopublicationshtm ) The report states that exceptions to this general rule appear the Cyprus Kenya and Switzerland Parliaments 8 Ibid Most countries now have adopted Constitutions but there are some noteworthy exceptions such as the United Kingdom
14
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
render impossible the exercise of the core functions of Parliament lawmaking and oversight In order to be independent legislators must be able to discharge their duties without fear for their physical security or the well being of their families and staff This principle requires the State to provide security services for legislators and to secure the House of Parliament PTAS2 Free and Fair Parliamentary Elections
Parliamentary Elections The process of the election of members of Parliament should be open and transparent allowing for full citizen participation and free of coercion fraud or violence CLHG CSCE-CD ECOWAS-P IPU-DD IPU-Res03 UNHCHR UPA-Res00
The right of everyone to take part in the government of hisher country is expressed through the right to freely choose representatives Parliaments differ in the manner and types of election held to elect members There is an international consensus on the need to provide voting rights for all citizens on the basis of universal equal and secret suffrage so that all voters can choose their representatives in an environment conducive to equality and political competition The different systems include direct and indirect proportional versus single constituency The IPU Declaration on Democracy notes that holding free and fair elections which allow the expression of the peoplersquos will at regular intervals is a key element of democracy This Standard is seen as the best way of guaranteeing representative democracy Whatever the system used elections of legislators must be organized following an open and transparent process There must be full citizen participation without a suggestion of manipulation Legislators should not be required to run for office exclusively under the nomination of a Political party PTAS3 Transparent Adequate Political Financing and Compensation
Political finance The fight against corruption requires the adoption of clear rules for transparent political financing of legislators their campaigns and their political organizations need to be adopted These rules should include transparent compensation as well as the disclosure of campaign account income and assets of legislators Anticorruption Treaties Adequate compensation Legislators should receive adequate salaries and benefits which are comparable to those of equivalent positions in the other branches of government and private sector CLHG IPU-DD
The financing of any parliamentary candidate by his her political party should be transparent and there should be clear written rules and regulations on the types of political financing which are impermissible and illegal and those which are permitted and legal
15
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Clear rules for political party and campaign financing ndash these rules should foster financial transparency and integrity
bull Income and asset disclosure requirements bull Oversight by an independent authority (internal ie Parliamentary Committee or
external) and publication of information To the extent possible political parties and parliamentary candidates should be required to place all contributions above a certain limit in official bank accounts and use these accounts for all campaign expenditures Official bank accounts are accounts which are fully documented and disclosed Disclosure requirements should cover all income assets and expenditures related to the campaign and should be made to an independent official agency Uniform and reliable software will help monitor all income and expenditure during political campaigns The independent official agency should verify and report on the parliamentary campaign finance data Additional independent verifications and reports should be undertaken by civil society to avoid collusion A serious problem in many countries has been the use of parliamentary resources such as office space staff time or funds by incumbents This is a practice which should be seriously discouraged or even outlawed as it constitutes a misuse of funds by parliamentarians Legislators should also be adequately compensated for their work Compensation includes both their salary and any additional benefit granted to workers The adequacy of compensation will be assessed in comparison with the cost of living and the compensation-level of senior officials in the Executive judiciary and private sector Due to high turnover in parliamentary office an appropriate compensation level is important to attract high-quality people and to shield legislators from outside pressure Pension entitlement by virtue of office is a widely recognized right in most Parliaments independently of the diversity of the methods and procedures chosen to implement it A number of other countries in which no recognized pension scheme currently exists for Legislators have indicated that this subject is currently under review (Egypt Lesotho Nigeria Thailand) The great majority of legislators today benefit from social security (sickness maternity invalidity death and industrial injury insurance) coverage while in office This is for the most part organized within the framework of the common labor rights legislation of each country9 Transparency regarding all amounts received by legislators as compensation is necessary to promoting parliamentary accountability and ethics Legislators and if possible their dependents should be required to disclose all their incomes assets and relevant interests to an independent official agency The public should have an opportunity to access information about the salaries and other benefits of the legislators whom they have elected Like with parliamentary campaign finance uniform and reliable software will
9 Helene Ponceau AGSP Report April 2001 This report is based on a questionnaire of the Association of General Secretaries of Parliaments approved at the Berlin session in October 1999 and sent to 56 countries
16
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
help monitor the disclosures and verification and reporting by the independent official agency as well as civil society will foster more transparency and accountability PTAS4 Representative Parliament
Broad-Based Representation An inclusive fully representative Parliament across gender ethnicity political affiliation religion etc is one of the main tenets of a democratic society CLHG CSCE-CD ECOWAS-P IPU-GD IPU-Res03 UNHCHR UPA-Res00
There is increasing consensus at the international level that democratic institutions must be representative of the diversities of society Parliament should therefore be composed of a broad cross-section of society including members of different genders ethnicity political affiliation religion etc Diversity in institutional membership echoes the Standards enshrined in the numerous conventions against discrimination which have been ratified in the past decades10
A broad-based representative Parliament will contribute to the promotion of the right of everyone to take part in government and of all interests to be given expression As noted by the IPU in its Declaration on Democracy ldquoDemocracy is founded on the right of everyone to take part in the management of public affairs it therefore requires the existence of representative institutions at all levels and in particular a Parliament in which all components of society are represented and which has the requisite powers and means to express the will of the people by legislating and overseeing government actionrdquo Some countries have taken additional steps to encourage participation by marginalized groups such as women or minorities For example in Pakistan quotas for gender participation were established 33 quota in direct elections (local) and 17 quota in indirect national elections (legislature and senate) Women membership in the legislature is currently at 21 slightly above the mandatory quota PTAS5 Security of Tenure
Security of tenure ldquoSecurity of Members during their Parliamentary term is fundamental to Parliamentary independencerdquo CLHG CSCE-CD
The legitimacy of Parliament rests on the fact that its membership is rooted in the will of the people who chose representatives in periodic elections In order to guarantee that their will is respected the term of office of legislators must be respected Certain classes of legislators may have life terms (cite House of Lords other examples) but most legislators are elected for fixed terms Exceptionally the tenure of legislators may be terminated but such mechanisms must be narrowly defined and follow clear transparent
10 See for example the International Convention on the Elimination of All Forms of Racial Discrimination [CERD] (1965) and the International Convention on the Elimination of All Forms of Discrimination against Women [CEDAW] (1979)
17
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
legal procedures This may be the case for immunity waivers in case of criminal offences committed by a legislator or of dissolution of parliament by the executive The CLHG lists three requirements to protect the security of tenure of legislators in its guideline number 2
ldquo (a) The expulsion of members from Parliament as a penalty for leaving their parties (floor-crossing) should be viewed as a possible infringement of membersrsquo independence anti-defection measures may be necessary in some jurisdictions to deal with corrupt practices
(b) Laws allowing for the recall of members during their elected term should be viewed with caution as a potential threat to the independence of members
(c) The cessation of membership of a political party of itself should not lead to the loss of a Memberrsquos seatrdquo
PTAS6 Freed Parliamentary Speech
Freedom of Speech The true expression of democracy lies in the right to free speech This should not just be a right guaranteed to the general public but legislators also must be free from censorship and defamation laws that restrict the right to criticize government thereby curtailing parliamentary oversight of the Executive Banjul CLHG CLHP CPA-Media CPA-Rec03 ECHR IACHR ICCPR IPU-GD IPU-DD UPA-Res00
The International Covenant on Civil and Political Rights (ICCPR) expressly states in article 19(1) that everyone shall have the right to hold opinions without interference Article 19(2) guarantees the right to freedom of expression and broadens it to include the freedom to seek receive and impart information and ideas of all kinds regardless of frontiers either orally in writing or in print in the form of art or through any other media of choice These rights are not absolute and may be restricted under specific circumstances as outlined in article 19(3) Most international human rights instruments provide that every individual shall have the right to express and disseminate his opinions within the law Other instruments recognize the right of freedom of expression as an inalienable fundamental right Free speech rights should entitle legislators to
bull Put written and oral questions to members of the government and receive answers to these questions The opposition in Parliament should also be entitled to speaking time proportionate to its numbers in sittings set aside for oral questions
bull Request documents and receive such documents in a timely manner National security concerns constitute one of the main reasons why governments restrict freedom of expression Freedom of expression should not be restricted on public order or national security grounds unless there is a real risk of harm to a legitimate interest and there is a causal link between the risk of harm and the expression
18
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Defamation laws are a serious concern for legislators when seeking to protect or exercise their freedom of expression rights Legislators should be free from improper pressures in the discharge of their functions These improper pressures can be in the form of criminal laws and the use of defamation proceedings restricting legitimate criticism of the government by legislators Criminal defamation laws need to be carefully reviewed Similarly the defense of qualified privilege with respect to reports of parliamentary proceedings should be drawn as broadly as possible to permit full public reporting and discussion of public affairs and offence of contempt of Parliament should be drawn as narrowly as possible There is a need to achieve a balance between the free speech rights of Legislators vis-agrave-vis the government and the publicrsquos right of free speech vis-agrave-vis the Parliament PTAS7 Participatory Transparent Law and Decision-Making Processes
Parliamentary Processes Parliament must be open transparent and accountable to the public in its lawmaking and policymaking functions In this regard the free flow of information from Parliament to its members and the public as well as avenues for effective public participation is fundamental to a democratic Parliament CLHG CLHP ECOWAS-P IPU-GD IPU-Res03 UPA-Res00
Law and policy-making are the primary responsibilities of Parliament as the elected body representing the people The Executive may initiate laws and policies and the Judiciary may be constructive and purposive in the interpretation of legislation neither must be seen as usurping Parliamentrsquos legislative function Ultimately only the Parliament is entitled to adopt laws for the country Consequently legislators should be encouraged to adopt national policies and laws through open processes which allow for consultation and citizen participation Parliamentary processes must be not only transparent but also participatory Participation starts with the right to form democratic political parties and entails the need for transparent and fairness in the electoral process including through appropriate access to funds and free independent and pluralistic media Transparent decision-making and law-making processes create ownership in governance by the public which is necessary in a democratic society The Parliament should implement efficient mechanisms to allow and encourage public participation in the different stages of the law making process From the moment that Parliament receives a bill from the Executive or from the moment a bill is drafted by a committee civil society representatives should have a voice and be consulted Civil society participation will add a fresh look and ensure a better response to community needs Legislators will benefit from input and the resulting laws will better reflect real needs and local buy-in Committees meetings and parliamentary sessions should be usually open to the public Information on meetings and final decisions should be broadly disseminated Parliament should be consulted by the government on important questions affecting the life of the nation war national security human rights economic policy social rights
19
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
labor markets etc This will enable the opposition to take part in the debate and provide its input to the decision-making process The opposition must also be able to raise matters regarding the Constitution with a view to its amendment PTAS8 Transparent Oversight of the Executive
General Oversight One of the core functions of Parliament is to provide a continuous check on the activities of the Executive In performing this oversight function Parliament must follow transparent procedures and respect strict standards of accountability CLHG CLHP IPU-GD UPA-Res00
The separation of powers not only means that each branch of government is independent from the other two but also that mechanisms of checks and balances are in place to avoid abuses and encroachments To that end the Parliament is traditionally entrusted with the responsibility of overseeing the activities of the Executive The Executive as Parliament must follow high standards of accountability transparency and responsibility in the performance of its duties Parliament is responsible for ensuring that these standards are met and for providing adequate mechanisms to challenge the Executive for failure to meet these standards Oversight may take place in the form of periodic questions to the government in a parliamentary sessions or investigations undertaken by parliamentary commissions or votes of confidencenon-confidence Parliamentary procedures should be transparent and allow for public scrutiny Governments should be required to announce publicly within a defined time period their responses to committee investigations PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
Budget Design and Oversight Parliament is traditionally responsibly for adopting the national budget There is a growing international consensus that Parliaments around the world need to make maximum use of existing processes for exerting influence in national budget control scrutiny and accountability IPU-Res03 UPA-Res00
Parliament must have a certain amount of authority to affect the budget otherwise its role in establishing national policy and representing citizen interests will remain limited11 Involvement should extend beyond budget approval and include budget formulation tracking and accountability Unless it has substantial involvement beyond approval Parliament will do no more than rubberstamp the Executiversquos budgetary and policy decisions To promote more accountability in government Parliament should be entitled to monitor income and expenditures especially how effectively government programs and activities are administered
11 USAID Handbook
20
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Parliamentary procedures should therefore provide adequate mechanisms to oversee the Executive including accountability mechanisms targeted at budget development effective money flows budget implementation etc This can be achieved by allowing independent audits of public accounts establishing that the opposition will chair the Public Accounts Committee or a combination of the mechanisms andor others PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
International Obligations and Parliament International treaties carry a general obligation for signatory States to ratify and to adopt all necessary measures for their implementation Both functions should fall on Parliament CLHG CLHP IPU-Res03
The need for governments to respect their international law obligations has become more urgent post World War II particularly as inter-State conflicts are on the rise Legislators as law makers and representatives of the people need to be more proficient in their knowledge and understanding of human rights and humanitarian law instruments including those relating to economic social and cultural rights In a 2000 Declaration the Conference of Presiding Officers of National Parliaments outlined the four inter-connected levels of intervention for Parliaments in relation to international obligations
bull ldquoInfluencing their respective countriesrsquo policy on matters dealt with in the United Nations and other international negotiating forums
bull Keeping themselves informed of the progress and outcome of these negotiations bull Deciding on ratification where the Constitution so foresees of texts and treaties
signed by governments and bull Contributing actively to the subsequent implementation processrdquo12
Parliaments play a central role in adjusting domestic law to international standards According to the legal systems of many countries Parliaments are not only the bodies entitled to ratify international obligations but also the ones responsible for adopting the necessary implementing legislation Many international treaties particularly those related to human rights the environment gender and corruption require that States parties adjust their national legislation to match the minimum standards laid out in the treaties For example United Nations Convention against Corruption (2004) is explicitly applicable to legislators Indeed its scope covers ldquopublic officialsrdquo who are defined as including any person holding parliamentary office in a State party Compliance with this provision and others often requires the adoption of legislation Conventions generally include explicit requirements for the adoption of new laws by national Parliaments
12 Conference of Presiding Officers of National Parliaments organized by the IPU in cooperation with the UN Declaration adopted by at UN Headquarters New York 30 August ndash 1st September 2000
21
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The United Nations Convention against Corruption (2004) establishes that each State party should develop and implement anti-corruption policies
bull The Inter-American Convention against Corruption (1996) requires in its article VII the adoption by State parties of all ldquonecessary legislative or other measures to establish as criminal offences under their domestic law the acts of corruption described in Article VI(1) and to facilitate cooperation among themselves pursuant to this Conventionrdquo
As guardians of the Constitution legislators have an obligation to protect the human rights of people This obligation is reinforced by the requirement to comply with international and regional human rights treaties This obligation to protect and legislate in support of human rights should lead to increased oversight by Parliament in areas in which the Executive has traditional exercised blanket discretionary powers such as national security There has been a growing consensus on the need to shift focus away from military security to broader factors of ldquohuman securityrdquo such as environmental economic social as well as political13 PTAS11 Transparent Efficient Parliamentary Committees
Parliamentary Committees The legislative and oversight functions of Parliament are actually undertaken by Parliamentary Committees the powers and structures of which differ from country to country It is essential for these committees to be properly structured and well funded to enable them to be effective in discharging Parliamentrsquos legislative and policy making functions CLHG CPA-Media CPA-CP CPA-Rec03 CPA-REc04 IPU-GD
Committee structures may vary depending on the size of Parliament its constitutional mandate and other country-specific factors However all committees should have adequate resources both human and financial and have the power to summon witnesses including ministers as necessary to fulfill their mission Committee meetings should be generally open and allow for public attendance and participation Committee reports should be published and made readily available to both the government and the public PTAS12 Adequate Independent Parliamentary Budget
Parliamentary Budget It is the duty of the State to provide adequate resources to enable Parliament to perform its functions properly CLHG
Parliamentary independence and effectiveness to carry out its functions is eroded when Parliament lacks control over its own budget or has inadequate finances to manage its committees and carry out various other internal administrative duties14 Parliament 13 IPU and the Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born Philipp H Fluri amp Anders B Johnsson page 16 (Found at httpwwwdcafchpublicationse-publicationsHandbook_eng ) 14 Indeed without adequate resources for the training of new members secretarial office library and research facilities drafting assistance for bills etc Parliament is handicapped
22
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
should be able to design its own budget based on its needs and negotiate with the Executive the amount allocated to it from the national budget There should be sufficient autonomy over these finances by Parliament to protect the institutional independence and integrity It has been suggested that an all-party committee of members of Parliament should review and administer the parliamentary budget Moreover the parliamentary budget should not be subject to amendment by the Executive15 It is the Parliamentary budget that inter alia funds training of parliamentary support staff ensures that library and research facilities are properly and adequately equipped guarantees that legislators have the necessary support staff to undertake their functions and funds security services PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
Parliamentary Conduct Legislators are required to exhibit and promote high standards of professional conduct in order to reinforce public confidence in Parliament which is fundamental to its independence and legitimacy in a democratic society ANTICORRUPTION TREATIES CLHG CLHP
The CLHG outline three components for a comprehensive ethical framework applicable to Parliament
bull Conflict of interest rules and codes of conduct requiring disclosure of interests bull Access to ethics advisors and bull Restrictions on lobbying and interest group influence
Ethical professional conduct requires legislators not only to conform to high standards of ethics in practice but also to avoid the appearance of impropriety The need for financial transparency by public officials has increasingly gained acceptance as anti-corruption issues have become global Legislatorsrsquo professional and private conduct must be subject to some system of internal codified rules regulating standards of behavior and making disclosure of personal income and assets mandatory Other professions have codes of ethics regulating membersrsquo behavior for example doctors and lawyers Ethical rules should include conflict of interest rules outlining incompatible professional activities or interests such as holding another governmental office and restricting certain ventures such as participation or shareholding in corporations These rules should also require the submission to an independent oversight authority of disclosures of income assets and interests These disclosures should then be publicized for broader ethical monitoring by the public Disclosure of interests will go a long way in establishing institutional integrity trust and respect by the public and effective discharge of duties on the part of legislators as they are fully conscious of the ethical parameters which govern them as a profession 15 Commonwealth Latimer House Guidelines Number VII6
23
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
Discipline Just as other professionals have quasi-judicial bodies to regulate discipline and even remove members there should also be an internal or external authority to sanction legislators conduct investigations and hearings and adopt findings and conclusions There should also be a clear appeals process available to any member aggrieved by a decision CLHG
ldquoThe Committee recommends
bull The House should appoint a person of independent standing who should have a degree of tenure and not be a career member of the House of Commons staff as Parliamentary Commissioner for Standards
bull The Commissioners should have independent discretion to decide whether or not a complaint merits investigation or to initiate an investigationrdquo Recommendations of Committee on Standards in Public Life First Report16
Just as any other citizen legislators should be bound by the law In cases when legislators commit acts contrary to the laws and regulations they expose themselves to disciplinary action and prosecution Moreover there are special conditions only for the status of being public servants that they must observe such as compliance of high standards of ethics assets disclosure and conflict of interest rules There must be a clear system of sanctions for non-compliance with the laws and regulations The disciplinary process in representative bodies is a very sensitive one It should not be used to punish the opposition or dissidents In this sense the existence of an objective internal or external body to sanction legislators is essential to the proper operation of the system An additional problem represents the immunity that all legislators should have The immunity is a protection to ensure that legislators can perform their duties without interference it should not however be used as an excuse to avoid sanctions for common misconducts or crimes PTAS15 Parliamentary Immunity
Immunity Legislators shall enjoy personal immunity from civil suits and criminal prosecution for acts and omissions in the exercise of their functions CLHG ECOWAS-P IPU-GD
Legislators should enjoy some degree of immunity from prosecution or civil suit for acts and omissions in the exercise of their functions However no one should be exempted from accountability The requirements of parliamentary independence from political institutional and societal forces must be balanced against those of public accountability
16 These recommendations were implemented by the House of Commons England A Standing Order setting up the office of Parliamentary Commissioner for Standards was set up on 6 November 1995
24
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Consequently the immunity regime should be strictly regulated especially through the recognition of
bull Clear limited scope of immunity (for example it should not cover acts performed outside of office nor common crimes) and
bull Possibility of waivers in clearly defined cases and following a transparent procedure
Regarding the scope of parliamentary immunity its historical roots lie with the freedom of speech of legislators as recognized in the British and American Bills of Rights The underlying justification for immunity is that it allows legislators to fulfill their mandate without fear of retaliatory measures on account of their positions or votes Legislators must therefore be protected against arrest and detention or civil and criminal prosecution for any acts performed or words spoken while in office or in the conduct of parliamentary affairs Legislators should not be subject to any form of inquiry detention or legal proceedings in respect of opinions expressed or votes cast by them in the performance of their duties Immunity should not be limited to acts or speech within the parliamentary facilities Rather immunity must be interpreted as broadly as possible For example the members of the European Parliament enjoy immunity in their own States in the territories of other Member States and whilst traveling to and from the place of the meeting of the European Parliament However immunity should not be absolute The immunity regime applicable to legislators should provide for the possibility of waiving this immunity in limited circumstances in the interests of justice Immunity is not a privilege benefiting individual members but rather a guarantee protecting the independence of Parliament and its members in their relations with other governmental and private bodies17 Parliamentary privileges must be clearly defined and established by law These immunities are not meant to place legislators above the law but to protect them from possible groundless proceedings or accusations that may be politically motivated The grounds and terms for lifting of immunity must be clearly specified by law so that this may only occur following a decision taken by a competent body on a non-partisan basis PTAS16 Parliamentary and Public Access to Information
Access to Information Legislators as well as the general public must have access to accurate timely information and data including legislation parliamentary procedures governmental data and relevant research data Banjul CLHG CLHP CPA-Media CPA-CP CPA-Rec03 CPA-Rec04 CSCE-CD ECHR IACHR ICCPR IPU-DD IPU-GD IPU-Res03 UNHCHR
17 ECPRD Parliamentary Codes of Conduct in Europe by Veronica Williams November 2001
25
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
The free flow of information is essential in a democratic society Access to information should not only be viewed in relation to the media and civil societyrsquos right to access governmental documents but also in relation to the legislatorsrsquo right to access relevant research and information from the government and other sources Access to information can be facilitated by the use of databases networks and information technology in general The media should be free to report the activities of Parliament and the public should be able to attend parliamentary meetings and Committee sittings where appropriate The CPA encouraged Parliaments ldquoto provide live coverage of their proceedings on a dedicated channel andor onlinerdquo in its Recommendations for an Informed Democracy The environment should be made conducive for civil society organizations the public and multiple stakeholders to exchange information with legislators to enable Parliament to effectively discharge its duties of oversight policy making law making representation and recruitment This could be achieved through the establishment of a public information office within Parliament Bills and Acts of Parliament must be published regularly and should be freely available to the public Indeed the CSCE Copenhagen Document notes that ldquolegislation adopted at the end of a public procedure and regulations will be published that being the condition of their applicability Those texts will be accessible to everyonerdquo In its recommendations following a conference on ldquoWhat Parliament and Legislators Can Dordquo the CPA noted that access should be granted ldquoto basic information and documents produced by the parliamentary process such as access to parliamentary libraries the provision of on-line information and the distribution of Parliamentary speeches promptly after delivery in the Houserdquo18 The type of information available to the public and to legislators should include
bull Attendance and voting records bull Registers of membersrsquo interests bull Bills and Acts of Parliament bull Procedural rules bull Codes of Conduct
Legislators should also have access to parliamentary archives as well as all necessary information and data from the government The IPU Guidelines note that ldquolegislators from the majority and the opposition alike are equally entitled to receive in a timely manner the same information from the governmentrdquo
18 Parliament and The Media Building an Effective Relationship 15-18 February 2000 [CPA-Media]
26
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS17 Adequate Facilities Equipment and Technology
Adequate Infrastructure Parliament should have at a minimum the necessary infrastructure and technical assistance including research capacity adequate facilities and equipment to enable it to carry out its basic democratic functions CPA-Rec03 CPA-Rec04 IPU-GD
The working conditions of legislators must be adequate and reflect the importance of Parliament as a key democratic institution Parliament must be housed in one or more buildings with the necessary equipment and office space for legislators and their staff including tables chairs and all other necessary office equipment Adequate resources must be allocated to Parliament andor legislators and support services to maintain and equip their facilities Some of the facilities and services which can be reasonably expected to be available to legislators include
bull Offices bull Secretarial services (general andor individual) bull Library and archive facilities bull Research services (to which requests for information can be submitted) and bull Information technology
In its 2002 Report the CPA Study Group highlights the importance of information technology including ldquoimproved networking between legislators and constituents among legislators between legislators and Parliament and better information sharing and record keepingrdquo Information technology can also facilitate access to information and best practices on the broad range of issues which fall under the purview of parliament including human rights socioeconomic rights and gender issues The use of information technology could include the development of intra-parliament networks and of searchable public databases on parliamentary activity as well as the increased access to outside information for legislators PTAS18 Professional Training for Legislators and Staff
Adequate Training Resources must be allocated to training programs both for new legislators and for the continuing education of sitting legislators These programs must be geared towards developing the skills required by parliamentary functions as well as exposing legislators to substantive issues and developments affecting their legislative oversight and representative functions CLHG CPA-CP
Training should be geared towards providing legislators with the specific skills and knowledge necessary to fulfill their parliamentary functions Legislators just like other professionals need continuing education programs and professional development to keep them updated on emerging democracy and governance trends Equally significant is the need to properly train new or incoming legislators on the constitutional rights and obligations of Parliament internal procedures and order of business ethics etc
27
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS19 Adequately-Compensated Research Library and Committee Staff
Support Staff ldquoParliament should be serviced by professional staff independent of the regular public servicerdquo CLHG IPU-GD
Parliamentary support staff in sufficient numbers and with the appropriate professional skills is crucial for an effective institution Parliamentary staff performs duties such as
bull Assisting in bill drafting bull Tracking the status of bills in the legislative process bull Maintaining and in some cases designing web sites bull Producing and drafting documents about the legislature bull Undertaking accounting and various other clerkship duties
High turnover of parliamentary staff requires more money for attracting new competent staff and providing them with the necessary training It is important to ensure that staff is reasonably well compensated to attract good candidates for the job who will retain their jobs longer When vacancies are not rapidly filled parliamentary work can be undermined resulting in misplacement of documents errors and overall inefficiency Parliamentary staff should be independent from other public service offices Their selection promotion and discipline must be clearly defined and reflect merit-based criteria and transparent processes Professional development opportunities and training should be offered to them The longer support staff stay in Parliament the more it benefits the institution especially as it may provide new legislators with the information and support necessary to adapt to their new functions faster
28
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 1 List of Acronyms
Banjul African Charter on Human and Peoplersquos Rights (1986) CEDAW Convention on the Elimination of All Forms of Discrimination
against Women ICERD Convention on the Elimination of All Forms of Racial
Discrimination CLHP Commonwealth Latimer House Principles on the Accountability and Relationship between the Three Branches of Government (2003) CLHG Commonwealth Latimer House Guidelines (1998) CPA Commonwealth Parliamentary Association CPA-Media Parliament and the Media Building an Effective Relationship
CPA (2000) CPA-CP Capetown Principles for an Informed Democracy CPA (2002) CPA-Rec03 Recommendation for an Informed Democracy CPA (2003) CPA-Rec04 Recommendation for Transparent Governance CPA (2004 CSCE Conference on Security and Cooperation in Europe CSCE-CD Copenhagen Document CSCE (1990) CSCE-MD Moscow Document CSCE (1991) ECHR European Convention on Human Rights and Fundamental
Liberties (1951) ECOWAS-P Protocol ASP11202 on Democracy and Good Governance
ECOWAS (2001) IACHR Inter-American Convention on Human Rights (1978) ICCPR International Covenant on Civil and Political Rights (1966) IPU Inter-Parliamentary Union IPU-DD Universal Declaration on Democracy IPU (1997) IPU-GD Guidelines and Duties for the Opposition in Parliament IPU (1999) IPU-Res03 Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World IPU (2003) UPA Union des Parlementaires Africains [African Parliamentary Union] UPA-Res00 Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence Building between Peoples and their Institutions (2000) UNHCHR United Nations High Commissioner for Human Rights Resolution
200047
29
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 2 Bibliography Governmental Documents
bull Commonwealth Latimer House Standards bull Commonwealth Latimer House Guidelines bull Commonwealth Parliamentary Association (CPA) Parliament and the Media
Building an Effective Relationship bull English Bill of Rights 1689 bull Inter-Parliamentary Union (IPU) Guidelines bull ECOWAS Protocol on Democracy and Good Governance Supplementary to the
Protocol Relating to the Mechanism for Conflict Prevention Management Resolution Peacekeeping and Security
bull Protocol on the Privileges and Immunities of the European Communities bull ECPRD Parliamentary Codes of Conduct in Europe (Compilation by the Council
of Europe Parliamentary Assembly) bull IPU Universal Declaration on Democracy bull International Covenant on Civil and Political Rights (ICCPR) bull The African (Banjul) Charter on Human and Peoplersquos Rights bull The Johannesburg Standards National Security Freedom of Expression and
Access to Information bull Document of the Copenhagen Meeting of the Conference on the Human
Dimension of the CSCE 1990 bull Declaration of Principle on Freedom of Expression in Africa bull Union des Parliamentaires Africains on the Role of Parliaments in the
Consolidation of Democracy and Confidence-Building Between the Peoples and their Institutions 23rd Conference in Addis Ababa 24-25 November 2000
bull The Harare Declaration bull IPU Conference of Presiding Officers of National Parliaments bull International Convention on the Elimination of All Forms of Racial
Discrimination bull Convention on the Elimination of All Forms of Discrimination Against Women bull Report of the Ethics Reform Task Force on H Res 168 105th Congress 1st
Session 17 June 1997 (found at httpwwwhousegovethicsethicsreporttxt ) bull Parliamentary Standards and the Wicks Committee Report Standard Note
SNPC2200 24 June 2003 by Ruth Winstone (found at httpwwwparliamentukcommonslibresearchnotessnpc-02200pdf )
bull Committee on Standards in Public Life First Report Cm 2850 Volume 1 11 May 1995 (found at httpwwwarchiveofficial-documentscoukdocumentcm282850285002pdf )
bull Committee on Standards in Public Life Sixth Report Reinforcing Standards Cm 4557 Volume 1 January 2000 (found at httpwwwpublic-standardsgovuk )
bull Committee on Standards in Public Life Eighth Report Cm 5663 Standards of Conduct in the House of Commons November 2002 (found at httpwww-standardsgovukreports8th_reportreporteighthreportpdf
bull African Union Declarations and Decisions
30
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The African Commission Declaration of Principle on Freedom of Expression in Africa
bull United Nations High Commissioner for Human Rights Resolution 200047
Non-Governmental Documents Transparency and Accountability of the Parliament
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Anti-Corruption Commissions Panacea or Real Medicine to Fight Corruption By John Heilbrunn 2004
bull PREM Notes Public Sector No 74 October 2002 Strengthening Oversight by Legislatures (found at httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull PREM Notes Public Sector No63 March 2002 Strengthening Legislatures Implications from Industrial Countries (found at httpwww1worldbankorgpremPREMNotespremnote63pdf )
bull WBI Working Papers Building a Clean Machine Anti-Corruption Coalitions and Sustainable Reforms by Michael Johnston and Sahr J Kpundeh 2002
bull IFES IFES Parliamentary Toolkit Transparency and Accountability Tools for Civil Society
bull PREM Notes Public Sector No59 October 2001 Features and Functions of Supreme Audit Institutions
bull World Bank Institute Improving Governance and Controlling Corruption Towards a Participatory and Action-oriented Approach Grounded on Empirical Rigor October 2001
bull World Bank Towards Transparency in Finance and Governance by Tara Vishwanath and Daniel Kaufman September 6 1999
bull World Bank Institute Pillars of Integrity The Importance of Supreme Audit Institutions in Curbing Corruption by Kenneth M Dye and Rick Stapenhurst 1998
bull Association of Secretaries General of Parliaments (ASGP) Promoting the Work of Parliament Report by Mr Ian Harris Clerk of the House of Representatives of Australia19 Autumn 2000 (found at httpwwwasgpinfodiscussionshtmstudies)
bull USAID Handbook on Legislative Strengthening httpwwwusaidgovour_workdemocracy_and_governancegovhtml
bull Parliamentary Centre Canada Controlling Corruption A Parliamentarianrsquos Handbook httpwwwparlcentcaindex_ephp
bull Parliamentary Centre Canada Parliamentary Accountability and Good Governance httpwwwparlcentcaindex_ephp
19 This report contains a detailed analysis of the answers from a Questionnaire of how the public is provided information about the operation and work of Parliament The review was launched at the Conference of the Association of Secretaries General of Parliaments which was held in Autumn 2000 in Jakarta
31
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Center for Democracy and Governance February 2000 USAID Handbook on Legislative Strengthening
bull Parliamentary Centre Parliamentary Accountability and Good Governance A Parliamentarianrsquos Handbook
bull Parliamentary Centre Forum on Parliamentary Reform bull NEPAD Library Emerging Legislatures in Emerging African Democracies bull Commonwealth Parliamentary Association and World Bank Institute
Recommendations for Transparent Governance Conclusions of a CPA Study Group on Access to Information Accra Ghana 5-9 July 2004
bull GOPAC Parliamentarians Fighting Corruption A Conceptual Overview PCentrefsPCentreSProjectsParliamentary_RelationsGOPACWBI
bull International IDEA Democracy Assessment Questionnaire wwwideaintideas_work14_statedemocracy_assessmentpdf
bull NDI and UNDP Parliaments and Poverty Series Toolkit No1 Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Strengthening the Accountability Process and Parliamentary Reform A Report on the Parliamentary Roundtable Held in Bhurban Pakistan March 1-2 1997
Independence of the Parliament bull NDI Strengthening Legislative Capacity in Legislative-Executive Relations
Paper 6 httpwwwndiorgglobalpgovgovernanceasp bull Venice Commission Opinion on the Draft Proposal for Rules of Procedure of the
Assembly of the Republic of Macedonia by Georg Nolte July 5 2002 bull Venice Commission Report on the Referral of a Law Back to Parliament by the
Head of State November 15 1996 bull AGSP The Role of the Secretary General in the Administration of Parliament
Report by Mr Ugo Zampetti General Secretary of the Chamber of Deputies (Italy) October 2000 Review no 180
bull AGSP Constitutional and Parliamentary Information The Status of Parliamentary Groups
Parliamentary Immunity
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union Part Three Immunity in the European Parliament June 2001
bull Venice Commission Opinion 11995 Report on the Regime of Parliamentary Immunity CDL ndash INF(1996) 007 6496 (found at httpvenicecoeintsitedynamicsN_Opinion_efaspampL=EampOID=1 )
bull Venice Commission Supplementary Opinion on the Revision of the Constitution of Romania October 18 2002
32
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Venice Commission Draft Report ndash The Regime of Parliamentary Immunity April 29 1996
bull Venice Commission Questionnaire on Parliamentary Immunity prepared by Mr GW Maas-Geesteranus June 19 1995
Freedom of Parliamentary Speech
bull AGSP The Immunities of Members of Parliament Report prepared by Mr Robert Myttenaere September 1998
bull AGSP Position of Witnesses before Parliamentary Committees Report prepared by Mr Demaree JB Raval April 1997
Conflict of Interest amp Ethics
bull Parliamentary Affairs A Journal of Comparative Politics Volume 55 No 4 October 2002 Conduct Unbecoming The Regulation of Legislative Ethics in Britain and the United States by Robert Williams
bull Parliamentary Affairs A Journal of Comparative Politics Volume 52 No 3 July 1999 Parliament in the Age of Internet by S Coleman JA Taylor and W Van de Donk
bull European Centre for Parliamentary Research and Documentation (ECPRD) Parliamentary Codes of Conduct in Europe an Overview November 2001
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union June 2001
bull Research Paper Commissioned on behalf of The Committee on Standards in Public Life May 2002 The Regulation of Parliamentary Standards ndash A Comparative Perspective (found at httpwwwpublic-standardsgovukreports8th_reportreportresearchdoc
bull House of Representatives Resolution 168 on the Report of the Ethics Reform Task Force 18 June 1997
bull NDI Accountability Ethics and Transparency in Government Pakistan Study Mission to South Africa June 3 1997
bull NDI Report on Regional Consultative Workshops ndash Ethics Questionnaire August 1998
bull Council of Europe Steering Committee on Local and Regional Democracy (CDLR) Public Ethics at Local Level Model Initiatives Package November 25 2002
bull NDI Legislative Research Series Paper No 4 ndash Legislative Ethics A Comparative Analysis 1999
bull OECD United States Case Study ndash Ethics and Corruption The Management of Ethics and Conduct in the Public Service by Stuart Gilman December 1995
bull OECD Recommendations of the Council on Guidelines for Managing Conflict of Interest in the Public Service June 2003
33
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Sanction and Removal of Legislators bull Venice Commission Comments on the Draft Law of the Chechen Republic on
Elections to the Parliament of the Chechen Republic As Submitted to Referendum by Mr G Nolte March 23 2003
bull Venice Commission Opinion on the Draft Law on the Public Attorney (Ombudsman) of ldquoThe Former Yugoslav Republic of Macedoniardquo March 15 2003
bull Venice Commission Comments on the Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia by Ms Serra Lopes February 28 2003
bull Venice Commission Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia February 2003
bull WBI PREM Notes Public Sector Number 19 April 1999 Using an Ombudsman to oversee Public Officials
bull AGSP The Office of the Parliamentary Ombudsman March 1994 Salaries and Benefits of Legislators
bull AGSP The Social Protection of Parliamentarians Report by Mrs Helene Ponceau General Secretary of the Senate Quaestorrsquos Office [Havana Senate Treasurerrsquos Department] Review No 181 April 2001
Professional Development and Training
bull SADC Parliamentary Forum MPs Orientation Handbook ndash Professional Performance and Development httpwwwsadcpforgaboutindexasp
The Parliament and the Budget Cycle
bull OECD Development Centre Policy Brief No 22 Strengthening Participation in Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD May 2001 OECD Best Practices for Budget Transparency bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and
Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull ASGP The Administrative and Financial Autonomy of Parliamentary Assemblies Report prepared by Michel Couderc (France) adopted at the Moscow Session (September 1998)
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development The Legislature and the Budget by Frederick Stapenhurst 2004 httpwwwworldbankorgwbigovernanceparliament
34
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull WBI Working Papers Series on Contemporary Issues in Parliamentary
Development Parliaments and the PRSP Process by Scott Hubli and Alicia P Mandaville 2004
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull WBI PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull WBI PREM Notes Public Sector Number 74 October 2002 Strengthening Oversight by Legislatures
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull Commonwealth Parliamentary Association (CPA) The Parliamentarian 2002
Issue Two 179 Parliaments and Poverty by Ms Frannie A Lrsquoeautier bull Parliamentary Centre Canada and WBI and CIDA (with support from the
International Development Research Centre) Handbook on Parliamentarians and Policies to Reduce Poverty May 2001
bull Parliamentary Centre Cambodia Focus Group on Parliamentrsquos Role in the Budget Process Analysis
bull Parliamentary Centre Indicators of Parliamentary Performance in the Budget Process
bull The International Budget Project Legislatures and Budget Oversight httpwwwinternationalbudgetorgthemesLEGindexhtm
bull NDI Legislatures and the Budget Process An International Survey 2003 httpwwwndiorgglobalpgovgovernanceasp
bull NDI Parliaments and Poverty Series Toolkit No1 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Parliaments and Poverty Series Toolkit No2 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives
35
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull NDI Parliaments and Poverty Series Toolkit No3 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative Public Outreach on Poverty Issues
bull UNDP IPU WBI and UNIFEM Parliament The Budget and Gender httpwwwundporgdpapublicationsgovernancehtml
bull IMF Finance amp Development Magazine December 2002 Volume 39 Number 4 A Bigger Role for Legislators
bull Case Study PRSPs and Parliament by Stephen Langdon bull Ministry of Foreign Affairs Netherlands March 2002 Economics and Finance
(b) Budget Impact Assessments (Gender Budgeting) bull Cagatay N M Keklik R Lal and J Lang (2000) ldquoBudgets As if People
Mattered Democratizing Macroeconomic Policiesrdquo SEPED Conference Paper Series Number 4 May
bull Navarro Z (1998) ldquoParticipation Democratizing Practices and the Formulation of a Modern Policy ndash the Case of ldquoParticipatory Budgetingrdquo in Porto Alegre Brazil (1989-1998) Development Sage London Volume 41 number 3 September
Representative and Inclusive Parliament
bull Commonwealth Parliamentary Association (CPA) Commonwealth Women Parliamentarians Into The Democratic Mainstream August 2002
bull CPA EnGendering Development and Democracy May 2004 bull IPU and UNDP Guidelines on the Rights and Duties of the Opposition in
Parliament May 19 1999 (Unanimously adopted by the participants at the Parliamentary Seminar on Relations Between Majority and Minority Parties in African Parliaments Libreville (Gabon) 17-19 May 1999)
bull AWEPA European Parliamentarians for Africa OPS7 Parliamentary Gender Handbook South Africa 2001 (found at httpwwwawepaorgdownloadsOPS07-_Parliamentary_Gender_Handbook-_South_Africapdf
Free Elections of Legislators
bull Venice Commission Opinion 2502003 Report on Electoral Systems - Overview of Available Solutions and Selection Criteria Adopted by the Venice Commission at its 57th Plenary Session CDL ndash AD(2004)003 (found at httpvenicecoeintdocs2004CDL-AD(2004)003-easp )
bull Venice Commission Opinion 2392003 Comments on the Draft Law of the Chechen Republic on Elections to the Parliament of the Chechen Republic CDL (2003)021rev (found at httpvenicecoeintdocs2003CDL(2003)021rev-easp )
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Resolution 1320 (2003) httpassemblycoeintDocumentsAdoptedTextTA03ERES1320htm
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Document 9267 15 October 2001
36
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Compiling a National SOP Report The framework was created to serve both as (i) a tool for civil society to monitor parliamentary activity and identify spaces for improvement and participation and (ii) a tool for legislators to assess their own institution Each report should be compiled with the following in mind
Combining a civil society evaluation and a parliamentary self-evaluation will lead to a better report
Sharing information with civil society will be a first step towards strengthening collaborative partnerships between Parliament and the people
The indicators will provide two sorts of data (i) quantitative data such as how many legislators timing of elections number of commissions etc and (ii) qualitative data on the performance of Parliament through an analysis of the processes of parliamentary life and
The PTAS cover to three key aspects of parliamentary operations and activity transparency accountability and efficiency
Assessment of the level of compliance with each PTAS is guided by an examination of relevant laws and practices identified through a survey of legislation and interviews of key stakeholders There are three degrees of compliance
bull Formal compliance (laws and decrees) bull Compliance in practice (effective implementation of laws and decrees as well as
of constitutional and conventional principles) and bull Quality and integrity of the compliance in practice (fair implementation for all)
The Report outlines in the country context the legal and institutional framework within which the judiciary operates The indicators serve as guideposts for the analysis of the level of compliance with each PTAS This analytical process will lead to an overall judgment as to whether there is a ldquosatisfactoryrdquo ldquopartially satisfactoryrdquo or ldquounsatisfactoryrdquo JIP compliance with the possible nuance of ldquoimprovingrdquo or ldquoregressingrdquo and to present prioritized reform recommendations
2 Relevant International and Domestic Legal and Institutional Framework
a International and Regional Obligations IFES has examined various documents relating to the relevant international and regional governmental and non-governmental declarations Standards best practices and guidelines on issues of parliamentary independence transparency and accountability Each annual country-specific SOP Report should present a list of relevant applicable international and regional obligations including
Declarations on democracy and parliamentary independence and best practices guidelines and Standards by international and regional Parliamentary
12
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Associations eg the Commonwealth Latimer House Standards the IPU Declaration on Democracy
International and regional human rights treaties and human rights court and commission case law eg the Universal Declaration of Rights the International Covenant on Civil and Political Rights the UN High Commission on Human Rights Resolution 200047 and
Non-governmental guidelines
b Constitutional Standards Each annual country-specific SOP Report should outline the constitutional Standards related to the separation of powers and parliamentary independence including
The guarantees of parliamentary independence lawmaking powers and other key Standards
The roles of parliamentary committees and of party caucuses The powers to develop amend or review budget and levy taxes The power to question Ministers hold hearings conduct investigations and call
witnesses The power to appoint andor confirm candidates to high-level positions in the
other branches of government The power to access information about government activities and programs6
c Country Legal Framework
In presenting the legal framework each annual country-specific SOP Report should include a review of the relevant applicable legislation and regulations affecting parliamentary transparency and accountability such as
The institutional structure of the Parliament Standing Rules of Order Parliamentary internal regulatory framework Access to information legislation Anticorruption legislation Political party campaign financing regulations and Parliamentary Codes of Ethics and conflict of interest rules
d Country Institutional Framework
In presenting the institutional framework each annual country-specific SOP Report should present a review of the relevant institutional characteristics affecting the Parliament such as
Intra-parliamentary structures bicameralunicameral Committees support services etc
6 USAID Handbook on Legislative Strengthening page 15
13
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Extra-parliamentary structures and governmental relationships Ombudsman political parties Ministry of Justice civil society organizations with watchdog role and
Oversight mechanisms
3 Assessment of the Level of Compliance with the PTAS For each of the PTAS this Model Framework for an annual SOP Report will present
bull Guidelines based on international and regional standards and best practices and
bull Indicators to monitor the level of compliance or non-compliance PTAS1 Independence of Parliament
Institutional Independence Separation of power Standards mandate a Parliament independent from the other two branches of government the Executive and the Judiciary This independence must translate itself into freedom from external pressure and interference In the exercise of its functions Parliament should be subject only to the Constitution and the law CLHP ECOWAS-P UPA-Res00
The institutional independence of Parliaments rests in the doctrine of separation of powers This doctrine is widely accepted internationally as a tenet of democratic societies and is now formally recognized in the Constitutions of most countries7 The separation of powers is either expressly mandated in the Constitution or a document having constitutional value or it is found in the practical organization of the three powers8
Parliament must also be free to legislate and introduce legislation otherwise it is relegated to a rubber-stamping institution for the Executive Finally Parliament must be entrusted with the freedom to organize itself to decide on its own rules of procedures and the proceedings for parliamentary bodies The principle of independence has broader implications Indeed it is now agreed that independence must be recognized to not only Parliament as an institution but also to legislators in the exercise of their functions Both the institution and its members must be free from undue interference and external controls emanating of the other branches of government the Executive and the Judiciary as well as from forces within society such as political parties the private sector the media and others Indeed interferences would
7 ASGP Report dated September 1998 by Michael Couderc The Administrative and financial autonomy of Parliamentary Assemblies page 1 (found at wwwasgpinfopublicationshtm ) The report states that exceptions to this general rule appear the Cyprus Kenya and Switzerland Parliaments 8 Ibid Most countries now have adopted Constitutions but there are some noteworthy exceptions such as the United Kingdom
14
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
render impossible the exercise of the core functions of Parliament lawmaking and oversight In order to be independent legislators must be able to discharge their duties without fear for their physical security or the well being of their families and staff This principle requires the State to provide security services for legislators and to secure the House of Parliament PTAS2 Free and Fair Parliamentary Elections
Parliamentary Elections The process of the election of members of Parliament should be open and transparent allowing for full citizen participation and free of coercion fraud or violence CLHG CSCE-CD ECOWAS-P IPU-DD IPU-Res03 UNHCHR UPA-Res00
The right of everyone to take part in the government of hisher country is expressed through the right to freely choose representatives Parliaments differ in the manner and types of election held to elect members There is an international consensus on the need to provide voting rights for all citizens on the basis of universal equal and secret suffrage so that all voters can choose their representatives in an environment conducive to equality and political competition The different systems include direct and indirect proportional versus single constituency The IPU Declaration on Democracy notes that holding free and fair elections which allow the expression of the peoplersquos will at regular intervals is a key element of democracy This Standard is seen as the best way of guaranteeing representative democracy Whatever the system used elections of legislators must be organized following an open and transparent process There must be full citizen participation without a suggestion of manipulation Legislators should not be required to run for office exclusively under the nomination of a Political party PTAS3 Transparent Adequate Political Financing and Compensation
Political finance The fight against corruption requires the adoption of clear rules for transparent political financing of legislators their campaigns and their political organizations need to be adopted These rules should include transparent compensation as well as the disclosure of campaign account income and assets of legislators Anticorruption Treaties Adequate compensation Legislators should receive adequate salaries and benefits which are comparable to those of equivalent positions in the other branches of government and private sector CLHG IPU-DD
The financing of any parliamentary candidate by his her political party should be transparent and there should be clear written rules and regulations on the types of political financing which are impermissible and illegal and those which are permitted and legal
15
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Clear rules for political party and campaign financing ndash these rules should foster financial transparency and integrity
bull Income and asset disclosure requirements bull Oversight by an independent authority (internal ie Parliamentary Committee or
external) and publication of information To the extent possible political parties and parliamentary candidates should be required to place all contributions above a certain limit in official bank accounts and use these accounts for all campaign expenditures Official bank accounts are accounts which are fully documented and disclosed Disclosure requirements should cover all income assets and expenditures related to the campaign and should be made to an independent official agency Uniform and reliable software will help monitor all income and expenditure during political campaigns The independent official agency should verify and report on the parliamentary campaign finance data Additional independent verifications and reports should be undertaken by civil society to avoid collusion A serious problem in many countries has been the use of parliamentary resources such as office space staff time or funds by incumbents This is a practice which should be seriously discouraged or even outlawed as it constitutes a misuse of funds by parliamentarians Legislators should also be adequately compensated for their work Compensation includes both their salary and any additional benefit granted to workers The adequacy of compensation will be assessed in comparison with the cost of living and the compensation-level of senior officials in the Executive judiciary and private sector Due to high turnover in parliamentary office an appropriate compensation level is important to attract high-quality people and to shield legislators from outside pressure Pension entitlement by virtue of office is a widely recognized right in most Parliaments independently of the diversity of the methods and procedures chosen to implement it A number of other countries in which no recognized pension scheme currently exists for Legislators have indicated that this subject is currently under review (Egypt Lesotho Nigeria Thailand) The great majority of legislators today benefit from social security (sickness maternity invalidity death and industrial injury insurance) coverage while in office This is for the most part organized within the framework of the common labor rights legislation of each country9 Transparency regarding all amounts received by legislators as compensation is necessary to promoting parliamentary accountability and ethics Legislators and if possible their dependents should be required to disclose all their incomes assets and relevant interests to an independent official agency The public should have an opportunity to access information about the salaries and other benefits of the legislators whom they have elected Like with parliamentary campaign finance uniform and reliable software will
9 Helene Ponceau AGSP Report April 2001 This report is based on a questionnaire of the Association of General Secretaries of Parliaments approved at the Berlin session in October 1999 and sent to 56 countries
16
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
help monitor the disclosures and verification and reporting by the independent official agency as well as civil society will foster more transparency and accountability PTAS4 Representative Parliament
Broad-Based Representation An inclusive fully representative Parliament across gender ethnicity political affiliation religion etc is one of the main tenets of a democratic society CLHG CSCE-CD ECOWAS-P IPU-GD IPU-Res03 UNHCHR UPA-Res00
There is increasing consensus at the international level that democratic institutions must be representative of the diversities of society Parliament should therefore be composed of a broad cross-section of society including members of different genders ethnicity political affiliation religion etc Diversity in institutional membership echoes the Standards enshrined in the numerous conventions against discrimination which have been ratified in the past decades10
A broad-based representative Parliament will contribute to the promotion of the right of everyone to take part in government and of all interests to be given expression As noted by the IPU in its Declaration on Democracy ldquoDemocracy is founded on the right of everyone to take part in the management of public affairs it therefore requires the existence of representative institutions at all levels and in particular a Parliament in which all components of society are represented and which has the requisite powers and means to express the will of the people by legislating and overseeing government actionrdquo Some countries have taken additional steps to encourage participation by marginalized groups such as women or minorities For example in Pakistan quotas for gender participation were established 33 quota in direct elections (local) and 17 quota in indirect national elections (legislature and senate) Women membership in the legislature is currently at 21 slightly above the mandatory quota PTAS5 Security of Tenure
Security of tenure ldquoSecurity of Members during their Parliamentary term is fundamental to Parliamentary independencerdquo CLHG CSCE-CD
The legitimacy of Parliament rests on the fact that its membership is rooted in the will of the people who chose representatives in periodic elections In order to guarantee that their will is respected the term of office of legislators must be respected Certain classes of legislators may have life terms (cite House of Lords other examples) but most legislators are elected for fixed terms Exceptionally the tenure of legislators may be terminated but such mechanisms must be narrowly defined and follow clear transparent
10 See for example the International Convention on the Elimination of All Forms of Racial Discrimination [CERD] (1965) and the International Convention on the Elimination of All Forms of Discrimination against Women [CEDAW] (1979)
17
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
legal procedures This may be the case for immunity waivers in case of criminal offences committed by a legislator or of dissolution of parliament by the executive The CLHG lists three requirements to protect the security of tenure of legislators in its guideline number 2
ldquo (a) The expulsion of members from Parliament as a penalty for leaving their parties (floor-crossing) should be viewed as a possible infringement of membersrsquo independence anti-defection measures may be necessary in some jurisdictions to deal with corrupt practices
(b) Laws allowing for the recall of members during their elected term should be viewed with caution as a potential threat to the independence of members
(c) The cessation of membership of a political party of itself should not lead to the loss of a Memberrsquos seatrdquo
PTAS6 Freed Parliamentary Speech
Freedom of Speech The true expression of democracy lies in the right to free speech This should not just be a right guaranteed to the general public but legislators also must be free from censorship and defamation laws that restrict the right to criticize government thereby curtailing parliamentary oversight of the Executive Banjul CLHG CLHP CPA-Media CPA-Rec03 ECHR IACHR ICCPR IPU-GD IPU-DD UPA-Res00
The International Covenant on Civil and Political Rights (ICCPR) expressly states in article 19(1) that everyone shall have the right to hold opinions without interference Article 19(2) guarantees the right to freedom of expression and broadens it to include the freedom to seek receive and impart information and ideas of all kinds regardless of frontiers either orally in writing or in print in the form of art or through any other media of choice These rights are not absolute and may be restricted under specific circumstances as outlined in article 19(3) Most international human rights instruments provide that every individual shall have the right to express and disseminate his opinions within the law Other instruments recognize the right of freedom of expression as an inalienable fundamental right Free speech rights should entitle legislators to
bull Put written and oral questions to members of the government and receive answers to these questions The opposition in Parliament should also be entitled to speaking time proportionate to its numbers in sittings set aside for oral questions
bull Request documents and receive such documents in a timely manner National security concerns constitute one of the main reasons why governments restrict freedom of expression Freedom of expression should not be restricted on public order or national security grounds unless there is a real risk of harm to a legitimate interest and there is a causal link between the risk of harm and the expression
18
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Defamation laws are a serious concern for legislators when seeking to protect or exercise their freedom of expression rights Legislators should be free from improper pressures in the discharge of their functions These improper pressures can be in the form of criminal laws and the use of defamation proceedings restricting legitimate criticism of the government by legislators Criminal defamation laws need to be carefully reviewed Similarly the defense of qualified privilege with respect to reports of parliamentary proceedings should be drawn as broadly as possible to permit full public reporting and discussion of public affairs and offence of contempt of Parliament should be drawn as narrowly as possible There is a need to achieve a balance between the free speech rights of Legislators vis-agrave-vis the government and the publicrsquos right of free speech vis-agrave-vis the Parliament PTAS7 Participatory Transparent Law and Decision-Making Processes
Parliamentary Processes Parliament must be open transparent and accountable to the public in its lawmaking and policymaking functions In this regard the free flow of information from Parliament to its members and the public as well as avenues for effective public participation is fundamental to a democratic Parliament CLHG CLHP ECOWAS-P IPU-GD IPU-Res03 UPA-Res00
Law and policy-making are the primary responsibilities of Parliament as the elected body representing the people The Executive may initiate laws and policies and the Judiciary may be constructive and purposive in the interpretation of legislation neither must be seen as usurping Parliamentrsquos legislative function Ultimately only the Parliament is entitled to adopt laws for the country Consequently legislators should be encouraged to adopt national policies and laws through open processes which allow for consultation and citizen participation Parliamentary processes must be not only transparent but also participatory Participation starts with the right to form democratic political parties and entails the need for transparent and fairness in the electoral process including through appropriate access to funds and free independent and pluralistic media Transparent decision-making and law-making processes create ownership in governance by the public which is necessary in a democratic society The Parliament should implement efficient mechanisms to allow and encourage public participation in the different stages of the law making process From the moment that Parliament receives a bill from the Executive or from the moment a bill is drafted by a committee civil society representatives should have a voice and be consulted Civil society participation will add a fresh look and ensure a better response to community needs Legislators will benefit from input and the resulting laws will better reflect real needs and local buy-in Committees meetings and parliamentary sessions should be usually open to the public Information on meetings and final decisions should be broadly disseminated Parliament should be consulted by the government on important questions affecting the life of the nation war national security human rights economic policy social rights
19
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
labor markets etc This will enable the opposition to take part in the debate and provide its input to the decision-making process The opposition must also be able to raise matters regarding the Constitution with a view to its amendment PTAS8 Transparent Oversight of the Executive
General Oversight One of the core functions of Parliament is to provide a continuous check on the activities of the Executive In performing this oversight function Parliament must follow transparent procedures and respect strict standards of accountability CLHG CLHP IPU-GD UPA-Res00
The separation of powers not only means that each branch of government is independent from the other two but also that mechanisms of checks and balances are in place to avoid abuses and encroachments To that end the Parliament is traditionally entrusted with the responsibility of overseeing the activities of the Executive The Executive as Parliament must follow high standards of accountability transparency and responsibility in the performance of its duties Parliament is responsible for ensuring that these standards are met and for providing adequate mechanisms to challenge the Executive for failure to meet these standards Oversight may take place in the form of periodic questions to the government in a parliamentary sessions or investigations undertaken by parliamentary commissions or votes of confidencenon-confidence Parliamentary procedures should be transparent and allow for public scrutiny Governments should be required to announce publicly within a defined time period their responses to committee investigations PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
Budget Design and Oversight Parliament is traditionally responsibly for adopting the national budget There is a growing international consensus that Parliaments around the world need to make maximum use of existing processes for exerting influence in national budget control scrutiny and accountability IPU-Res03 UPA-Res00
Parliament must have a certain amount of authority to affect the budget otherwise its role in establishing national policy and representing citizen interests will remain limited11 Involvement should extend beyond budget approval and include budget formulation tracking and accountability Unless it has substantial involvement beyond approval Parliament will do no more than rubberstamp the Executiversquos budgetary and policy decisions To promote more accountability in government Parliament should be entitled to monitor income and expenditures especially how effectively government programs and activities are administered
11 USAID Handbook
20
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Parliamentary procedures should therefore provide adequate mechanisms to oversee the Executive including accountability mechanisms targeted at budget development effective money flows budget implementation etc This can be achieved by allowing independent audits of public accounts establishing that the opposition will chair the Public Accounts Committee or a combination of the mechanisms andor others PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
International Obligations and Parliament International treaties carry a general obligation for signatory States to ratify and to adopt all necessary measures for their implementation Both functions should fall on Parliament CLHG CLHP IPU-Res03
The need for governments to respect their international law obligations has become more urgent post World War II particularly as inter-State conflicts are on the rise Legislators as law makers and representatives of the people need to be more proficient in their knowledge and understanding of human rights and humanitarian law instruments including those relating to economic social and cultural rights In a 2000 Declaration the Conference of Presiding Officers of National Parliaments outlined the four inter-connected levels of intervention for Parliaments in relation to international obligations
bull ldquoInfluencing their respective countriesrsquo policy on matters dealt with in the United Nations and other international negotiating forums
bull Keeping themselves informed of the progress and outcome of these negotiations bull Deciding on ratification where the Constitution so foresees of texts and treaties
signed by governments and bull Contributing actively to the subsequent implementation processrdquo12
Parliaments play a central role in adjusting domestic law to international standards According to the legal systems of many countries Parliaments are not only the bodies entitled to ratify international obligations but also the ones responsible for adopting the necessary implementing legislation Many international treaties particularly those related to human rights the environment gender and corruption require that States parties adjust their national legislation to match the minimum standards laid out in the treaties For example United Nations Convention against Corruption (2004) is explicitly applicable to legislators Indeed its scope covers ldquopublic officialsrdquo who are defined as including any person holding parliamentary office in a State party Compliance with this provision and others often requires the adoption of legislation Conventions generally include explicit requirements for the adoption of new laws by national Parliaments
12 Conference of Presiding Officers of National Parliaments organized by the IPU in cooperation with the UN Declaration adopted by at UN Headquarters New York 30 August ndash 1st September 2000
21
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The United Nations Convention against Corruption (2004) establishes that each State party should develop and implement anti-corruption policies
bull The Inter-American Convention against Corruption (1996) requires in its article VII the adoption by State parties of all ldquonecessary legislative or other measures to establish as criminal offences under their domestic law the acts of corruption described in Article VI(1) and to facilitate cooperation among themselves pursuant to this Conventionrdquo
As guardians of the Constitution legislators have an obligation to protect the human rights of people This obligation is reinforced by the requirement to comply with international and regional human rights treaties This obligation to protect and legislate in support of human rights should lead to increased oversight by Parliament in areas in which the Executive has traditional exercised blanket discretionary powers such as national security There has been a growing consensus on the need to shift focus away from military security to broader factors of ldquohuman securityrdquo such as environmental economic social as well as political13 PTAS11 Transparent Efficient Parliamentary Committees
Parliamentary Committees The legislative and oversight functions of Parliament are actually undertaken by Parliamentary Committees the powers and structures of which differ from country to country It is essential for these committees to be properly structured and well funded to enable them to be effective in discharging Parliamentrsquos legislative and policy making functions CLHG CPA-Media CPA-CP CPA-Rec03 CPA-REc04 IPU-GD
Committee structures may vary depending on the size of Parliament its constitutional mandate and other country-specific factors However all committees should have adequate resources both human and financial and have the power to summon witnesses including ministers as necessary to fulfill their mission Committee meetings should be generally open and allow for public attendance and participation Committee reports should be published and made readily available to both the government and the public PTAS12 Adequate Independent Parliamentary Budget
Parliamentary Budget It is the duty of the State to provide adequate resources to enable Parliament to perform its functions properly CLHG
Parliamentary independence and effectiveness to carry out its functions is eroded when Parliament lacks control over its own budget or has inadequate finances to manage its committees and carry out various other internal administrative duties14 Parliament 13 IPU and the Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born Philipp H Fluri amp Anders B Johnsson page 16 (Found at httpwwwdcafchpublicationse-publicationsHandbook_eng ) 14 Indeed without adequate resources for the training of new members secretarial office library and research facilities drafting assistance for bills etc Parliament is handicapped
22
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
should be able to design its own budget based on its needs and negotiate with the Executive the amount allocated to it from the national budget There should be sufficient autonomy over these finances by Parliament to protect the institutional independence and integrity It has been suggested that an all-party committee of members of Parliament should review and administer the parliamentary budget Moreover the parliamentary budget should not be subject to amendment by the Executive15 It is the Parliamentary budget that inter alia funds training of parliamentary support staff ensures that library and research facilities are properly and adequately equipped guarantees that legislators have the necessary support staff to undertake their functions and funds security services PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
Parliamentary Conduct Legislators are required to exhibit and promote high standards of professional conduct in order to reinforce public confidence in Parliament which is fundamental to its independence and legitimacy in a democratic society ANTICORRUPTION TREATIES CLHG CLHP
The CLHG outline three components for a comprehensive ethical framework applicable to Parliament
bull Conflict of interest rules and codes of conduct requiring disclosure of interests bull Access to ethics advisors and bull Restrictions on lobbying and interest group influence
Ethical professional conduct requires legislators not only to conform to high standards of ethics in practice but also to avoid the appearance of impropriety The need for financial transparency by public officials has increasingly gained acceptance as anti-corruption issues have become global Legislatorsrsquo professional and private conduct must be subject to some system of internal codified rules regulating standards of behavior and making disclosure of personal income and assets mandatory Other professions have codes of ethics regulating membersrsquo behavior for example doctors and lawyers Ethical rules should include conflict of interest rules outlining incompatible professional activities or interests such as holding another governmental office and restricting certain ventures such as participation or shareholding in corporations These rules should also require the submission to an independent oversight authority of disclosures of income assets and interests These disclosures should then be publicized for broader ethical monitoring by the public Disclosure of interests will go a long way in establishing institutional integrity trust and respect by the public and effective discharge of duties on the part of legislators as they are fully conscious of the ethical parameters which govern them as a profession 15 Commonwealth Latimer House Guidelines Number VII6
23
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
Discipline Just as other professionals have quasi-judicial bodies to regulate discipline and even remove members there should also be an internal or external authority to sanction legislators conduct investigations and hearings and adopt findings and conclusions There should also be a clear appeals process available to any member aggrieved by a decision CLHG
ldquoThe Committee recommends
bull The House should appoint a person of independent standing who should have a degree of tenure and not be a career member of the House of Commons staff as Parliamentary Commissioner for Standards
bull The Commissioners should have independent discretion to decide whether or not a complaint merits investigation or to initiate an investigationrdquo Recommendations of Committee on Standards in Public Life First Report16
Just as any other citizen legislators should be bound by the law In cases when legislators commit acts contrary to the laws and regulations they expose themselves to disciplinary action and prosecution Moreover there are special conditions only for the status of being public servants that they must observe such as compliance of high standards of ethics assets disclosure and conflict of interest rules There must be a clear system of sanctions for non-compliance with the laws and regulations The disciplinary process in representative bodies is a very sensitive one It should not be used to punish the opposition or dissidents In this sense the existence of an objective internal or external body to sanction legislators is essential to the proper operation of the system An additional problem represents the immunity that all legislators should have The immunity is a protection to ensure that legislators can perform their duties without interference it should not however be used as an excuse to avoid sanctions for common misconducts or crimes PTAS15 Parliamentary Immunity
Immunity Legislators shall enjoy personal immunity from civil suits and criminal prosecution for acts and omissions in the exercise of their functions CLHG ECOWAS-P IPU-GD
Legislators should enjoy some degree of immunity from prosecution or civil suit for acts and omissions in the exercise of their functions However no one should be exempted from accountability The requirements of parliamentary independence from political institutional and societal forces must be balanced against those of public accountability
16 These recommendations were implemented by the House of Commons England A Standing Order setting up the office of Parliamentary Commissioner for Standards was set up on 6 November 1995
24
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Consequently the immunity regime should be strictly regulated especially through the recognition of
bull Clear limited scope of immunity (for example it should not cover acts performed outside of office nor common crimes) and
bull Possibility of waivers in clearly defined cases and following a transparent procedure
Regarding the scope of parliamentary immunity its historical roots lie with the freedom of speech of legislators as recognized in the British and American Bills of Rights The underlying justification for immunity is that it allows legislators to fulfill their mandate without fear of retaliatory measures on account of their positions or votes Legislators must therefore be protected against arrest and detention or civil and criminal prosecution for any acts performed or words spoken while in office or in the conduct of parliamentary affairs Legislators should not be subject to any form of inquiry detention or legal proceedings in respect of opinions expressed or votes cast by them in the performance of their duties Immunity should not be limited to acts or speech within the parliamentary facilities Rather immunity must be interpreted as broadly as possible For example the members of the European Parliament enjoy immunity in their own States in the territories of other Member States and whilst traveling to and from the place of the meeting of the European Parliament However immunity should not be absolute The immunity regime applicable to legislators should provide for the possibility of waiving this immunity in limited circumstances in the interests of justice Immunity is not a privilege benefiting individual members but rather a guarantee protecting the independence of Parliament and its members in their relations with other governmental and private bodies17 Parliamentary privileges must be clearly defined and established by law These immunities are not meant to place legislators above the law but to protect them from possible groundless proceedings or accusations that may be politically motivated The grounds and terms for lifting of immunity must be clearly specified by law so that this may only occur following a decision taken by a competent body on a non-partisan basis PTAS16 Parliamentary and Public Access to Information
Access to Information Legislators as well as the general public must have access to accurate timely information and data including legislation parliamentary procedures governmental data and relevant research data Banjul CLHG CLHP CPA-Media CPA-CP CPA-Rec03 CPA-Rec04 CSCE-CD ECHR IACHR ICCPR IPU-DD IPU-GD IPU-Res03 UNHCHR
17 ECPRD Parliamentary Codes of Conduct in Europe by Veronica Williams November 2001
25
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
The free flow of information is essential in a democratic society Access to information should not only be viewed in relation to the media and civil societyrsquos right to access governmental documents but also in relation to the legislatorsrsquo right to access relevant research and information from the government and other sources Access to information can be facilitated by the use of databases networks and information technology in general The media should be free to report the activities of Parliament and the public should be able to attend parliamentary meetings and Committee sittings where appropriate The CPA encouraged Parliaments ldquoto provide live coverage of their proceedings on a dedicated channel andor onlinerdquo in its Recommendations for an Informed Democracy The environment should be made conducive for civil society organizations the public and multiple stakeholders to exchange information with legislators to enable Parliament to effectively discharge its duties of oversight policy making law making representation and recruitment This could be achieved through the establishment of a public information office within Parliament Bills and Acts of Parliament must be published regularly and should be freely available to the public Indeed the CSCE Copenhagen Document notes that ldquolegislation adopted at the end of a public procedure and regulations will be published that being the condition of their applicability Those texts will be accessible to everyonerdquo In its recommendations following a conference on ldquoWhat Parliament and Legislators Can Dordquo the CPA noted that access should be granted ldquoto basic information and documents produced by the parliamentary process such as access to parliamentary libraries the provision of on-line information and the distribution of Parliamentary speeches promptly after delivery in the Houserdquo18 The type of information available to the public and to legislators should include
bull Attendance and voting records bull Registers of membersrsquo interests bull Bills and Acts of Parliament bull Procedural rules bull Codes of Conduct
Legislators should also have access to parliamentary archives as well as all necessary information and data from the government The IPU Guidelines note that ldquolegislators from the majority and the opposition alike are equally entitled to receive in a timely manner the same information from the governmentrdquo
18 Parliament and The Media Building an Effective Relationship 15-18 February 2000 [CPA-Media]
26
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS17 Adequate Facilities Equipment and Technology
Adequate Infrastructure Parliament should have at a minimum the necessary infrastructure and technical assistance including research capacity adequate facilities and equipment to enable it to carry out its basic democratic functions CPA-Rec03 CPA-Rec04 IPU-GD
The working conditions of legislators must be adequate and reflect the importance of Parliament as a key democratic institution Parliament must be housed in one or more buildings with the necessary equipment and office space for legislators and their staff including tables chairs and all other necessary office equipment Adequate resources must be allocated to Parliament andor legislators and support services to maintain and equip their facilities Some of the facilities and services which can be reasonably expected to be available to legislators include
bull Offices bull Secretarial services (general andor individual) bull Library and archive facilities bull Research services (to which requests for information can be submitted) and bull Information technology
In its 2002 Report the CPA Study Group highlights the importance of information technology including ldquoimproved networking between legislators and constituents among legislators between legislators and Parliament and better information sharing and record keepingrdquo Information technology can also facilitate access to information and best practices on the broad range of issues which fall under the purview of parliament including human rights socioeconomic rights and gender issues The use of information technology could include the development of intra-parliament networks and of searchable public databases on parliamentary activity as well as the increased access to outside information for legislators PTAS18 Professional Training for Legislators and Staff
Adequate Training Resources must be allocated to training programs both for new legislators and for the continuing education of sitting legislators These programs must be geared towards developing the skills required by parliamentary functions as well as exposing legislators to substantive issues and developments affecting their legislative oversight and representative functions CLHG CPA-CP
Training should be geared towards providing legislators with the specific skills and knowledge necessary to fulfill their parliamentary functions Legislators just like other professionals need continuing education programs and professional development to keep them updated on emerging democracy and governance trends Equally significant is the need to properly train new or incoming legislators on the constitutional rights and obligations of Parliament internal procedures and order of business ethics etc
27
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS19 Adequately-Compensated Research Library and Committee Staff
Support Staff ldquoParliament should be serviced by professional staff independent of the regular public servicerdquo CLHG IPU-GD
Parliamentary support staff in sufficient numbers and with the appropriate professional skills is crucial for an effective institution Parliamentary staff performs duties such as
bull Assisting in bill drafting bull Tracking the status of bills in the legislative process bull Maintaining and in some cases designing web sites bull Producing and drafting documents about the legislature bull Undertaking accounting and various other clerkship duties
High turnover of parliamentary staff requires more money for attracting new competent staff and providing them with the necessary training It is important to ensure that staff is reasonably well compensated to attract good candidates for the job who will retain their jobs longer When vacancies are not rapidly filled parliamentary work can be undermined resulting in misplacement of documents errors and overall inefficiency Parliamentary staff should be independent from other public service offices Their selection promotion and discipline must be clearly defined and reflect merit-based criteria and transparent processes Professional development opportunities and training should be offered to them The longer support staff stay in Parliament the more it benefits the institution especially as it may provide new legislators with the information and support necessary to adapt to their new functions faster
28
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 1 List of Acronyms
Banjul African Charter on Human and Peoplersquos Rights (1986) CEDAW Convention on the Elimination of All Forms of Discrimination
against Women ICERD Convention on the Elimination of All Forms of Racial
Discrimination CLHP Commonwealth Latimer House Principles on the Accountability and Relationship between the Three Branches of Government (2003) CLHG Commonwealth Latimer House Guidelines (1998) CPA Commonwealth Parliamentary Association CPA-Media Parliament and the Media Building an Effective Relationship
CPA (2000) CPA-CP Capetown Principles for an Informed Democracy CPA (2002) CPA-Rec03 Recommendation for an Informed Democracy CPA (2003) CPA-Rec04 Recommendation for Transparent Governance CPA (2004 CSCE Conference on Security and Cooperation in Europe CSCE-CD Copenhagen Document CSCE (1990) CSCE-MD Moscow Document CSCE (1991) ECHR European Convention on Human Rights and Fundamental
Liberties (1951) ECOWAS-P Protocol ASP11202 on Democracy and Good Governance
ECOWAS (2001) IACHR Inter-American Convention on Human Rights (1978) ICCPR International Covenant on Civil and Political Rights (1966) IPU Inter-Parliamentary Union IPU-DD Universal Declaration on Democracy IPU (1997) IPU-GD Guidelines and Duties for the Opposition in Parliament IPU (1999) IPU-Res03 Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World IPU (2003) UPA Union des Parlementaires Africains [African Parliamentary Union] UPA-Res00 Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence Building between Peoples and their Institutions (2000) UNHCHR United Nations High Commissioner for Human Rights Resolution
200047
29
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 2 Bibliography Governmental Documents
bull Commonwealth Latimer House Standards bull Commonwealth Latimer House Guidelines bull Commonwealth Parliamentary Association (CPA) Parliament and the Media
Building an Effective Relationship bull English Bill of Rights 1689 bull Inter-Parliamentary Union (IPU) Guidelines bull ECOWAS Protocol on Democracy and Good Governance Supplementary to the
Protocol Relating to the Mechanism for Conflict Prevention Management Resolution Peacekeeping and Security
bull Protocol on the Privileges and Immunities of the European Communities bull ECPRD Parliamentary Codes of Conduct in Europe (Compilation by the Council
of Europe Parliamentary Assembly) bull IPU Universal Declaration on Democracy bull International Covenant on Civil and Political Rights (ICCPR) bull The African (Banjul) Charter on Human and Peoplersquos Rights bull The Johannesburg Standards National Security Freedom of Expression and
Access to Information bull Document of the Copenhagen Meeting of the Conference on the Human
Dimension of the CSCE 1990 bull Declaration of Principle on Freedom of Expression in Africa bull Union des Parliamentaires Africains on the Role of Parliaments in the
Consolidation of Democracy and Confidence-Building Between the Peoples and their Institutions 23rd Conference in Addis Ababa 24-25 November 2000
bull The Harare Declaration bull IPU Conference of Presiding Officers of National Parliaments bull International Convention on the Elimination of All Forms of Racial
Discrimination bull Convention on the Elimination of All Forms of Discrimination Against Women bull Report of the Ethics Reform Task Force on H Res 168 105th Congress 1st
Session 17 June 1997 (found at httpwwwhousegovethicsethicsreporttxt ) bull Parliamentary Standards and the Wicks Committee Report Standard Note
SNPC2200 24 June 2003 by Ruth Winstone (found at httpwwwparliamentukcommonslibresearchnotessnpc-02200pdf )
bull Committee on Standards in Public Life First Report Cm 2850 Volume 1 11 May 1995 (found at httpwwwarchiveofficial-documentscoukdocumentcm282850285002pdf )
bull Committee on Standards in Public Life Sixth Report Reinforcing Standards Cm 4557 Volume 1 January 2000 (found at httpwwwpublic-standardsgovuk )
bull Committee on Standards in Public Life Eighth Report Cm 5663 Standards of Conduct in the House of Commons November 2002 (found at httpwww-standardsgovukreports8th_reportreporteighthreportpdf
bull African Union Declarations and Decisions
30
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The African Commission Declaration of Principle on Freedom of Expression in Africa
bull United Nations High Commissioner for Human Rights Resolution 200047
Non-Governmental Documents Transparency and Accountability of the Parliament
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Anti-Corruption Commissions Panacea or Real Medicine to Fight Corruption By John Heilbrunn 2004
bull PREM Notes Public Sector No 74 October 2002 Strengthening Oversight by Legislatures (found at httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull PREM Notes Public Sector No63 March 2002 Strengthening Legislatures Implications from Industrial Countries (found at httpwww1worldbankorgpremPREMNotespremnote63pdf )
bull WBI Working Papers Building a Clean Machine Anti-Corruption Coalitions and Sustainable Reforms by Michael Johnston and Sahr J Kpundeh 2002
bull IFES IFES Parliamentary Toolkit Transparency and Accountability Tools for Civil Society
bull PREM Notes Public Sector No59 October 2001 Features and Functions of Supreme Audit Institutions
bull World Bank Institute Improving Governance and Controlling Corruption Towards a Participatory and Action-oriented Approach Grounded on Empirical Rigor October 2001
bull World Bank Towards Transparency in Finance and Governance by Tara Vishwanath and Daniel Kaufman September 6 1999
bull World Bank Institute Pillars of Integrity The Importance of Supreme Audit Institutions in Curbing Corruption by Kenneth M Dye and Rick Stapenhurst 1998
bull Association of Secretaries General of Parliaments (ASGP) Promoting the Work of Parliament Report by Mr Ian Harris Clerk of the House of Representatives of Australia19 Autumn 2000 (found at httpwwwasgpinfodiscussionshtmstudies)
bull USAID Handbook on Legislative Strengthening httpwwwusaidgovour_workdemocracy_and_governancegovhtml
bull Parliamentary Centre Canada Controlling Corruption A Parliamentarianrsquos Handbook httpwwwparlcentcaindex_ephp
bull Parliamentary Centre Canada Parliamentary Accountability and Good Governance httpwwwparlcentcaindex_ephp
19 This report contains a detailed analysis of the answers from a Questionnaire of how the public is provided information about the operation and work of Parliament The review was launched at the Conference of the Association of Secretaries General of Parliaments which was held in Autumn 2000 in Jakarta
31
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Center for Democracy and Governance February 2000 USAID Handbook on Legislative Strengthening
bull Parliamentary Centre Parliamentary Accountability and Good Governance A Parliamentarianrsquos Handbook
bull Parliamentary Centre Forum on Parliamentary Reform bull NEPAD Library Emerging Legislatures in Emerging African Democracies bull Commonwealth Parliamentary Association and World Bank Institute
Recommendations for Transparent Governance Conclusions of a CPA Study Group on Access to Information Accra Ghana 5-9 July 2004
bull GOPAC Parliamentarians Fighting Corruption A Conceptual Overview PCentrefsPCentreSProjectsParliamentary_RelationsGOPACWBI
bull International IDEA Democracy Assessment Questionnaire wwwideaintideas_work14_statedemocracy_assessmentpdf
bull NDI and UNDP Parliaments and Poverty Series Toolkit No1 Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Strengthening the Accountability Process and Parliamentary Reform A Report on the Parliamentary Roundtable Held in Bhurban Pakistan March 1-2 1997
Independence of the Parliament bull NDI Strengthening Legislative Capacity in Legislative-Executive Relations
Paper 6 httpwwwndiorgglobalpgovgovernanceasp bull Venice Commission Opinion on the Draft Proposal for Rules of Procedure of the
Assembly of the Republic of Macedonia by Georg Nolte July 5 2002 bull Venice Commission Report on the Referral of a Law Back to Parliament by the
Head of State November 15 1996 bull AGSP The Role of the Secretary General in the Administration of Parliament
Report by Mr Ugo Zampetti General Secretary of the Chamber of Deputies (Italy) October 2000 Review no 180
bull AGSP Constitutional and Parliamentary Information The Status of Parliamentary Groups
Parliamentary Immunity
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union Part Three Immunity in the European Parliament June 2001
bull Venice Commission Opinion 11995 Report on the Regime of Parliamentary Immunity CDL ndash INF(1996) 007 6496 (found at httpvenicecoeintsitedynamicsN_Opinion_efaspampL=EampOID=1 )
bull Venice Commission Supplementary Opinion on the Revision of the Constitution of Romania October 18 2002
32
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Venice Commission Draft Report ndash The Regime of Parliamentary Immunity April 29 1996
bull Venice Commission Questionnaire on Parliamentary Immunity prepared by Mr GW Maas-Geesteranus June 19 1995
Freedom of Parliamentary Speech
bull AGSP The Immunities of Members of Parliament Report prepared by Mr Robert Myttenaere September 1998
bull AGSP Position of Witnesses before Parliamentary Committees Report prepared by Mr Demaree JB Raval April 1997
Conflict of Interest amp Ethics
bull Parliamentary Affairs A Journal of Comparative Politics Volume 55 No 4 October 2002 Conduct Unbecoming The Regulation of Legislative Ethics in Britain and the United States by Robert Williams
bull Parliamentary Affairs A Journal of Comparative Politics Volume 52 No 3 July 1999 Parliament in the Age of Internet by S Coleman JA Taylor and W Van de Donk
bull European Centre for Parliamentary Research and Documentation (ECPRD) Parliamentary Codes of Conduct in Europe an Overview November 2001
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union June 2001
bull Research Paper Commissioned on behalf of The Committee on Standards in Public Life May 2002 The Regulation of Parliamentary Standards ndash A Comparative Perspective (found at httpwwwpublic-standardsgovukreports8th_reportreportresearchdoc
bull House of Representatives Resolution 168 on the Report of the Ethics Reform Task Force 18 June 1997
bull NDI Accountability Ethics and Transparency in Government Pakistan Study Mission to South Africa June 3 1997
bull NDI Report on Regional Consultative Workshops ndash Ethics Questionnaire August 1998
bull Council of Europe Steering Committee on Local and Regional Democracy (CDLR) Public Ethics at Local Level Model Initiatives Package November 25 2002
bull NDI Legislative Research Series Paper No 4 ndash Legislative Ethics A Comparative Analysis 1999
bull OECD United States Case Study ndash Ethics and Corruption The Management of Ethics and Conduct in the Public Service by Stuart Gilman December 1995
bull OECD Recommendations of the Council on Guidelines for Managing Conflict of Interest in the Public Service June 2003
33
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Sanction and Removal of Legislators bull Venice Commission Comments on the Draft Law of the Chechen Republic on
Elections to the Parliament of the Chechen Republic As Submitted to Referendum by Mr G Nolte March 23 2003
bull Venice Commission Opinion on the Draft Law on the Public Attorney (Ombudsman) of ldquoThe Former Yugoslav Republic of Macedoniardquo March 15 2003
bull Venice Commission Comments on the Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia by Ms Serra Lopes February 28 2003
bull Venice Commission Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia February 2003
bull WBI PREM Notes Public Sector Number 19 April 1999 Using an Ombudsman to oversee Public Officials
bull AGSP The Office of the Parliamentary Ombudsman March 1994 Salaries and Benefits of Legislators
bull AGSP The Social Protection of Parliamentarians Report by Mrs Helene Ponceau General Secretary of the Senate Quaestorrsquos Office [Havana Senate Treasurerrsquos Department] Review No 181 April 2001
Professional Development and Training
bull SADC Parliamentary Forum MPs Orientation Handbook ndash Professional Performance and Development httpwwwsadcpforgaboutindexasp
The Parliament and the Budget Cycle
bull OECD Development Centre Policy Brief No 22 Strengthening Participation in Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD May 2001 OECD Best Practices for Budget Transparency bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and
Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull ASGP The Administrative and Financial Autonomy of Parliamentary Assemblies Report prepared by Michel Couderc (France) adopted at the Moscow Session (September 1998)
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development The Legislature and the Budget by Frederick Stapenhurst 2004 httpwwwworldbankorgwbigovernanceparliament
34
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull WBI Working Papers Series on Contemporary Issues in Parliamentary
Development Parliaments and the PRSP Process by Scott Hubli and Alicia P Mandaville 2004
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull WBI PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull WBI PREM Notes Public Sector Number 74 October 2002 Strengthening Oversight by Legislatures
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull Commonwealth Parliamentary Association (CPA) The Parliamentarian 2002
Issue Two 179 Parliaments and Poverty by Ms Frannie A Lrsquoeautier bull Parliamentary Centre Canada and WBI and CIDA (with support from the
International Development Research Centre) Handbook on Parliamentarians and Policies to Reduce Poverty May 2001
bull Parliamentary Centre Cambodia Focus Group on Parliamentrsquos Role in the Budget Process Analysis
bull Parliamentary Centre Indicators of Parliamentary Performance in the Budget Process
bull The International Budget Project Legislatures and Budget Oversight httpwwwinternationalbudgetorgthemesLEGindexhtm
bull NDI Legislatures and the Budget Process An International Survey 2003 httpwwwndiorgglobalpgovgovernanceasp
bull NDI Parliaments and Poverty Series Toolkit No1 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Parliaments and Poverty Series Toolkit No2 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives
35
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull NDI Parliaments and Poverty Series Toolkit No3 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative Public Outreach on Poverty Issues
bull UNDP IPU WBI and UNIFEM Parliament The Budget and Gender httpwwwundporgdpapublicationsgovernancehtml
bull IMF Finance amp Development Magazine December 2002 Volume 39 Number 4 A Bigger Role for Legislators
bull Case Study PRSPs and Parliament by Stephen Langdon bull Ministry of Foreign Affairs Netherlands March 2002 Economics and Finance
(b) Budget Impact Assessments (Gender Budgeting) bull Cagatay N M Keklik R Lal and J Lang (2000) ldquoBudgets As if People
Mattered Democratizing Macroeconomic Policiesrdquo SEPED Conference Paper Series Number 4 May
bull Navarro Z (1998) ldquoParticipation Democratizing Practices and the Formulation of a Modern Policy ndash the Case of ldquoParticipatory Budgetingrdquo in Porto Alegre Brazil (1989-1998) Development Sage London Volume 41 number 3 September
Representative and Inclusive Parliament
bull Commonwealth Parliamentary Association (CPA) Commonwealth Women Parliamentarians Into The Democratic Mainstream August 2002
bull CPA EnGendering Development and Democracy May 2004 bull IPU and UNDP Guidelines on the Rights and Duties of the Opposition in
Parliament May 19 1999 (Unanimously adopted by the participants at the Parliamentary Seminar on Relations Between Majority and Minority Parties in African Parliaments Libreville (Gabon) 17-19 May 1999)
bull AWEPA European Parliamentarians for Africa OPS7 Parliamentary Gender Handbook South Africa 2001 (found at httpwwwawepaorgdownloadsOPS07-_Parliamentary_Gender_Handbook-_South_Africapdf
Free Elections of Legislators
bull Venice Commission Opinion 2502003 Report on Electoral Systems - Overview of Available Solutions and Selection Criteria Adopted by the Venice Commission at its 57th Plenary Session CDL ndash AD(2004)003 (found at httpvenicecoeintdocs2004CDL-AD(2004)003-easp )
bull Venice Commission Opinion 2392003 Comments on the Draft Law of the Chechen Republic on Elections to the Parliament of the Chechen Republic CDL (2003)021rev (found at httpvenicecoeintdocs2003CDL(2003)021rev-easp )
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Resolution 1320 (2003) httpassemblycoeintDocumentsAdoptedTextTA03ERES1320htm
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Document 9267 15 October 2001
36
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
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rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Associations eg the Commonwealth Latimer House Standards the IPU Declaration on Democracy
International and regional human rights treaties and human rights court and commission case law eg the Universal Declaration of Rights the International Covenant on Civil and Political Rights the UN High Commission on Human Rights Resolution 200047 and
Non-governmental guidelines
b Constitutional Standards Each annual country-specific SOP Report should outline the constitutional Standards related to the separation of powers and parliamentary independence including
The guarantees of parliamentary independence lawmaking powers and other key Standards
The roles of parliamentary committees and of party caucuses The powers to develop amend or review budget and levy taxes The power to question Ministers hold hearings conduct investigations and call
witnesses The power to appoint andor confirm candidates to high-level positions in the
other branches of government The power to access information about government activities and programs6
c Country Legal Framework
In presenting the legal framework each annual country-specific SOP Report should include a review of the relevant applicable legislation and regulations affecting parliamentary transparency and accountability such as
The institutional structure of the Parliament Standing Rules of Order Parliamentary internal regulatory framework Access to information legislation Anticorruption legislation Political party campaign financing regulations and Parliamentary Codes of Ethics and conflict of interest rules
d Country Institutional Framework
In presenting the institutional framework each annual country-specific SOP Report should present a review of the relevant institutional characteristics affecting the Parliament such as
Intra-parliamentary structures bicameralunicameral Committees support services etc
6 USAID Handbook on Legislative Strengthening page 15
13
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Extra-parliamentary structures and governmental relationships Ombudsman political parties Ministry of Justice civil society organizations with watchdog role and
Oversight mechanisms
3 Assessment of the Level of Compliance with the PTAS For each of the PTAS this Model Framework for an annual SOP Report will present
bull Guidelines based on international and regional standards and best practices and
bull Indicators to monitor the level of compliance or non-compliance PTAS1 Independence of Parliament
Institutional Independence Separation of power Standards mandate a Parliament independent from the other two branches of government the Executive and the Judiciary This independence must translate itself into freedom from external pressure and interference In the exercise of its functions Parliament should be subject only to the Constitution and the law CLHP ECOWAS-P UPA-Res00
The institutional independence of Parliaments rests in the doctrine of separation of powers This doctrine is widely accepted internationally as a tenet of democratic societies and is now formally recognized in the Constitutions of most countries7 The separation of powers is either expressly mandated in the Constitution or a document having constitutional value or it is found in the practical organization of the three powers8
Parliament must also be free to legislate and introduce legislation otherwise it is relegated to a rubber-stamping institution for the Executive Finally Parliament must be entrusted with the freedom to organize itself to decide on its own rules of procedures and the proceedings for parliamentary bodies The principle of independence has broader implications Indeed it is now agreed that independence must be recognized to not only Parliament as an institution but also to legislators in the exercise of their functions Both the institution and its members must be free from undue interference and external controls emanating of the other branches of government the Executive and the Judiciary as well as from forces within society such as political parties the private sector the media and others Indeed interferences would
7 ASGP Report dated September 1998 by Michael Couderc The Administrative and financial autonomy of Parliamentary Assemblies page 1 (found at wwwasgpinfopublicationshtm ) The report states that exceptions to this general rule appear the Cyprus Kenya and Switzerland Parliaments 8 Ibid Most countries now have adopted Constitutions but there are some noteworthy exceptions such as the United Kingdom
14
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
render impossible the exercise of the core functions of Parliament lawmaking and oversight In order to be independent legislators must be able to discharge their duties without fear for their physical security or the well being of their families and staff This principle requires the State to provide security services for legislators and to secure the House of Parliament PTAS2 Free and Fair Parliamentary Elections
Parliamentary Elections The process of the election of members of Parliament should be open and transparent allowing for full citizen participation and free of coercion fraud or violence CLHG CSCE-CD ECOWAS-P IPU-DD IPU-Res03 UNHCHR UPA-Res00
The right of everyone to take part in the government of hisher country is expressed through the right to freely choose representatives Parliaments differ in the manner and types of election held to elect members There is an international consensus on the need to provide voting rights for all citizens on the basis of universal equal and secret suffrage so that all voters can choose their representatives in an environment conducive to equality and political competition The different systems include direct and indirect proportional versus single constituency The IPU Declaration on Democracy notes that holding free and fair elections which allow the expression of the peoplersquos will at regular intervals is a key element of democracy This Standard is seen as the best way of guaranteeing representative democracy Whatever the system used elections of legislators must be organized following an open and transparent process There must be full citizen participation without a suggestion of manipulation Legislators should not be required to run for office exclusively under the nomination of a Political party PTAS3 Transparent Adequate Political Financing and Compensation
Political finance The fight against corruption requires the adoption of clear rules for transparent political financing of legislators their campaigns and their political organizations need to be adopted These rules should include transparent compensation as well as the disclosure of campaign account income and assets of legislators Anticorruption Treaties Adequate compensation Legislators should receive adequate salaries and benefits which are comparable to those of equivalent positions in the other branches of government and private sector CLHG IPU-DD
The financing of any parliamentary candidate by his her political party should be transparent and there should be clear written rules and regulations on the types of political financing which are impermissible and illegal and those which are permitted and legal
15
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Clear rules for political party and campaign financing ndash these rules should foster financial transparency and integrity
bull Income and asset disclosure requirements bull Oversight by an independent authority (internal ie Parliamentary Committee or
external) and publication of information To the extent possible political parties and parliamentary candidates should be required to place all contributions above a certain limit in official bank accounts and use these accounts for all campaign expenditures Official bank accounts are accounts which are fully documented and disclosed Disclosure requirements should cover all income assets and expenditures related to the campaign and should be made to an independent official agency Uniform and reliable software will help monitor all income and expenditure during political campaigns The independent official agency should verify and report on the parliamentary campaign finance data Additional independent verifications and reports should be undertaken by civil society to avoid collusion A serious problem in many countries has been the use of parliamentary resources such as office space staff time or funds by incumbents This is a practice which should be seriously discouraged or even outlawed as it constitutes a misuse of funds by parliamentarians Legislators should also be adequately compensated for their work Compensation includes both their salary and any additional benefit granted to workers The adequacy of compensation will be assessed in comparison with the cost of living and the compensation-level of senior officials in the Executive judiciary and private sector Due to high turnover in parliamentary office an appropriate compensation level is important to attract high-quality people and to shield legislators from outside pressure Pension entitlement by virtue of office is a widely recognized right in most Parliaments independently of the diversity of the methods and procedures chosen to implement it A number of other countries in which no recognized pension scheme currently exists for Legislators have indicated that this subject is currently under review (Egypt Lesotho Nigeria Thailand) The great majority of legislators today benefit from social security (sickness maternity invalidity death and industrial injury insurance) coverage while in office This is for the most part organized within the framework of the common labor rights legislation of each country9 Transparency regarding all amounts received by legislators as compensation is necessary to promoting parliamentary accountability and ethics Legislators and if possible their dependents should be required to disclose all their incomes assets and relevant interests to an independent official agency The public should have an opportunity to access information about the salaries and other benefits of the legislators whom they have elected Like with parliamentary campaign finance uniform and reliable software will
9 Helene Ponceau AGSP Report April 2001 This report is based on a questionnaire of the Association of General Secretaries of Parliaments approved at the Berlin session in October 1999 and sent to 56 countries
16
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
help monitor the disclosures and verification and reporting by the independent official agency as well as civil society will foster more transparency and accountability PTAS4 Representative Parliament
Broad-Based Representation An inclusive fully representative Parliament across gender ethnicity political affiliation religion etc is one of the main tenets of a democratic society CLHG CSCE-CD ECOWAS-P IPU-GD IPU-Res03 UNHCHR UPA-Res00
There is increasing consensus at the international level that democratic institutions must be representative of the diversities of society Parliament should therefore be composed of a broad cross-section of society including members of different genders ethnicity political affiliation religion etc Diversity in institutional membership echoes the Standards enshrined in the numerous conventions against discrimination which have been ratified in the past decades10
A broad-based representative Parliament will contribute to the promotion of the right of everyone to take part in government and of all interests to be given expression As noted by the IPU in its Declaration on Democracy ldquoDemocracy is founded on the right of everyone to take part in the management of public affairs it therefore requires the existence of representative institutions at all levels and in particular a Parliament in which all components of society are represented and which has the requisite powers and means to express the will of the people by legislating and overseeing government actionrdquo Some countries have taken additional steps to encourage participation by marginalized groups such as women or minorities For example in Pakistan quotas for gender participation were established 33 quota in direct elections (local) and 17 quota in indirect national elections (legislature and senate) Women membership in the legislature is currently at 21 slightly above the mandatory quota PTAS5 Security of Tenure
Security of tenure ldquoSecurity of Members during their Parliamentary term is fundamental to Parliamentary independencerdquo CLHG CSCE-CD
The legitimacy of Parliament rests on the fact that its membership is rooted in the will of the people who chose representatives in periodic elections In order to guarantee that their will is respected the term of office of legislators must be respected Certain classes of legislators may have life terms (cite House of Lords other examples) but most legislators are elected for fixed terms Exceptionally the tenure of legislators may be terminated but such mechanisms must be narrowly defined and follow clear transparent
10 See for example the International Convention on the Elimination of All Forms of Racial Discrimination [CERD] (1965) and the International Convention on the Elimination of All Forms of Discrimination against Women [CEDAW] (1979)
17
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
legal procedures This may be the case for immunity waivers in case of criminal offences committed by a legislator or of dissolution of parliament by the executive The CLHG lists three requirements to protect the security of tenure of legislators in its guideline number 2
ldquo (a) The expulsion of members from Parliament as a penalty for leaving their parties (floor-crossing) should be viewed as a possible infringement of membersrsquo independence anti-defection measures may be necessary in some jurisdictions to deal with corrupt practices
(b) Laws allowing for the recall of members during their elected term should be viewed with caution as a potential threat to the independence of members
(c) The cessation of membership of a political party of itself should not lead to the loss of a Memberrsquos seatrdquo
PTAS6 Freed Parliamentary Speech
Freedom of Speech The true expression of democracy lies in the right to free speech This should not just be a right guaranteed to the general public but legislators also must be free from censorship and defamation laws that restrict the right to criticize government thereby curtailing parliamentary oversight of the Executive Banjul CLHG CLHP CPA-Media CPA-Rec03 ECHR IACHR ICCPR IPU-GD IPU-DD UPA-Res00
The International Covenant on Civil and Political Rights (ICCPR) expressly states in article 19(1) that everyone shall have the right to hold opinions without interference Article 19(2) guarantees the right to freedom of expression and broadens it to include the freedom to seek receive and impart information and ideas of all kinds regardless of frontiers either orally in writing or in print in the form of art or through any other media of choice These rights are not absolute and may be restricted under specific circumstances as outlined in article 19(3) Most international human rights instruments provide that every individual shall have the right to express and disseminate his opinions within the law Other instruments recognize the right of freedom of expression as an inalienable fundamental right Free speech rights should entitle legislators to
bull Put written and oral questions to members of the government and receive answers to these questions The opposition in Parliament should also be entitled to speaking time proportionate to its numbers in sittings set aside for oral questions
bull Request documents and receive such documents in a timely manner National security concerns constitute one of the main reasons why governments restrict freedom of expression Freedom of expression should not be restricted on public order or national security grounds unless there is a real risk of harm to a legitimate interest and there is a causal link between the risk of harm and the expression
18
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Defamation laws are a serious concern for legislators when seeking to protect or exercise their freedom of expression rights Legislators should be free from improper pressures in the discharge of their functions These improper pressures can be in the form of criminal laws and the use of defamation proceedings restricting legitimate criticism of the government by legislators Criminal defamation laws need to be carefully reviewed Similarly the defense of qualified privilege with respect to reports of parliamentary proceedings should be drawn as broadly as possible to permit full public reporting and discussion of public affairs and offence of contempt of Parliament should be drawn as narrowly as possible There is a need to achieve a balance between the free speech rights of Legislators vis-agrave-vis the government and the publicrsquos right of free speech vis-agrave-vis the Parliament PTAS7 Participatory Transparent Law and Decision-Making Processes
Parliamentary Processes Parliament must be open transparent and accountable to the public in its lawmaking and policymaking functions In this regard the free flow of information from Parliament to its members and the public as well as avenues for effective public participation is fundamental to a democratic Parliament CLHG CLHP ECOWAS-P IPU-GD IPU-Res03 UPA-Res00
Law and policy-making are the primary responsibilities of Parliament as the elected body representing the people The Executive may initiate laws and policies and the Judiciary may be constructive and purposive in the interpretation of legislation neither must be seen as usurping Parliamentrsquos legislative function Ultimately only the Parliament is entitled to adopt laws for the country Consequently legislators should be encouraged to adopt national policies and laws through open processes which allow for consultation and citizen participation Parliamentary processes must be not only transparent but also participatory Participation starts with the right to form democratic political parties and entails the need for transparent and fairness in the electoral process including through appropriate access to funds and free independent and pluralistic media Transparent decision-making and law-making processes create ownership in governance by the public which is necessary in a democratic society The Parliament should implement efficient mechanisms to allow and encourage public participation in the different stages of the law making process From the moment that Parliament receives a bill from the Executive or from the moment a bill is drafted by a committee civil society representatives should have a voice and be consulted Civil society participation will add a fresh look and ensure a better response to community needs Legislators will benefit from input and the resulting laws will better reflect real needs and local buy-in Committees meetings and parliamentary sessions should be usually open to the public Information on meetings and final decisions should be broadly disseminated Parliament should be consulted by the government on important questions affecting the life of the nation war national security human rights economic policy social rights
19
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
labor markets etc This will enable the opposition to take part in the debate and provide its input to the decision-making process The opposition must also be able to raise matters regarding the Constitution with a view to its amendment PTAS8 Transparent Oversight of the Executive
General Oversight One of the core functions of Parliament is to provide a continuous check on the activities of the Executive In performing this oversight function Parliament must follow transparent procedures and respect strict standards of accountability CLHG CLHP IPU-GD UPA-Res00
The separation of powers not only means that each branch of government is independent from the other two but also that mechanisms of checks and balances are in place to avoid abuses and encroachments To that end the Parliament is traditionally entrusted with the responsibility of overseeing the activities of the Executive The Executive as Parliament must follow high standards of accountability transparency and responsibility in the performance of its duties Parliament is responsible for ensuring that these standards are met and for providing adequate mechanisms to challenge the Executive for failure to meet these standards Oversight may take place in the form of periodic questions to the government in a parliamentary sessions or investigations undertaken by parliamentary commissions or votes of confidencenon-confidence Parliamentary procedures should be transparent and allow for public scrutiny Governments should be required to announce publicly within a defined time period their responses to committee investigations PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
Budget Design and Oversight Parliament is traditionally responsibly for adopting the national budget There is a growing international consensus that Parliaments around the world need to make maximum use of existing processes for exerting influence in national budget control scrutiny and accountability IPU-Res03 UPA-Res00
Parliament must have a certain amount of authority to affect the budget otherwise its role in establishing national policy and representing citizen interests will remain limited11 Involvement should extend beyond budget approval and include budget formulation tracking and accountability Unless it has substantial involvement beyond approval Parliament will do no more than rubberstamp the Executiversquos budgetary and policy decisions To promote more accountability in government Parliament should be entitled to monitor income and expenditures especially how effectively government programs and activities are administered
11 USAID Handbook
20
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Parliamentary procedures should therefore provide adequate mechanisms to oversee the Executive including accountability mechanisms targeted at budget development effective money flows budget implementation etc This can be achieved by allowing independent audits of public accounts establishing that the opposition will chair the Public Accounts Committee or a combination of the mechanisms andor others PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
International Obligations and Parliament International treaties carry a general obligation for signatory States to ratify and to adopt all necessary measures for their implementation Both functions should fall on Parliament CLHG CLHP IPU-Res03
The need for governments to respect their international law obligations has become more urgent post World War II particularly as inter-State conflicts are on the rise Legislators as law makers and representatives of the people need to be more proficient in their knowledge and understanding of human rights and humanitarian law instruments including those relating to economic social and cultural rights In a 2000 Declaration the Conference of Presiding Officers of National Parliaments outlined the four inter-connected levels of intervention for Parliaments in relation to international obligations
bull ldquoInfluencing their respective countriesrsquo policy on matters dealt with in the United Nations and other international negotiating forums
bull Keeping themselves informed of the progress and outcome of these negotiations bull Deciding on ratification where the Constitution so foresees of texts and treaties
signed by governments and bull Contributing actively to the subsequent implementation processrdquo12
Parliaments play a central role in adjusting domestic law to international standards According to the legal systems of many countries Parliaments are not only the bodies entitled to ratify international obligations but also the ones responsible for adopting the necessary implementing legislation Many international treaties particularly those related to human rights the environment gender and corruption require that States parties adjust their national legislation to match the minimum standards laid out in the treaties For example United Nations Convention against Corruption (2004) is explicitly applicable to legislators Indeed its scope covers ldquopublic officialsrdquo who are defined as including any person holding parliamentary office in a State party Compliance with this provision and others often requires the adoption of legislation Conventions generally include explicit requirements for the adoption of new laws by national Parliaments
12 Conference of Presiding Officers of National Parliaments organized by the IPU in cooperation with the UN Declaration adopted by at UN Headquarters New York 30 August ndash 1st September 2000
21
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The United Nations Convention against Corruption (2004) establishes that each State party should develop and implement anti-corruption policies
bull The Inter-American Convention against Corruption (1996) requires in its article VII the adoption by State parties of all ldquonecessary legislative or other measures to establish as criminal offences under their domestic law the acts of corruption described in Article VI(1) and to facilitate cooperation among themselves pursuant to this Conventionrdquo
As guardians of the Constitution legislators have an obligation to protect the human rights of people This obligation is reinforced by the requirement to comply with international and regional human rights treaties This obligation to protect and legislate in support of human rights should lead to increased oversight by Parliament in areas in which the Executive has traditional exercised blanket discretionary powers such as national security There has been a growing consensus on the need to shift focus away from military security to broader factors of ldquohuman securityrdquo such as environmental economic social as well as political13 PTAS11 Transparent Efficient Parliamentary Committees
Parliamentary Committees The legislative and oversight functions of Parliament are actually undertaken by Parliamentary Committees the powers and structures of which differ from country to country It is essential for these committees to be properly structured and well funded to enable them to be effective in discharging Parliamentrsquos legislative and policy making functions CLHG CPA-Media CPA-CP CPA-Rec03 CPA-REc04 IPU-GD
Committee structures may vary depending on the size of Parliament its constitutional mandate and other country-specific factors However all committees should have adequate resources both human and financial and have the power to summon witnesses including ministers as necessary to fulfill their mission Committee meetings should be generally open and allow for public attendance and participation Committee reports should be published and made readily available to both the government and the public PTAS12 Adequate Independent Parliamentary Budget
Parliamentary Budget It is the duty of the State to provide adequate resources to enable Parliament to perform its functions properly CLHG
Parliamentary independence and effectiveness to carry out its functions is eroded when Parliament lacks control over its own budget or has inadequate finances to manage its committees and carry out various other internal administrative duties14 Parliament 13 IPU and the Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born Philipp H Fluri amp Anders B Johnsson page 16 (Found at httpwwwdcafchpublicationse-publicationsHandbook_eng ) 14 Indeed without adequate resources for the training of new members secretarial office library and research facilities drafting assistance for bills etc Parliament is handicapped
22
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
should be able to design its own budget based on its needs and negotiate with the Executive the amount allocated to it from the national budget There should be sufficient autonomy over these finances by Parliament to protect the institutional independence and integrity It has been suggested that an all-party committee of members of Parliament should review and administer the parliamentary budget Moreover the parliamentary budget should not be subject to amendment by the Executive15 It is the Parliamentary budget that inter alia funds training of parliamentary support staff ensures that library and research facilities are properly and adequately equipped guarantees that legislators have the necessary support staff to undertake their functions and funds security services PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
Parliamentary Conduct Legislators are required to exhibit and promote high standards of professional conduct in order to reinforce public confidence in Parliament which is fundamental to its independence and legitimacy in a democratic society ANTICORRUPTION TREATIES CLHG CLHP
The CLHG outline three components for a comprehensive ethical framework applicable to Parliament
bull Conflict of interest rules and codes of conduct requiring disclosure of interests bull Access to ethics advisors and bull Restrictions on lobbying and interest group influence
Ethical professional conduct requires legislators not only to conform to high standards of ethics in practice but also to avoid the appearance of impropriety The need for financial transparency by public officials has increasingly gained acceptance as anti-corruption issues have become global Legislatorsrsquo professional and private conduct must be subject to some system of internal codified rules regulating standards of behavior and making disclosure of personal income and assets mandatory Other professions have codes of ethics regulating membersrsquo behavior for example doctors and lawyers Ethical rules should include conflict of interest rules outlining incompatible professional activities or interests such as holding another governmental office and restricting certain ventures such as participation or shareholding in corporations These rules should also require the submission to an independent oversight authority of disclosures of income assets and interests These disclosures should then be publicized for broader ethical monitoring by the public Disclosure of interests will go a long way in establishing institutional integrity trust and respect by the public and effective discharge of duties on the part of legislators as they are fully conscious of the ethical parameters which govern them as a profession 15 Commonwealth Latimer House Guidelines Number VII6
23
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
Discipline Just as other professionals have quasi-judicial bodies to regulate discipline and even remove members there should also be an internal or external authority to sanction legislators conduct investigations and hearings and adopt findings and conclusions There should also be a clear appeals process available to any member aggrieved by a decision CLHG
ldquoThe Committee recommends
bull The House should appoint a person of independent standing who should have a degree of tenure and not be a career member of the House of Commons staff as Parliamentary Commissioner for Standards
bull The Commissioners should have independent discretion to decide whether or not a complaint merits investigation or to initiate an investigationrdquo Recommendations of Committee on Standards in Public Life First Report16
Just as any other citizen legislators should be bound by the law In cases when legislators commit acts contrary to the laws and regulations they expose themselves to disciplinary action and prosecution Moreover there are special conditions only for the status of being public servants that they must observe such as compliance of high standards of ethics assets disclosure and conflict of interest rules There must be a clear system of sanctions for non-compliance with the laws and regulations The disciplinary process in representative bodies is a very sensitive one It should not be used to punish the opposition or dissidents In this sense the existence of an objective internal or external body to sanction legislators is essential to the proper operation of the system An additional problem represents the immunity that all legislators should have The immunity is a protection to ensure that legislators can perform their duties without interference it should not however be used as an excuse to avoid sanctions for common misconducts or crimes PTAS15 Parliamentary Immunity
Immunity Legislators shall enjoy personal immunity from civil suits and criminal prosecution for acts and omissions in the exercise of their functions CLHG ECOWAS-P IPU-GD
Legislators should enjoy some degree of immunity from prosecution or civil suit for acts and omissions in the exercise of their functions However no one should be exempted from accountability The requirements of parliamentary independence from political institutional and societal forces must be balanced against those of public accountability
16 These recommendations were implemented by the House of Commons England A Standing Order setting up the office of Parliamentary Commissioner for Standards was set up on 6 November 1995
24
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Consequently the immunity regime should be strictly regulated especially through the recognition of
bull Clear limited scope of immunity (for example it should not cover acts performed outside of office nor common crimes) and
bull Possibility of waivers in clearly defined cases and following a transparent procedure
Regarding the scope of parliamentary immunity its historical roots lie with the freedom of speech of legislators as recognized in the British and American Bills of Rights The underlying justification for immunity is that it allows legislators to fulfill their mandate without fear of retaliatory measures on account of their positions or votes Legislators must therefore be protected against arrest and detention or civil and criminal prosecution for any acts performed or words spoken while in office or in the conduct of parliamentary affairs Legislators should not be subject to any form of inquiry detention or legal proceedings in respect of opinions expressed or votes cast by them in the performance of their duties Immunity should not be limited to acts or speech within the parliamentary facilities Rather immunity must be interpreted as broadly as possible For example the members of the European Parliament enjoy immunity in their own States in the territories of other Member States and whilst traveling to and from the place of the meeting of the European Parliament However immunity should not be absolute The immunity regime applicable to legislators should provide for the possibility of waiving this immunity in limited circumstances in the interests of justice Immunity is not a privilege benefiting individual members but rather a guarantee protecting the independence of Parliament and its members in their relations with other governmental and private bodies17 Parliamentary privileges must be clearly defined and established by law These immunities are not meant to place legislators above the law but to protect them from possible groundless proceedings or accusations that may be politically motivated The grounds and terms for lifting of immunity must be clearly specified by law so that this may only occur following a decision taken by a competent body on a non-partisan basis PTAS16 Parliamentary and Public Access to Information
Access to Information Legislators as well as the general public must have access to accurate timely information and data including legislation parliamentary procedures governmental data and relevant research data Banjul CLHG CLHP CPA-Media CPA-CP CPA-Rec03 CPA-Rec04 CSCE-CD ECHR IACHR ICCPR IPU-DD IPU-GD IPU-Res03 UNHCHR
17 ECPRD Parliamentary Codes of Conduct in Europe by Veronica Williams November 2001
25
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
The free flow of information is essential in a democratic society Access to information should not only be viewed in relation to the media and civil societyrsquos right to access governmental documents but also in relation to the legislatorsrsquo right to access relevant research and information from the government and other sources Access to information can be facilitated by the use of databases networks and information technology in general The media should be free to report the activities of Parliament and the public should be able to attend parliamentary meetings and Committee sittings where appropriate The CPA encouraged Parliaments ldquoto provide live coverage of their proceedings on a dedicated channel andor onlinerdquo in its Recommendations for an Informed Democracy The environment should be made conducive for civil society organizations the public and multiple stakeholders to exchange information with legislators to enable Parliament to effectively discharge its duties of oversight policy making law making representation and recruitment This could be achieved through the establishment of a public information office within Parliament Bills and Acts of Parliament must be published regularly and should be freely available to the public Indeed the CSCE Copenhagen Document notes that ldquolegislation adopted at the end of a public procedure and regulations will be published that being the condition of their applicability Those texts will be accessible to everyonerdquo In its recommendations following a conference on ldquoWhat Parliament and Legislators Can Dordquo the CPA noted that access should be granted ldquoto basic information and documents produced by the parliamentary process such as access to parliamentary libraries the provision of on-line information and the distribution of Parliamentary speeches promptly after delivery in the Houserdquo18 The type of information available to the public and to legislators should include
bull Attendance and voting records bull Registers of membersrsquo interests bull Bills and Acts of Parliament bull Procedural rules bull Codes of Conduct
Legislators should also have access to parliamentary archives as well as all necessary information and data from the government The IPU Guidelines note that ldquolegislators from the majority and the opposition alike are equally entitled to receive in a timely manner the same information from the governmentrdquo
18 Parliament and The Media Building an Effective Relationship 15-18 February 2000 [CPA-Media]
26
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS17 Adequate Facilities Equipment and Technology
Adequate Infrastructure Parliament should have at a minimum the necessary infrastructure and technical assistance including research capacity adequate facilities and equipment to enable it to carry out its basic democratic functions CPA-Rec03 CPA-Rec04 IPU-GD
The working conditions of legislators must be adequate and reflect the importance of Parliament as a key democratic institution Parliament must be housed in one or more buildings with the necessary equipment and office space for legislators and their staff including tables chairs and all other necessary office equipment Adequate resources must be allocated to Parliament andor legislators and support services to maintain and equip their facilities Some of the facilities and services which can be reasonably expected to be available to legislators include
bull Offices bull Secretarial services (general andor individual) bull Library and archive facilities bull Research services (to which requests for information can be submitted) and bull Information technology
In its 2002 Report the CPA Study Group highlights the importance of information technology including ldquoimproved networking between legislators and constituents among legislators between legislators and Parliament and better information sharing and record keepingrdquo Information technology can also facilitate access to information and best practices on the broad range of issues which fall under the purview of parliament including human rights socioeconomic rights and gender issues The use of information technology could include the development of intra-parliament networks and of searchable public databases on parliamentary activity as well as the increased access to outside information for legislators PTAS18 Professional Training for Legislators and Staff
Adequate Training Resources must be allocated to training programs both for new legislators and for the continuing education of sitting legislators These programs must be geared towards developing the skills required by parliamentary functions as well as exposing legislators to substantive issues and developments affecting their legislative oversight and representative functions CLHG CPA-CP
Training should be geared towards providing legislators with the specific skills and knowledge necessary to fulfill their parliamentary functions Legislators just like other professionals need continuing education programs and professional development to keep them updated on emerging democracy and governance trends Equally significant is the need to properly train new or incoming legislators on the constitutional rights and obligations of Parliament internal procedures and order of business ethics etc
27
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS19 Adequately-Compensated Research Library and Committee Staff
Support Staff ldquoParliament should be serviced by professional staff independent of the regular public servicerdquo CLHG IPU-GD
Parliamentary support staff in sufficient numbers and with the appropriate professional skills is crucial for an effective institution Parliamentary staff performs duties such as
bull Assisting in bill drafting bull Tracking the status of bills in the legislative process bull Maintaining and in some cases designing web sites bull Producing and drafting documents about the legislature bull Undertaking accounting and various other clerkship duties
High turnover of parliamentary staff requires more money for attracting new competent staff and providing them with the necessary training It is important to ensure that staff is reasonably well compensated to attract good candidates for the job who will retain their jobs longer When vacancies are not rapidly filled parliamentary work can be undermined resulting in misplacement of documents errors and overall inefficiency Parliamentary staff should be independent from other public service offices Their selection promotion and discipline must be clearly defined and reflect merit-based criteria and transparent processes Professional development opportunities and training should be offered to them The longer support staff stay in Parliament the more it benefits the institution especially as it may provide new legislators with the information and support necessary to adapt to their new functions faster
28
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 1 List of Acronyms
Banjul African Charter on Human and Peoplersquos Rights (1986) CEDAW Convention on the Elimination of All Forms of Discrimination
against Women ICERD Convention on the Elimination of All Forms of Racial
Discrimination CLHP Commonwealth Latimer House Principles on the Accountability and Relationship between the Three Branches of Government (2003) CLHG Commonwealth Latimer House Guidelines (1998) CPA Commonwealth Parliamentary Association CPA-Media Parliament and the Media Building an Effective Relationship
CPA (2000) CPA-CP Capetown Principles for an Informed Democracy CPA (2002) CPA-Rec03 Recommendation for an Informed Democracy CPA (2003) CPA-Rec04 Recommendation for Transparent Governance CPA (2004 CSCE Conference on Security and Cooperation in Europe CSCE-CD Copenhagen Document CSCE (1990) CSCE-MD Moscow Document CSCE (1991) ECHR European Convention on Human Rights and Fundamental
Liberties (1951) ECOWAS-P Protocol ASP11202 on Democracy and Good Governance
ECOWAS (2001) IACHR Inter-American Convention on Human Rights (1978) ICCPR International Covenant on Civil and Political Rights (1966) IPU Inter-Parliamentary Union IPU-DD Universal Declaration on Democracy IPU (1997) IPU-GD Guidelines and Duties for the Opposition in Parliament IPU (1999) IPU-Res03 Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World IPU (2003) UPA Union des Parlementaires Africains [African Parliamentary Union] UPA-Res00 Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence Building between Peoples and their Institutions (2000) UNHCHR United Nations High Commissioner for Human Rights Resolution
200047
29
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 2 Bibliography Governmental Documents
bull Commonwealth Latimer House Standards bull Commonwealth Latimer House Guidelines bull Commonwealth Parliamentary Association (CPA) Parliament and the Media
Building an Effective Relationship bull English Bill of Rights 1689 bull Inter-Parliamentary Union (IPU) Guidelines bull ECOWAS Protocol on Democracy and Good Governance Supplementary to the
Protocol Relating to the Mechanism for Conflict Prevention Management Resolution Peacekeeping and Security
bull Protocol on the Privileges and Immunities of the European Communities bull ECPRD Parliamentary Codes of Conduct in Europe (Compilation by the Council
of Europe Parliamentary Assembly) bull IPU Universal Declaration on Democracy bull International Covenant on Civil and Political Rights (ICCPR) bull The African (Banjul) Charter on Human and Peoplersquos Rights bull The Johannesburg Standards National Security Freedom of Expression and
Access to Information bull Document of the Copenhagen Meeting of the Conference on the Human
Dimension of the CSCE 1990 bull Declaration of Principle on Freedom of Expression in Africa bull Union des Parliamentaires Africains on the Role of Parliaments in the
Consolidation of Democracy and Confidence-Building Between the Peoples and their Institutions 23rd Conference in Addis Ababa 24-25 November 2000
bull The Harare Declaration bull IPU Conference of Presiding Officers of National Parliaments bull International Convention on the Elimination of All Forms of Racial
Discrimination bull Convention on the Elimination of All Forms of Discrimination Against Women bull Report of the Ethics Reform Task Force on H Res 168 105th Congress 1st
Session 17 June 1997 (found at httpwwwhousegovethicsethicsreporttxt ) bull Parliamentary Standards and the Wicks Committee Report Standard Note
SNPC2200 24 June 2003 by Ruth Winstone (found at httpwwwparliamentukcommonslibresearchnotessnpc-02200pdf )
bull Committee on Standards in Public Life First Report Cm 2850 Volume 1 11 May 1995 (found at httpwwwarchiveofficial-documentscoukdocumentcm282850285002pdf )
bull Committee on Standards in Public Life Sixth Report Reinforcing Standards Cm 4557 Volume 1 January 2000 (found at httpwwwpublic-standardsgovuk )
bull Committee on Standards in Public Life Eighth Report Cm 5663 Standards of Conduct in the House of Commons November 2002 (found at httpwww-standardsgovukreports8th_reportreporteighthreportpdf
bull African Union Declarations and Decisions
30
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The African Commission Declaration of Principle on Freedom of Expression in Africa
bull United Nations High Commissioner for Human Rights Resolution 200047
Non-Governmental Documents Transparency and Accountability of the Parliament
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Anti-Corruption Commissions Panacea or Real Medicine to Fight Corruption By John Heilbrunn 2004
bull PREM Notes Public Sector No 74 October 2002 Strengthening Oversight by Legislatures (found at httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull PREM Notes Public Sector No63 March 2002 Strengthening Legislatures Implications from Industrial Countries (found at httpwww1worldbankorgpremPREMNotespremnote63pdf )
bull WBI Working Papers Building a Clean Machine Anti-Corruption Coalitions and Sustainable Reforms by Michael Johnston and Sahr J Kpundeh 2002
bull IFES IFES Parliamentary Toolkit Transparency and Accountability Tools for Civil Society
bull PREM Notes Public Sector No59 October 2001 Features and Functions of Supreme Audit Institutions
bull World Bank Institute Improving Governance and Controlling Corruption Towards a Participatory and Action-oriented Approach Grounded on Empirical Rigor October 2001
bull World Bank Towards Transparency in Finance and Governance by Tara Vishwanath and Daniel Kaufman September 6 1999
bull World Bank Institute Pillars of Integrity The Importance of Supreme Audit Institutions in Curbing Corruption by Kenneth M Dye and Rick Stapenhurst 1998
bull Association of Secretaries General of Parliaments (ASGP) Promoting the Work of Parliament Report by Mr Ian Harris Clerk of the House of Representatives of Australia19 Autumn 2000 (found at httpwwwasgpinfodiscussionshtmstudies)
bull USAID Handbook on Legislative Strengthening httpwwwusaidgovour_workdemocracy_and_governancegovhtml
bull Parliamentary Centre Canada Controlling Corruption A Parliamentarianrsquos Handbook httpwwwparlcentcaindex_ephp
bull Parliamentary Centre Canada Parliamentary Accountability and Good Governance httpwwwparlcentcaindex_ephp
19 This report contains a detailed analysis of the answers from a Questionnaire of how the public is provided information about the operation and work of Parliament The review was launched at the Conference of the Association of Secretaries General of Parliaments which was held in Autumn 2000 in Jakarta
31
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Center for Democracy and Governance February 2000 USAID Handbook on Legislative Strengthening
bull Parliamentary Centre Parliamentary Accountability and Good Governance A Parliamentarianrsquos Handbook
bull Parliamentary Centre Forum on Parliamentary Reform bull NEPAD Library Emerging Legislatures in Emerging African Democracies bull Commonwealth Parliamentary Association and World Bank Institute
Recommendations for Transparent Governance Conclusions of a CPA Study Group on Access to Information Accra Ghana 5-9 July 2004
bull GOPAC Parliamentarians Fighting Corruption A Conceptual Overview PCentrefsPCentreSProjectsParliamentary_RelationsGOPACWBI
bull International IDEA Democracy Assessment Questionnaire wwwideaintideas_work14_statedemocracy_assessmentpdf
bull NDI and UNDP Parliaments and Poverty Series Toolkit No1 Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Strengthening the Accountability Process and Parliamentary Reform A Report on the Parliamentary Roundtable Held in Bhurban Pakistan March 1-2 1997
Independence of the Parliament bull NDI Strengthening Legislative Capacity in Legislative-Executive Relations
Paper 6 httpwwwndiorgglobalpgovgovernanceasp bull Venice Commission Opinion on the Draft Proposal for Rules of Procedure of the
Assembly of the Republic of Macedonia by Georg Nolte July 5 2002 bull Venice Commission Report on the Referral of a Law Back to Parliament by the
Head of State November 15 1996 bull AGSP The Role of the Secretary General in the Administration of Parliament
Report by Mr Ugo Zampetti General Secretary of the Chamber of Deputies (Italy) October 2000 Review no 180
bull AGSP Constitutional and Parliamentary Information The Status of Parliamentary Groups
Parliamentary Immunity
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union Part Three Immunity in the European Parliament June 2001
bull Venice Commission Opinion 11995 Report on the Regime of Parliamentary Immunity CDL ndash INF(1996) 007 6496 (found at httpvenicecoeintsitedynamicsN_Opinion_efaspampL=EampOID=1 )
bull Venice Commission Supplementary Opinion on the Revision of the Constitution of Romania October 18 2002
32
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Venice Commission Draft Report ndash The Regime of Parliamentary Immunity April 29 1996
bull Venice Commission Questionnaire on Parliamentary Immunity prepared by Mr GW Maas-Geesteranus June 19 1995
Freedom of Parliamentary Speech
bull AGSP The Immunities of Members of Parliament Report prepared by Mr Robert Myttenaere September 1998
bull AGSP Position of Witnesses before Parliamentary Committees Report prepared by Mr Demaree JB Raval April 1997
Conflict of Interest amp Ethics
bull Parliamentary Affairs A Journal of Comparative Politics Volume 55 No 4 October 2002 Conduct Unbecoming The Regulation of Legislative Ethics in Britain and the United States by Robert Williams
bull Parliamentary Affairs A Journal of Comparative Politics Volume 52 No 3 July 1999 Parliament in the Age of Internet by S Coleman JA Taylor and W Van de Donk
bull European Centre for Parliamentary Research and Documentation (ECPRD) Parliamentary Codes of Conduct in Europe an Overview November 2001
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union June 2001
bull Research Paper Commissioned on behalf of The Committee on Standards in Public Life May 2002 The Regulation of Parliamentary Standards ndash A Comparative Perspective (found at httpwwwpublic-standardsgovukreports8th_reportreportresearchdoc
bull House of Representatives Resolution 168 on the Report of the Ethics Reform Task Force 18 June 1997
bull NDI Accountability Ethics and Transparency in Government Pakistan Study Mission to South Africa June 3 1997
bull NDI Report on Regional Consultative Workshops ndash Ethics Questionnaire August 1998
bull Council of Europe Steering Committee on Local and Regional Democracy (CDLR) Public Ethics at Local Level Model Initiatives Package November 25 2002
bull NDI Legislative Research Series Paper No 4 ndash Legislative Ethics A Comparative Analysis 1999
bull OECD United States Case Study ndash Ethics and Corruption The Management of Ethics and Conduct in the Public Service by Stuart Gilman December 1995
bull OECD Recommendations of the Council on Guidelines for Managing Conflict of Interest in the Public Service June 2003
33
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Sanction and Removal of Legislators bull Venice Commission Comments on the Draft Law of the Chechen Republic on
Elections to the Parliament of the Chechen Republic As Submitted to Referendum by Mr G Nolte March 23 2003
bull Venice Commission Opinion on the Draft Law on the Public Attorney (Ombudsman) of ldquoThe Former Yugoslav Republic of Macedoniardquo March 15 2003
bull Venice Commission Comments on the Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia by Ms Serra Lopes February 28 2003
bull Venice Commission Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia February 2003
bull WBI PREM Notes Public Sector Number 19 April 1999 Using an Ombudsman to oversee Public Officials
bull AGSP The Office of the Parliamentary Ombudsman March 1994 Salaries and Benefits of Legislators
bull AGSP The Social Protection of Parliamentarians Report by Mrs Helene Ponceau General Secretary of the Senate Quaestorrsquos Office [Havana Senate Treasurerrsquos Department] Review No 181 April 2001
Professional Development and Training
bull SADC Parliamentary Forum MPs Orientation Handbook ndash Professional Performance and Development httpwwwsadcpforgaboutindexasp
The Parliament and the Budget Cycle
bull OECD Development Centre Policy Brief No 22 Strengthening Participation in Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD May 2001 OECD Best Practices for Budget Transparency bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and
Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull ASGP The Administrative and Financial Autonomy of Parliamentary Assemblies Report prepared by Michel Couderc (France) adopted at the Moscow Session (September 1998)
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development The Legislature and the Budget by Frederick Stapenhurst 2004 httpwwwworldbankorgwbigovernanceparliament
34
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull WBI Working Papers Series on Contemporary Issues in Parliamentary
Development Parliaments and the PRSP Process by Scott Hubli and Alicia P Mandaville 2004
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull WBI PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull WBI PREM Notes Public Sector Number 74 October 2002 Strengthening Oversight by Legislatures
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull Commonwealth Parliamentary Association (CPA) The Parliamentarian 2002
Issue Two 179 Parliaments and Poverty by Ms Frannie A Lrsquoeautier bull Parliamentary Centre Canada and WBI and CIDA (with support from the
International Development Research Centre) Handbook on Parliamentarians and Policies to Reduce Poverty May 2001
bull Parliamentary Centre Cambodia Focus Group on Parliamentrsquos Role in the Budget Process Analysis
bull Parliamentary Centre Indicators of Parliamentary Performance in the Budget Process
bull The International Budget Project Legislatures and Budget Oversight httpwwwinternationalbudgetorgthemesLEGindexhtm
bull NDI Legislatures and the Budget Process An International Survey 2003 httpwwwndiorgglobalpgovgovernanceasp
bull NDI Parliaments and Poverty Series Toolkit No1 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Parliaments and Poverty Series Toolkit No2 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives
35
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull NDI Parliaments and Poverty Series Toolkit No3 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative Public Outreach on Poverty Issues
bull UNDP IPU WBI and UNIFEM Parliament The Budget and Gender httpwwwundporgdpapublicationsgovernancehtml
bull IMF Finance amp Development Magazine December 2002 Volume 39 Number 4 A Bigger Role for Legislators
bull Case Study PRSPs and Parliament by Stephen Langdon bull Ministry of Foreign Affairs Netherlands March 2002 Economics and Finance
(b) Budget Impact Assessments (Gender Budgeting) bull Cagatay N M Keklik R Lal and J Lang (2000) ldquoBudgets As if People
Mattered Democratizing Macroeconomic Policiesrdquo SEPED Conference Paper Series Number 4 May
bull Navarro Z (1998) ldquoParticipation Democratizing Practices and the Formulation of a Modern Policy ndash the Case of ldquoParticipatory Budgetingrdquo in Porto Alegre Brazil (1989-1998) Development Sage London Volume 41 number 3 September
Representative and Inclusive Parliament
bull Commonwealth Parliamentary Association (CPA) Commonwealth Women Parliamentarians Into The Democratic Mainstream August 2002
bull CPA EnGendering Development and Democracy May 2004 bull IPU and UNDP Guidelines on the Rights and Duties of the Opposition in
Parliament May 19 1999 (Unanimously adopted by the participants at the Parliamentary Seminar on Relations Between Majority and Minority Parties in African Parliaments Libreville (Gabon) 17-19 May 1999)
bull AWEPA European Parliamentarians for Africa OPS7 Parliamentary Gender Handbook South Africa 2001 (found at httpwwwawepaorgdownloadsOPS07-_Parliamentary_Gender_Handbook-_South_Africapdf
Free Elections of Legislators
bull Venice Commission Opinion 2502003 Report on Electoral Systems - Overview of Available Solutions and Selection Criteria Adopted by the Venice Commission at its 57th Plenary Session CDL ndash AD(2004)003 (found at httpvenicecoeintdocs2004CDL-AD(2004)003-easp )
bull Venice Commission Opinion 2392003 Comments on the Draft Law of the Chechen Republic on Elections to the Parliament of the Chechen Republic CDL (2003)021rev (found at httpvenicecoeintdocs2003CDL(2003)021rev-easp )
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Resolution 1320 (2003) httpassemblycoeintDocumentsAdoptedTextTA03ERES1320htm
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Document 9267 15 October 2001
36
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Extra-parliamentary structures and governmental relationships Ombudsman political parties Ministry of Justice civil society organizations with watchdog role and
Oversight mechanisms
3 Assessment of the Level of Compliance with the PTAS For each of the PTAS this Model Framework for an annual SOP Report will present
bull Guidelines based on international and regional standards and best practices and
bull Indicators to monitor the level of compliance or non-compliance PTAS1 Independence of Parliament
Institutional Independence Separation of power Standards mandate a Parliament independent from the other two branches of government the Executive and the Judiciary This independence must translate itself into freedom from external pressure and interference In the exercise of its functions Parliament should be subject only to the Constitution and the law CLHP ECOWAS-P UPA-Res00
The institutional independence of Parliaments rests in the doctrine of separation of powers This doctrine is widely accepted internationally as a tenet of democratic societies and is now formally recognized in the Constitutions of most countries7 The separation of powers is either expressly mandated in the Constitution or a document having constitutional value or it is found in the practical organization of the three powers8
Parliament must also be free to legislate and introduce legislation otherwise it is relegated to a rubber-stamping institution for the Executive Finally Parliament must be entrusted with the freedom to organize itself to decide on its own rules of procedures and the proceedings for parliamentary bodies The principle of independence has broader implications Indeed it is now agreed that independence must be recognized to not only Parliament as an institution but also to legislators in the exercise of their functions Both the institution and its members must be free from undue interference and external controls emanating of the other branches of government the Executive and the Judiciary as well as from forces within society such as political parties the private sector the media and others Indeed interferences would
7 ASGP Report dated September 1998 by Michael Couderc The Administrative and financial autonomy of Parliamentary Assemblies page 1 (found at wwwasgpinfopublicationshtm ) The report states that exceptions to this general rule appear the Cyprus Kenya and Switzerland Parliaments 8 Ibid Most countries now have adopted Constitutions but there are some noteworthy exceptions such as the United Kingdom
14
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
render impossible the exercise of the core functions of Parliament lawmaking and oversight In order to be independent legislators must be able to discharge their duties without fear for their physical security or the well being of their families and staff This principle requires the State to provide security services for legislators and to secure the House of Parliament PTAS2 Free and Fair Parliamentary Elections
Parliamentary Elections The process of the election of members of Parliament should be open and transparent allowing for full citizen participation and free of coercion fraud or violence CLHG CSCE-CD ECOWAS-P IPU-DD IPU-Res03 UNHCHR UPA-Res00
The right of everyone to take part in the government of hisher country is expressed through the right to freely choose representatives Parliaments differ in the manner and types of election held to elect members There is an international consensus on the need to provide voting rights for all citizens on the basis of universal equal and secret suffrage so that all voters can choose their representatives in an environment conducive to equality and political competition The different systems include direct and indirect proportional versus single constituency The IPU Declaration on Democracy notes that holding free and fair elections which allow the expression of the peoplersquos will at regular intervals is a key element of democracy This Standard is seen as the best way of guaranteeing representative democracy Whatever the system used elections of legislators must be organized following an open and transparent process There must be full citizen participation without a suggestion of manipulation Legislators should not be required to run for office exclusively under the nomination of a Political party PTAS3 Transparent Adequate Political Financing and Compensation
Political finance The fight against corruption requires the adoption of clear rules for transparent political financing of legislators their campaigns and their political organizations need to be adopted These rules should include transparent compensation as well as the disclosure of campaign account income and assets of legislators Anticorruption Treaties Adequate compensation Legislators should receive adequate salaries and benefits which are comparable to those of equivalent positions in the other branches of government and private sector CLHG IPU-DD
The financing of any parliamentary candidate by his her political party should be transparent and there should be clear written rules and regulations on the types of political financing which are impermissible and illegal and those which are permitted and legal
15
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Clear rules for political party and campaign financing ndash these rules should foster financial transparency and integrity
bull Income and asset disclosure requirements bull Oversight by an independent authority (internal ie Parliamentary Committee or
external) and publication of information To the extent possible political parties and parliamentary candidates should be required to place all contributions above a certain limit in official bank accounts and use these accounts for all campaign expenditures Official bank accounts are accounts which are fully documented and disclosed Disclosure requirements should cover all income assets and expenditures related to the campaign and should be made to an independent official agency Uniform and reliable software will help monitor all income and expenditure during political campaigns The independent official agency should verify and report on the parliamentary campaign finance data Additional independent verifications and reports should be undertaken by civil society to avoid collusion A serious problem in many countries has been the use of parliamentary resources such as office space staff time or funds by incumbents This is a practice which should be seriously discouraged or even outlawed as it constitutes a misuse of funds by parliamentarians Legislators should also be adequately compensated for their work Compensation includes both their salary and any additional benefit granted to workers The adequacy of compensation will be assessed in comparison with the cost of living and the compensation-level of senior officials in the Executive judiciary and private sector Due to high turnover in parliamentary office an appropriate compensation level is important to attract high-quality people and to shield legislators from outside pressure Pension entitlement by virtue of office is a widely recognized right in most Parliaments independently of the diversity of the methods and procedures chosen to implement it A number of other countries in which no recognized pension scheme currently exists for Legislators have indicated that this subject is currently under review (Egypt Lesotho Nigeria Thailand) The great majority of legislators today benefit from social security (sickness maternity invalidity death and industrial injury insurance) coverage while in office This is for the most part organized within the framework of the common labor rights legislation of each country9 Transparency regarding all amounts received by legislators as compensation is necessary to promoting parliamentary accountability and ethics Legislators and if possible their dependents should be required to disclose all their incomes assets and relevant interests to an independent official agency The public should have an opportunity to access information about the salaries and other benefits of the legislators whom they have elected Like with parliamentary campaign finance uniform and reliable software will
9 Helene Ponceau AGSP Report April 2001 This report is based on a questionnaire of the Association of General Secretaries of Parliaments approved at the Berlin session in October 1999 and sent to 56 countries
16
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
help monitor the disclosures and verification and reporting by the independent official agency as well as civil society will foster more transparency and accountability PTAS4 Representative Parliament
Broad-Based Representation An inclusive fully representative Parliament across gender ethnicity political affiliation religion etc is one of the main tenets of a democratic society CLHG CSCE-CD ECOWAS-P IPU-GD IPU-Res03 UNHCHR UPA-Res00
There is increasing consensus at the international level that democratic institutions must be representative of the diversities of society Parliament should therefore be composed of a broad cross-section of society including members of different genders ethnicity political affiliation religion etc Diversity in institutional membership echoes the Standards enshrined in the numerous conventions against discrimination which have been ratified in the past decades10
A broad-based representative Parliament will contribute to the promotion of the right of everyone to take part in government and of all interests to be given expression As noted by the IPU in its Declaration on Democracy ldquoDemocracy is founded on the right of everyone to take part in the management of public affairs it therefore requires the existence of representative institutions at all levels and in particular a Parliament in which all components of society are represented and which has the requisite powers and means to express the will of the people by legislating and overseeing government actionrdquo Some countries have taken additional steps to encourage participation by marginalized groups such as women or minorities For example in Pakistan quotas for gender participation were established 33 quota in direct elections (local) and 17 quota in indirect national elections (legislature and senate) Women membership in the legislature is currently at 21 slightly above the mandatory quota PTAS5 Security of Tenure
Security of tenure ldquoSecurity of Members during their Parliamentary term is fundamental to Parliamentary independencerdquo CLHG CSCE-CD
The legitimacy of Parliament rests on the fact that its membership is rooted in the will of the people who chose representatives in periodic elections In order to guarantee that their will is respected the term of office of legislators must be respected Certain classes of legislators may have life terms (cite House of Lords other examples) but most legislators are elected for fixed terms Exceptionally the tenure of legislators may be terminated but such mechanisms must be narrowly defined and follow clear transparent
10 See for example the International Convention on the Elimination of All Forms of Racial Discrimination [CERD] (1965) and the International Convention on the Elimination of All Forms of Discrimination against Women [CEDAW] (1979)
17
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
legal procedures This may be the case for immunity waivers in case of criminal offences committed by a legislator or of dissolution of parliament by the executive The CLHG lists three requirements to protect the security of tenure of legislators in its guideline number 2
ldquo (a) The expulsion of members from Parliament as a penalty for leaving their parties (floor-crossing) should be viewed as a possible infringement of membersrsquo independence anti-defection measures may be necessary in some jurisdictions to deal with corrupt practices
(b) Laws allowing for the recall of members during their elected term should be viewed with caution as a potential threat to the independence of members
(c) The cessation of membership of a political party of itself should not lead to the loss of a Memberrsquos seatrdquo
PTAS6 Freed Parliamentary Speech
Freedom of Speech The true expression of democracy lies in the right to free speech This should not just be a right guaranteed to the general public but legislators also must be free from censorship and defamation laws that restrict the right to criticize government thereby curtailing parliamentary oversight of the Executive Banjul CLHG CLHP CPA-Media CPA-Rec03 ECHR IACHR ICCPR IPU-GD IPU-DD UPA-Res00
The International Covenant on Civil and Political Rights (ICCPR) expressly states in article 19(1) that everyone shall have the right to hold opinions without interference Article 19(2) guarantees the right to freedom of expression and broadens it to include the freedom to seek receive and impart information and ideas of all kinds regardless of frontiers either orally in writing or in print in the form of art or through any other media of choice These rights are not absolute and may be restricted under specific circumstances as outlined in article 19(3) Most international human rights instruments provide that every individual shall have the right to express and disseminate his opinions within the law Other instruments recognize the right of freedom of expression as an inalienable fundamental right Free speech rights should entitle legislators to
bull Put written and oral questions to members of the government and receive answers to these questions The opposition in Parliament should also be entitled to speaking time proportionate to its numbers in sittings set aside for oral questions
bull Request documents and receive such documents in a timely manner National security concerns constitute one of the main reasons why governments restrict freedom of expression Freedom of expression should not be restricted on public order or national security grounds unless there is a real risk of harm to a legitimate interest and there is a causal link between the risk of harm and the expression
18
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Defamation laws are a serious concern for legislators when seeking to protect or exercise their freedom of expression rights Legislators should be free from improper pressures in the discharge of their functions These improper pressures can be in the form of criminal laws and the use of defamation proceedings restricting legitimate criticism of the government by legislators Criminal defamation laws need to be carefully reviewed Similarly the defense of qualified privilege with respect to reports of parliamentary proceedings should be drawn as broadly as possible to permit full public reporting and discussion of public affairs and offence of contempt of Parliament should be drawn as narrowly as possible There is a need to achieve a balance between the free speech rights of Legislators vis-agrave-vis the government and the publicrsquos right of free speech vis-agrave-vis the Parliament PTAS7 Participatory Transparent Law and Decision-Making Processes
Parliamentary Processes Parliament must be open transparent and accountable to the public in its lawmaking and policymaking functions In this regard the free flow of information from Parliament to its members and the public as well as avenues for effective public participation is fundamental to a democratic Parliament CLHG CLHP ECOWAS-P IPU-GD IPU-Res03 UPA-Res00
Law and policy-making are the primary responsibilities of Parliament as the elected body representing the people The Executive may initiate laws and policies and the Judiciary may be constructive and purposive in the interpretation of legislation neither must be seen as usurping Parliamentrsquos legislative function Ultimately only the Parliament is entitled to adopt laws for the country Consequently legislators should be encouraged to adopt national policies and laws through open processes which allow for consultation and citizen participation Parliamentary processes must be not only transparent but also participatory Participation starts with the right to form democratic political parties and entails the need for transparent and fairness in the electoral process including through appropriate access to funds and free independent and pluralistic media Transparent decision-making and law-making processes create ownership in governance by the public which is necessary in a democratic society The Parliament should implement efficient mechanisms to allow and encourage public participation in the different stages of the law making process From the moment that Parliament receives a bill from the Executive or from the moment a bill is drafted by a committee civil society representatives should have a voice and be consulted Civil society participation will add a fresh look and ensure a better response to community needs Legislators will benefit from input and the resulting laws will better reflect real needs and local buy-in Committees meetings and parliamentary sessions should be usually open to the public Information on meetings and final decisions should be broadly disseminated Parliament should be consulted by the government on important questions affecting the life of the nation war national security human rights economic policy social rights
19
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
labor markets etc This will enable the opposition to take part in the debate and provide its input to the decision-making process The opposition must also be able to raise matters regarding the Constitution with a view to its amendment PTAS8 Transparent Oversight of the Executive
General Oversight One of the core functions of Parliament is to provide a continuous check on the activities of the Executive In performing this oversight function Parliament must follow transparent procedures and respect strict standards of accountability CLHG CLHP IPU-GD UPA-Res00
The separation of powers not only means that each branch of government is independent from the other two but also that mechanisms of checks and balances are in place to avoid abuses and encroachments To that end the Parliament is traditionally entrusted with the responsibility of overseeing the activities of the Executive The Executive as Parliament must follow high standards of accountability transparency and responsibility in the performance of its duties Parliament is responsible for ensuring that these standards are met and for providing adequate mechanisms to challenge the Executive for failure to meet these standards Oversight may take place in the form of periodic questions to the government in a parliamentary sessions or investigations undertaken by parliamentary commissions or votes of confidencenon-confidence Parliamentary procedures should be transparent and allow for public scrutiny Governments should be required to announce publicly within a defined time period their responses to committee investigations PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
Budget Design and Oversight Parliament is traditionally responsibly for adopting the national budget There is a growing international consensus that Parliaments around the world need to make maximum use of existing processes for exerting influence in national budget control scrutiny and accountability IPU-Res03 UPA-Res00
Parliament must have a certain amount of authority to affect the budget otherwise its role in establishing national policy and representing citizen interests will remain limited11 Involvement should extend beyond budget approval and include budget formulation tracking and accountability Unless it has substantial involvement beyond approval Parliament will do no more than rubberstamp the Executiversquos budgetary and policy decisions To promote more accountability in government Parliament should be entitled to monitor income and expenditures especially how effectively government programs and activities are administered
11 USAID Handbook
20
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Parliamentary procedures should therefore provide adequate mechanisms to oversee the Executive including accountability mechanisms targeted at budget development effective money flows budget implementation etc This can be achieved by allowing independent audits of public accounts establishing that the opposition will chair the Public Accounts Committee or a combination of the mechanisms andor others PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
International Obligations and Parliament International treaties carry a general obligation for signatory States to ratify and to adopt all necessary measures for their implementation Both functions should fall on Parliament CLHG CLHP IPU-Res03
The need for governments to respect their international law obligations has become more urgent post World War II particularly as inter-State conflicts are on the rise Legislators as law makers and representatives of the people need to be more proficient in their knowledge and understanding of human rights and humanitarian law instruments including those relating to economic social and cultural rights In a 2000 Declaration the Conference of Presiding Officers of National Parliaments outlined the four inter-connected levels of intervention for Parliaments in relation to international obligations
bull ldquoInfluencing their respective countriesrsquo policy on matters dealt with in the United Nations and other international negotiating forums
bull Keeping themselves informed of the progress and outcome of these negotiations bull Deciding on ratification where the Constitution so foresees of texts and treaties
signed by governments and bull Contributing actively to the subsequent implementation processrdquo12
Parliaments play a central role in adjusting domestic law to international standards According to the legal systems of many countries Parliaments are not only the bodies entitled to ratify international obligations but also the ones responsible for adopting the necessary implementing legislation Many international treaties particularly those related to human rights the environment gender and corruption require that States parties adjust their national legislation to match the minimum standards laid out in the treaties For example United Nations Convention against Corruption (2004) is explicitly applicable to legislators Indeed its scope covers ldquopublic officialsrdquo who are defined as including any person holding parliamentary office in a State party Compliance with this provision and others often requires the adoption of legislation Conventions generally include explicit requirements for the adoption of new laws by national Parliaments
12 Conference of Presiding Officers of National Parliaments organized by the IPU in cooperation with the UN Declaration adopted by at UN Headquarters New York 30 August ndash 1st September 2000
21
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The United Nations Convention against Corruption (2004) establishes that each State party should develop and implement anti-corruption policies
bull The Inter-American Convention against Corruption (1996) requires in its article VII the adoption by State parties of all ldquonecessary legislative or other measures to establish as criminal offences under their domestic law the acts of corruption described in Article VI(1) and to facilitate cooperation among themselves pursuant to this Conventionrdquo
As guardians of the Constitution legislators have an obligation to protect the human rights of people This obligation is reinforced by the requirement to comply with international and regional human rights treaties This obligation to protect and legislate in support of human rights should lead to increased oversight by Parliament in areas in which the Executive has traditional exercised blanket discretionary powers such as national security There has been a growing consensus on the need to shift focus away from military security to broader factors of ldquohuman securityrdquo such as environmental economic social as well as political13 PTAS11 Transparent Efficient Parliamentary Committees
Parliamentary Committees The legislative and oversight functions of Parliament are actually undertaken by Parliamentary Committees the powers and structures of which differ from country to country It is essential for these committees to be properly structured and well funded to enable them to be effective in discharging Parliamentrsquos legislative and policy making functions CLHG CPA-Media CPA-CP CPA-Rec03 CPA-REc04 IPU-GD
Committee structures may vary depending on the size of Parliament its constitutional mandate and other country-specific factors However all committees should have adequate resources both human and financial and have the power to summon witnesses including ministers as necessary to fulfill their mission Committee meetings should be generally open and allow for public attendance and participation Committee reports should be published and made readily available to both the government and the public PTAS12 Adequate Independent Parliamentary Budget
Parliamentary Budget It is the duty of the State to provide adequate resources to enable Parliament to perform its functions properly CLHG
Parliamentary independence and effectiveness to carry out its functions is eroded when Parliament lacks control over its own budget or has inadequate finances to manage its committees and carry out various other internal administrative duties14 Parliament 13 IPU and the Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born Philipp H Fluri amp Anders B Johnsson page 16 (Found at httpwwwdcafchpublicationse-publicationsHandbook_eng ) 14 Indeed without adequate resources for the training of new members secretarial office library and research facilities drafting assistance for bills etc Parliament is handicapped
22
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
should be able to design its own budget based on its needs and negotiate with the Executive the amount allocated to it from the national budget There should be sufficient autonomy over these finances by Parliament to protect the institutional independence and integrity It has been suggested that an all-party committee of members of Parliament should review and administer the parliamentary budget Moreover the parliamentary budget should not be subject to amendment by the Executive15 It is the Parliamentary budget that inter alia funds training of parliamentary support staff ensures that library and research facilities are properly and adequately equipped guarantees that legislators have the necessary support staff to undertake their functions and funds security services PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
Parliamentary Conduct Legislators are required to exhibit and promote high standards of professional conduct in order to reinforce public confidence in Parliament which is fundamental to its independence and legitimacy in a democratic society ANTICORRUPTION TREATIES CLHG CLHP
The CLHG outline three components for a comprehensive ethical framework applicable to Parliament
bull Conflict of interest rules and codes of conduct requiring disclosure of interests bull Access to ethics advisors and bull Restrictions on lobbying and interest group influence
Ethical professional conduct requires legislators not only to conform to high standards of ethics in practice but also to avoid the appearance of impropriety The need for financial transparency by public officials has increasingly gained acceptance as anti-corruption issues have become global Legislatorsrsquo professional and private conduct must be subject to some system of internal codified rules regulating standards of behavior and making disclosure of personal income and assets mandatory Other professions have codes of ethics regulating membersrsquo behavior for example doctors and lawyers Ethical rules should include conflict of interest rules outlining incompatible professional activities or interests such as holding another governmental office and restricting certain ventures such as participation or shareholding in corporations These rules should also require the submission to an independent oversight authority of disclosures of income assets and interests These disclosures should then be publicized for broader ethical monitoring by the public Disclosure of interests will go a long way in establishing institutional integrity trust and respect by the public and effective discharge of duties on the part of legislators as they are fully conscious of the ethical parameters which govern them as a profession 15 Commonwealth Latimer House Guidelines Number VII6
23
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
Discipline Just as other professionals have quasi-judicial bodies to regulate discipline and even remove members there should also be an internal or external authority to sanction legislators conduct investigations and hearings and adopt findings and conclusions There should also be a clear appeals process available to any member aggrieved by a decision CLHG
ldquoThe Committee recommends
bull The House should appoint a person of independent standing who should have a degree of tenure and not be a career member of the House of Commons staff as Parliamentary Commissioner for Standards
bull The Commissioners should have independent discretion to decide whether or not a complaint merits investigation or to initiate an investigationrdquo Recommendations of Committee on Standards in Public Life First Report16
Just as any other citizen legislators should be bound by the law In cases when legislators commit acts contrary to the laws and regulations they expose themselves to disciplinary action and prosecution Moreover there are special conditions only for the status of being public servants that they must observe such as compliance of high standards of ethics assets disclosure and conflict of interest rules There must be a clear system of sanctions for non-compliance with the laws and regulations The disciplinary process in representative bodies is a very sensitive one It should not be used to punish the opposition or dissidents In this sense the existence of an objective internal or external body to sanction legislators is essential to the proper operation of the system An additional problem represents the immunity that all legislators should have The immunity is a protection to ensure that legislators can perform their duties without interference it should not however be used as an excuse to avoid sanctions for common misconducts or crimes PTAS15 Parliamentary Immunity
Immunity Legislators shall enjoy personal immunity from civil suits and criminal prosecution for acts and omissions in the exercise of their functions CLHG ECOWAS-P IPU-GD
Legislators should enjoy some degree of immunity from prosecution or civil suit for acts and omissions in the exercise of their functions However no one should be exempted from accountability The requirements of parliamentary independence from political institutional and societal forces must be balanced against those of public accountability
16 These recommendations were implemented by the House of Commons England A Standing Order setting up the office of Parliamentary Commissioner for Standards was set up on 6 November 1995
24
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Consequently the immunity regime should be strictly regulated especially through the recognition of
bull Clear limited scope of immunity (for example it should not cover acts performed outside of office nor common crimes) and
bull Possibility of waivers in clearly defined cases and following a transparent procedure
Regarding the scope of parliamentary immunity its historical roots lie with the freedom of speech of legislators as recognized in the British and American Bills of Rights The underlying justification for immunity is that it allows legislators to fulfill their mandate without fear of retaliatory measures on account of their positions or votes Legislators must therefore be protected against arrest and detention or civil and criminal prosecution for any acts performed or words spoken while in office or in the conduct of parliamentary affairs Legislators should not be subject to any form of inquiry detention or legal proceedings in respect of opinions expressed or votes cast by them in the performance of their duties Immunity should not be limited to acts or speech within the parliamentary facilities Rather immunity must be interpreted as broadly as possible For example the members of the European Parliament enjoy immunity in their own States in the territories of other Member States and whilst traveling to and from the place of the meeting of the European Parliament However immunity should not be absolute The immunity regime applicable to legislators should provide for the possibility of waiving this immunity in limited circumstances in the interests of justice Immunity is not a privilege benefiting individual members but rather a guarantee protecting the independence of Parliament and its members in their relations with other governmental and private bodies17 Parliamentary privileges must be clearly defined and established by law These immunities are not meant to place legislators above the law but to protect them from possible groundless proceedings or accusations that may be politically motivated The grounds and terms for lifting of immunity must be clearly specified by law so that this may only occur following a decision taken by a competent body on a non-partisan basis PTAS16 Parliamentary and Public Access to Information
Access to Information Legislators as well as the general public must have access to accurate timely information and data including legislation parliamentary procedures governmental data and relevant research data Banjul CLHG CLHP CPA-Media CPA-CP CPA-Rec03 CPA-Rec04 CSCE-CD ECHR IACHR ICCPR IPU-DD IPU-GD IPU-Res03 UNHCHR
17 ECPRD Parliamentary Codes of Conduct in Europe by Veronica Williams November 2001
25
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
The free flow of information is essential in a democratic society Access to information should not only be viewed in relation to the media and civil societyrsquos right to access governmental documents but also in relation to the legislatorsrsquo right to access relevant research and information from the government and other sources Access to information can be facilitated by the use of databases networks and information technology in general The media should be free to report the activities of Parliament and the public should be able to attend parliamentary meetings and Committee sittings where appropriate The CPA encouraged Parliaments ldquoto provide live coverage of their proceedings on a dedicated channel andor onlinerdquo in its Recommendations for an Informed Democracy The environment should be made conducive for civil society organizations the public and multiple stakeholders to exchange information with legislators to enable Parliament to effectively discharge its duties of oversight policy making law making representation and recruitment This could be achieved through the establishment of a public information office within Parliament Bills and Acts of Parliament must be published regularly and should be freely available to the public Indeed the CSCE Copenhagen Document notes that ldquolegislation adopted at the end of a public procedure and regulations will be published that being the condition of their applicability Those texts will be accessible to everyonerdquo In its recommendations following a conference on ldquoWhat Parliament and Legislators Can Dordquo the CPA noted that access should be granted ldquoto basic information and documents produced by the parliamentary process such as access to parliamentary libraries the provision of on-line information and the distribution of Parliamentary speeches promptly after delivery in the Houserdquo18 The type of information available to the public and to legislators should include
bull Attendance and voting records bull Registers of membersrsquo interests bull Bills and Acts of Parliament bull Procedural rules bull Codes of Conduct
Legislators should also have access to parliamentary archives as well as all necessary information and data from the government The IPU Guidelines note that ldquolegislators from the majority and the opposition alike are equally entitled to receive in a timely manner the same information from the governmentrdquo
18 Parliament and The Media Building an Effective Relationship 15-18 February 2000 [CPA-Media]
26
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS17 Adequate Facilities Equipment and Technology
Adequate Infrastructure Parliament should have at a minimum the necessary infrastructure and technical assistance including research capacity adequate facilities and equipment to enable it to carry out its basic democratic functions CPA-Rec03 CPA-Rec04 IPU-GD
The working conditions of legislators must be adequate and reflect the importance of Parliament as a key democratic institution Parliament must be housed in one or more buildings with the necessary equipment and office space for legislators and their staff including tables chairs and all other necessary office equipment Adequate resources must be allocated to Parliament andor legislators and support services to maintain and equip their facilities Some of the facilities and services which can be reasonably expected to be available to legislators include
bull Offices bull Secretarial services (general andor individual) bull Library and archive facilities bull Research services (to which requests for information can be submitted) and bull Information technology
In its 2002 Report the CPA Study Group highlights the importance of information technology including ldquoimproved networking between legislators and constituents among legislators between legislators and Parliament and better information sharing and record keepingrdquo Information technology can also facilitate access to information and best practices on the broad range of issues which fall under the purview of parliament including human rights socioeconomic rights and gender issues The use of information technology could include the development of intra-parliament networks and of searchable public databases on parliamentary activity as well as the increased access to outside information for legislators PTAS18 Professional Training for Legislators and Staff
Adequate Training Resources must be allocated to training programs both for new legislators and for the continuing education of sitting legislators These programs must be geared towards developing the skills required by parliamentary functions as well as exposing legislators to substantive issues and developments affecting their legislative oversight and representative functions CLHG CPA-CP
Training should be geared towards providing legislators with the specific skills and knowledge necessary to fulfill their parliamentary functions Legislators just like other professionals need continuing education programs and professional development to keep them updated on emerging democracy and governance trends Equally significant is the need to properly train new or incoming legislators on the constitutional rights and obligations of Parliament internal procedures and order of business ethics etc
27
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS19 Adequately-Compensated Research Library and Committee Staff
Support Staff ldquoParliament should be serviced by professional staff independent of the regular public servicerdquo CLHG IPU-GD
Parliamentary support staff in sufficient numbers and with the appropriate professional skills is crucial for an effective institution Parliamentary staff performs duties such as
bull Assisting in bill drafting bull Tracking the status of bills in the legislative process bull Maintaining and in some cases designing web sites bull Producing and drafting documents about the legislature bull Undertaking accounting and various other clerkship duties
High turnover of parliamentary staff requires more money for attracting new competent staff and providing them with the necessary training It is important to ensure that staff is reasonably well compensated to attract good candidates for the job who will retain their jobs longer When vacancies are not rapidly filled parliamentary work can be undermined resulting in misplacement of documents errors and overall inefficiency Parliamentary staff should be independent from other public service offices Their selection promotion and discipline must be clearly defined and reflect merit-based criteria and transparent processes Professional development opportunities and training should be offered to them The longer support staff stay in Parliament the more it benefits the institution especially as it may provide new legislators with the information and support necessary to adapt to their new functions faster
28
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 1 List of Acronyms
Banjul African Charter on Human and Peoplersquos Rights (1986) CEDAW Convention on the Elimination of All Forms of Discrimination
against Women ICERD Convention on the Elimination of All Forms of Racial
Discrimination CLHP Commonwealth Latimer House Principles on the Accountability and Relationship between the Three Branches of Government (2003) CLHG Commonwealth Latimer House Guidelines (1998) CPA Commonwealth Parliamentary Association CPA-Media Parliament and the Media Building an Effective Relationship
CPA (2000) CPA-CP Capetown Principles for an Informed Democracy CPA (2002) CPA-Rec03 Recommendation for an Informed Democracy CPA (2003) CPA-Rec04 Recommendation for Transparent Governance CPA (2004 CSCE Conference on Security and Cooperation in Europe CSCE-CD Copenhagen Document CSCE (1990) CSCE-MD Moscow Document CSCE (1991) ECHR European Convention on Human Rights and Fundamental
Liberties (1951) ECOWAS-P Protocol ASP11202 on Democracy and Good Governance
ECOWAS (2001) IACHR Inter-American Convention on Human Rights (1978) ICCPR International Covenant on Civil and Political Rights (1966) IPU Inter-Parliamentary Union IPU-DD Universal Declaration on Democracy IPU (1997) IPU-GD Guidelines and Duties for the Opposition in Parliament IPU (1999) IPU-Res03 Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World IPU (2003) UPA Union des Parlementaires Africains [African Parliamentary Union] UPA-Res00 Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence Building between Peoples and their Institutions (2000) UNHCHR United Nations High Commissioner for Human Rights Resolution
200047
29
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 2 Bibliography Governmental Documents
bull Commonwealth Latimer House Standards bull Commonwealth Latimer House Guidelines bull Commonwealth Parliamentary Association (CPA) Parliament and the Media
Building an Effective Relationship bull English Bill of Rights 1689 bull Inter-Parliamentary Union (IPU) Guidelines bull ECOWAS Protocol on Democracy and Good Governance Supplementary to the
Protocol Relating to the Mechanism for Conflict Prevention Management Resolution Peacekeeping and Security
bull Protocol on the Privileges and Immunities of the European Communities bull ECPRD Parliamentary Codes of Conduct in Europe (Compilation by the Council
of Europe Parliamentary Assembly) bull IPU Universal Declaration on Democracy bull International Covenant on Civil and Political Rights (ICCPR) bull The African (Banjul) Charter on Human and Peoplersquos Rights bull The Johannesburg Standards National Security Freedom of Expression and
Access to Information bull Document of the Copenhagen Meeting of the Conference on the Human
Dimension of the CSCE 1990 bull Declaration of Principle on Freedom of Expression in Africa bull Union des Parliamentaires Africains on the Role of Parliaments in the
Consolidation of Democracy and Confidence-Building Between the Peoples and their Institutions 23rd Conference in Addis Ababa 24-25 November 2000
bull The Harare Declaration bull IPU Conference of Presiding Officers of National Parliaments bull International Convention on the Elimination of All Forms of Racial
Discrimination bull Convention on the Elimination of All Forms of Discrimination Against Women bull Report of the Ethics Reform Task Force on H Res 168 105th Congress 1st
Session 17 June 1997 (found at httpwwwhousegovethicsethicsreporttxt ) bull Parliamentary Standards and the Wicks Committee Report Standard Note
SNPC2200 24 June 2003 by Ruth Winstone (found at httpwwwparliamentukcommonslibresearchnotessnpc-02200pdf )
bull Committee on Standards in Public Life First Report Cm 2850 Volume 1 11 May 1995 (found at httpwwwarchiveofficial-documentscoukdocumentcm282850285002pdf )
bull Committee on Standards in Public Life Sixth Report Reinforcing Standards Cm 4557 Volume 1 January 2000 (found at httpwwwpublic-standardsgovuk )
bull Committee on Standards in Public Life Eighth Report Cm 5663 Standards of Conduct in the House of Commons November 2002 (found at httpwww-standardsgovukreports8th_reportreporteighthreportpdf
bull African Union Declarations and Decisions
30
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The African Commission Declaration of Principle on Freedom of Expression in Africa
bull United Nations High Commissioner for Human Rights Resolution 200047
Non-Governmental Documents Transparency and Accountability of the Parliament
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Anti-Corruption Commissions Panacea or Real Medicine to Fight Corruption By John Heilbrunn 2004
bull PREM Notes Public Sector No 74 October 2002 Strengthening Oversight by Legislatures (found at httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull PREM Notes Public Sector No63 March 2002 Strengthening Legislatures Implications from Industrial Countries (found at httpwww1worldbankorgpremPREMNotespremnote63pdf )
bull WBI Working Papers Building a Clean Machine Anti-Corruption Coalitions and Sustainable Reforms by Michael Johnston and Sahr J Kpundeh 2002
bull IFES IFES Parliamentary Toolkit Transparency and Accountability Tools for Civil Society
bull PREM Notes Public Sector No59 October 2001 Features and Functions of Supreme Audit Institutions
bull World Bank Institute Improving Governance and Controlling Corruption Towards a Participatory and Action-oriented Approach Grounded on Empirical Rigor October 2001
bull World Bank Towards Transparency in Finance and Governance by Tara Vishwanath and Daniel Kaufman September 6 1999
bull World Bank Institute Pillars of Integrity The Importance of Supreme Audit Institutions in Curbing Corruption by Kenneth M Dye and Rick Stapenhurst 1998
bull Association of Secretaries General of Parliaments (ASGP) Promoting the Work of Parliament Report by Mr Ian Harris Clerk of the House of Representatives of Australia19 Autumn 2000 (found at httpwwwasgpinfodiscussionshtmstudies)
bull USAID Handbook on Legislative Strengthening httpwwwusaidgovour_workdemocracy_and_governancegovhtml
bull Parliamentary Centre Canada Controlling Corruption A Parliamentarianrsquos Handbook httpwwwparlcentcaindex_ephp
bull Parliamentary Centre Canada Parliamentary Accountability and Good Governance httpwwwparlcentcaindex_ephp
19 This report contains a detailed analysis of the answers from a Questionnaire of how the public is provided information about the operation and work of Parliament The review was launched at the Conference of the Association of Secretaries General of Parliaments which was held in Autumn 2000 in Jakarta
31
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Center for Democracy and Governance February 2000 USAID Handbook on Legislative Strengthening
bull Parliamentary Centre Parliamentary Accountability and Good Governance A Parliamentarianrsquos Handbook
bull Parliamentary Centre Forum on Parliamentary Reform bull NEPAD Library Emerging Legislatures in Emerging African Democracies bull Commonwealth Parliamentary Association and World Bank Institute
Recommendations for Transparent Governance Conclusions of a CPA Study Group on Access to Information Accra Ghana 5-9 July 2004
bull GOPAC Parliamentarians Fighting Corruption A Conceptual Overview PCentrefsPCentreSProjectsParliamentary_RelationsGOPACWBI
bull International IDEA Democracy Assessment Questionnaire wwwideaintideas_work14_statedemocracy_assessmentpdf
bull NDI and UNDP Parliaments and Poverty Series Toolkit No1 Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Strengthening the Accountability Process and Parliamentary Reform A Report on the Parliamentary Roundtable Held in Bhurban Pakistan March 1-2 1997
Independence of the Parliament bull NDI Strengthening Legislative Capacity in Legislative-Executive Relations
Paper 6 httpwwwndiorgglobalpgovgovernanceasp bull Venice Commission Opinion on the Draft Proposal for Rules of Procedure of the
Assembly of the Republic of Macedonia by Georg Nolte July 5 2002 bull Venice Commission Report on the Referral of a Law Back to Parliament by the
Head of State November 15 1996 bull AGSP The Role of the Secretary General in the Administration of Parliament
Report by Mr Ugo Zampetti General Secretary of the Chamber of Deputies (Italy) October 2000 Review no 180
bull AGSP Constitutional and Parliamentary Information The Status of Parliamentary Groups
Parliamentary Immunity
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union Part Three Immunity in the European Parliament June 2001
bull Venice Commission Opinion 11995 Report on the Regime of Parliamentary Immunity CDL ndash INF(1996) 007 6496 (found at httpvenicecoeintsitedynamicsN_Opinion_efaspampL=EampOID=1 )
bull Venice Commission Supplementary Opinion on the Revision of the Constitution of Romania October 18 2002
32
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Venice Commission Draft Report ndash The Regime of Parliamentary Immunity April 29 1996
bull Venice Commission Questionnaire on Parliamentary Immunity prepared by Mr GW Maas-Geesteranus June 19 1995
Freedom of Parliamentary Speech
bull AGSP The Immunities of Members of Parliament Report prepared by Mr Robert Myttenaere September 1998
bull AGSP Position of Witnesses before Parliamentary Committees Report prepared by Mr Demaree JB Raval April 1997
Conflict of Interest amp Ethics
bull Parliamentary Affairs A Journal of Comparative Politics Volume 55 No 4 October 2002 Conduct Unbecoming The Regulation of Legislative Ethics in Britain and the United States by Robert Williams
bull Parliamentary Affairs A Journal of Comparative Politics Volume 52 No 3 July 1999 Parliament in the Age of Internet by S Coleman JA Taylor and W Van de Donk
bull European Centre for Parliamentary Research and Documentation (ECPRD) Parliamentary Codes of Conduct in Europe an Overview November 2001
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union June 2001
bull Research Paper Commissioned on behalf of The Committee on Standards in Public Life May 2002 The Regulation of Parliamentary Standards ndash A Comparative Perspective (found at httpwwwpublic-standardsgovukreports8th_reportreportresearchdoc
bull House of Representatives Resolution 168 on the Report of the Ethics Reform Task Force 18 June 1997
bull NDI Accountability Ethics and Transparency in Government Pakistan Study Mission to South Africa June 3 1997
bull NDI Report on Regional Consultative Workshops ndash Ethics Questionnaire August 1998
bull Council of Europe Steering Committee on Local and Regional Democracy (CDLR) Public Ethics at Local Level Model Initiatives Package November 25 2002
bull NDI Legislative Research Series Paper No 4 ndash Legislative Ethics A Comparative Analysis 1999
bull OECD United States Case Study ndash Ethics and Corruption The Management of Ethics and Conduct in the Public Service by Stuart Gilman December 1995
bull OECD Recommendations of the Council on Guidelines for Managing Conflict of Interest in the Public Service June 2003
33
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Sanction and Removal of Legislators bull Venice Commission Comments on the Draft Law of the Chechen Republic on
Elections to the Parliament of the Chechen Republic As Submitted to Referendum by Mr G Nolte March 23 2003
bull Venice Commission Opinion on the Draft Law on the Public Attorney (Ombudsman) of ldquoThe Former Yugoslav Republic of Macedoniardquo March 15 2003
bull Venice Commission Comments on the Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia by Ms Serra Lopes February 28 2003
bull Venice Commission Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia February 2003
bull WBI PREM Notes Public Sector Number 19 April 1999 Using an Ombudsman to oversee Public Officials
bull AGSP The Office of the Parliamentary Ombudsman March 1994 Salaries and Benefits of Legislators
bull AGSP The Social Protection of Parliamentarians Report by Mrs Helene Ponceau General Secretary of the Senate Quaestorrsquos Office [Havana Senate Treasurerrsquos Department] Review No 181 April 2001
Professional Development and Training
bull SADC Parliamentary Forum MPs Orientation Handbook ndash Professional Performance and Development httpwwwsadcpforgaboutindexasp
The Parliament and the Budget Cycle
bull OECD Development Centre Policy Brief No 22 Strengthening Participation in Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD May 2001 OECD Best Practices for Budget Transparency bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and
Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull ASGP The Administrative and Financial Autonomy of Parliamentary Assemblies Report prepared by Michel Couderc (France) adopted at the Moscow Session (September 1998)
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development The Legislature and the Budget by Frederick Stapenhurst 2004 httpwwwworldbankorgwbigovernanceparliament
34
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull WBI Working Papers Series on Contemporary Issues in Parliamentary
Development Parliaments and the PRSP Process by Scott Hubli and Alicia P Mandaville 2004
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull WBI PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull WBI PREM Notes Public Sector Number 74 October 2002 Strengthening Oversight by Legislatures
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull Commonwealth Parliamentary Association (CPA) The Parliamentarian 2002
Issue Two 179 Parliaments and Poverty by Ms Frannie A Lrsquoeautier bull Parliamentary Centre Canada and WBI and CIDA (with support from the
International Development Research Centre) Handbook on Parliamentarians and Policies to Reduce Poverty May 2001
bull Parliamentary Centre Cambodia Focus Group on Parliamentrsquos Role in the Budget Process Analysis
bull Parliamentary Centre Indicators of Parliamentary Performance in the Budget Process
bull The International Budget Project Legislatures and Budget Oversight httpwwwinternationalbudgetorgthemesLEGindexhtm
bull NDI Legislatures and the Budget Process An International Survey 2003 httpwwwndiorgglobalpgovgovernanceasp
bull NDI Parliaments and Poverty Series Toolkit No1 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Parliaments and Poverty Series Toolkit No2 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives
35
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull NDI Parliaments and Poverty Series Toolkit No3 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative Public Outreach on Poverty Issues
bull UNDP IPU WBI and UNIFEM Parliament The Budget and Gender httpwwwundporgdpapublicationsgovernancehtml
bull IMF Finance amp Development Magazine December 2002 Volume 39 Number 4 A Bigger Role for Legislators
bull Case Study PRSPs and Parliament by Stephen Langdon bull Ministry of Foreign Affairs Netherlands March 2002 Economics and Finance
(b) Budget Impact Assessments (Gender Budgeting) bull Cagatay N M Keklik R Lal and J Lang (2000) ldquoBudgets As if People
Mattered Democratizing Macroeconomic Policiesrdquo SEPED Conference Paper Series Number 4 May
bull Navarro Z (1998) ldquoParticipation Democratizing Practices and the Formulation of a Modern Policy ndash the Case of ldquoParticipatory Budgetingrdquo in Porto Alegre Brazil (1989-1998) Development Sage London Volume 41 number 3 September
Representative and Inclusive Parliament
bull Commonwealth Parliamentary Association (CPA) Commonwealth Women Parliamentarians Into The Democratic Mainstream August 2002
bull CPA EnGendering Development and Democracy May 2004 bull IPU and UNDP Guidelines on the Rights and Duties of the Opposition in
Parliament May 19 1999 (Unanimously adopted by the participants at the Parliamentary Seminar on Relations Between Majority and Minority Parties in African Parliaments Libreville (Gabon) 17-19 May 1999)
bull AWEPA European Parliamentarians for Africa OPS7 Parliamentary Gender Handbook South Africa 2001 (found at httpwwwawepaorgdownloadsOPS07-_Parliamentary_Gender_Handbook-_South_Africapdf
Free Elections of Legislators
bull Venice Commission Opinion 2502003 Report on Electoral Systems - Overview of Available Solutions and Selection Criteria Adopted by the Venice Commission at its 57th Plenary Session CDL ndash AD(2004)003 (found at httpvenicecoeintdocs2004CDL-AD(2004)003-easp )
bull Venice Commission Opinion 2392003 Comments on the Draft Law of the Chechen Republic on Elections to the Parliament of the Chechen Republic CDL (2003)021rev (found at httpvenicecoeintdocs2003CDL(2003)021rev-easp )
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Resolution 1320 (2003) httpassemblycoeintDocumentsAdoptedTextTA03ERES1320htm
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Document 9267 15 October 2001
36
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
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rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
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render impossible the exercise of the core functions of Parliament lawmaking and oversight In order to be independent legislators must be able to discharge their duties without fear for their physical security or the well being of their families and staff This principle requires the State to provide security services for legislators and to secure the House of Parliament PTAS2 Free and Fair Parliamentary Elections
Parliamentary Elections The process of the election of members of Parliament should be open and transparent allowing for full citizen participation and free of coercion fraud or violence CLHG CSCE-CD ECOWAS-P IPU-DD IPU-Res03 UNHCHR UPA-Res00
The right of everyone to take part in the government of hisher country is expressed through the right to freely choose representatives Parliaments differ in the manner and types of election held to elect members There is an international consensus on the need to provide voting rights for all citizens on the basis of universal equal and secret suffrage so that all voters can choose their representatives in an environment conducive to equality and political competition The different systems include direct and indirect proportional versus single constituency The IPU Declaration on Democracy notes that holding free and fair elections which allow the expression of the peoplersquos will at regular intervals is a key element of democracy This Standard is seen as the best way of guaranteeing representative democracy Whatever the system used elections of legislators must be organized following an open and transparent process There must be full citizen participation without a suggestion of manipulation Legislators should not be required to run for office exclusively under the nomination of a Political party PTAS3 Transparent Adequate Political Financing and Compensation
Political finance The fight against corruption requires the adoption of clear rules for transparent political financing of legislators their campaigns and their political organizations need to be adopted These rules should include transparent compensation as well as the disclosure of campaign account income and assets of legislators Anticorruption Treaties Adequate compensation Legislators should receive adequate salaries and benefits which are comparable to those of equivalent positions in the other branches of government and private sector CLHG IPU-DD
The financing of any parliamentary candidate by his her political party should be transparent and there should be clear written rules and regulations on the types of political financing which are impermissible and illegal and those which are permitted and legal
15
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Clear rules for political party and campaign financing ndash these rules should foster financial transparency and integrity
bull Income and asset disclosure requirements bull Oversight by an independent authority (internal ie Parliamentary Committee or
external) and publication of information To the extent possible political parties and parliamentary candidates should be required to place all contributions above a certain limit in official bank accounts and use these accounts for all campaign expenditures Official bank accounts are accounts which are fully documented and disclosed Disclosure requirements should cover all income assets and expenditures related to the campaign and should be made to an independent official agency Uniform and reliable software will help monitor all income and expenditure during political campaigns The independent official agency should verify and report on the parliamentary campaign finance data Additional independent verifications and reports should be undertaken by civil society to avoid collusion A serious problem in many countries has been the use of parliamentary resources such as office space staff time or funds by incumbents This is a practice which should be seriously discouraged or even outlawed as it constitutes a misuse of funds by parliamentarians Legislators should also be adequately compensated for their work Compensation includes both their salary and any additional benefit granted to workers The adequacy of compensation will be assessed in comparison with the cost of living and the compensation-level of senior officials in the Executive judiciary and private sector Due to high turnover in parliamentary office an appropriate compensation level is important to attract high-quality people and to shield legislators from outside pressure Pension entitlement by virtue of office is a widely recognized right in most Parliaments independently of the diversity of the methods and procedures chosen to implement it A number of other countries in which no recognized pension scheme currently exists for Legislators have indicated that this subject is currently under review (Egypt Lesotho Nigeria Thailand) The great majority of legislators today benefit from social security (sickness maternity invalidity death and industrial injury insurance) coverage while in office This is for the most part organized within the framework of the common labor rights legislation of each country9 Transparency regarding all amounts received by legislators as compensation is necessary to promoting parliamentary accountability and ethics Legislators and if possible their dependents should be required to disclose all their incomes assets and relevant interests to an independent official agency The public should have an opportunity to access information about the salaries and other benefits of the legislators whom they have elected Like with parliamentary campaign finance uniform and reliable software will
9 Helene Ponceau AGSP Report April 2001 This report is based on a questionnaire of the Association of General Secretaries of Parliaments approved at the Berlin session in October 1999 and sent to 56 countries
16
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
help monitor the disclosures and verification and reporting by the independent official agency as well as civil society will foster more transparency and accountability PTAS4 Representative Parliament
Broad-Based Representation An inclusive fully representative Parliament across gender ethnicity political affiliation religion etc is one of the main tenets of a democratic society CLHG CSCE-CD ECOWAS-P IPU-GD IPU-Res03 UNHCHR UPA-Res00
There is increasing consensus at the international level that democratic institutions must be representative of the diversities of society Parliament should therefore be composed of a broad cross-section of society including members of different genders ethnicity political affiliation religion etc Diversity in institutional membership echoes the Standards enshrined in the numerous conventions against discrimination which have been ratified in the past decades10
A broad-based representative Parliament will contribute to the promotion of the right of everyone to take part in government and of all interests to be given expression As noted by the IPU in its Declaration on Democracy ldquoDemocracy is founded on the right of everyone to take part in the management of public affairs it therefore requires the existence of representative institutions at all levels and in particular a Parliament in which all components of society are represented and which has the requisite powers and means to express the will of the people by legislating and overseeing government actionrdquo Some countries have taken additional steps to encourage participation by marginalized groups such as women or minorities For example in Pakistan quotas for gender participation were established 33 quota in direct elections (local) and 17 quota in indirect national elections (legislature and senate) Women membership in the legislature is currently at 21 slightly above the mandatory quota PTAS5 Security of Tenure
Security of tenure ldquoSecurity of Members during their Parliamentary term is fundamental to Parliamentary independencerdquo CLHG CSCE-CD
The legitimacy of Parliament rests on the fact that its membership is rooted in the will of the people who chose representatives in periodic elections In order to guarantee that their will is respected the term of office of legislators must be respected Certain classes of legislators may have life terms (cite House of Lords other examples) but most legislators are elected for fixed terms Exceptionally the tenure of legislators may be terminated but such mechanisms must be narrowly defined and follow clear transparent
10 See for example the International Convention on the Elimination of All Forms of Racial Discrimination [CERD] (1965) and the International Convention on the Elimination of All Forms of Discrimination against Women [CEDAW] (1979)
17
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
legal procedures This may be the case for immunity waivers in case of criminal offences committed by a legislator or of dissolution of parliament by the executive The CLHG lists three requirements to protect the security of tenure of legislators in its guideline number 2
ldquo (a) The expulsion of members from Parliament as a penalty for leaving their parties (floor-crossing) should be viewed as a possible infringement of membersrsquo independence anti-defection measures may be necessary in some jurisdictions to deal with corrupt practices
(b) Laws allowing for the recall of members during their elected term should be viewed with caution as a potential threat to the independence of members
(c) The cessation of membership of a political party of itself should not lead to the loss of a Memberrsquos seatrdquo
PTAS6 Freed Parliamentary Speech
Freedom of Speech The true expression of democracy lies in the right to free speech This should not just be a right guaranteed to the general public but legislators also must be free from censorship and defamation laws that restrict the right to criticize government thereby curtailing parliamentary oversight of the Executive Banjul CLHG CLHP CPA-Media CPA-Rec03 ECHR IACHR ICCPR IPU-GD IPU-DD UPA-Res00
The International Covenant on Civil and Political Rights (ICCPR) expressly states in article 19(1) that everyone shall have the right to hold opinions without interference Article 19(2) guarantees the right to freedom of expression and broadens it to include the freedom to seek receive and impart information and ideas of all kinds regardless of frontiers either orally in writing or in print in the form of art or through any other media of choice These rights are not absolute and may be restricted under specific circumstances as outlined in article 19(3) Most international human rights instruments provide that every individual shall have the right to express and disseminate his opinions within the law Other instruments recognize the right of freedom of expression as an inalienable fundamental right Free speech rights should entitle legislators to
bull Put written and oral questions to members of the government and receive answers to these questions The opposition in Parliament should also be entitled to speaking time proportionate to its numbers in sittings set aside for oral questions
bull Request documents and receive such documents in a timely manner National security concerns constitute one of the main reasons why governments restrict freedom of expression Freedom of expression should not be restricted on public order or national security grounds unless there is a real risk of harm to a legitimate interest and there is a causal link between the risk of harm and the expression
18
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Defamation laws are a serious concern for legislators when seeking to protect or exercise their freedom of expression rights Legislators should be free from improper pressures in the discharge of their functions These improper pressures can be in the form of criminal laws and the use of defamation proceedings restricting legitimate criticism of the government by legislators Criminal defamation laws need to be carefully reviewed Similarly the defense of qualified privilege with respect to reports of parliamentary proceedings should be drawn as broadly as possible to permit full public reporting and discussion of public affairs and offence of contempt of Parliament should be drawn as narrowly as possible There is a need to achieve a balance between the free speech rights of Legislators vis-agrave-vis the government and the publicrsquos right of free speech vis-agrave-vis the Parliament PTAS7 Participatory Transparent Law and Decision-Making Processes
Parliamentary Processes Parliament must be open transparent and accountable to the public in its lawmaking and policymaking functions In this regard the free flow of information from Parliament to its members and the public as well as avenues for effective public participation is fundamental to a democratic Parliament CLHG CLHP ECOWAS-P IPU-GD IPU-Res03 UPA-Res00
Law and policy-making are the primary responsibilities of Parliament as the elected body representing the people The Executive may initiate laws and policies and the Judiciary may be constructive and purposive in the interpretation of legislation neither must be seen as usurping Parliamentrsquos legislative function Ultimately only the Parliament is entitled to adopt laws for the country Consequently legislators should be encouraged to adopt national policies and laws through open processes which allow for consultation and citizen participation Parliamentary processes must be not only transparent but also participatory Participation starts with the right to form democratic political parties and entails the need for transparent and fairness in the electoral process including through appropriate access to funds and free independent and pluralistic media Transparent decision-making and law-making processes create ownership in governance by the public which is necessary in a democratic society The Parliament should implement efficient mechanisms to allow and encourage public participation in the different stages of the law making process From the moment that Parliament receives a bill from the Executive or from the moment a bill is drafted by a committee civil society representatives should have a voice and be consulted Civil society participation will add a fresh look and ensure a better response to community needs Legislators will benefit from input and the resulting laws will better reflect real needs and local buy-in Committees meetings and parliamentary sessions should be usually open to the public Information on meetings and final decisions should be broadly disseminated Parliament should be consulted by the government on important questions affecting the life of the nation war national security human rights economic policy social rights
19
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
labor markets etc This will enable the opposition to take part in the debate and provide its input to the decision-making process The opposition must also be able to raise matters regarding the Constitution with a view to its amendment PTAS8 Transparent Oversight of the Executive
General Oversight One of the core functions of Parliament is to provide a continuous check on the activities of the Executive In performing this oversight function Parliament must follow transparent procedures and respect strict standards of accountability CLHG CLHP IPU-GD UPA-Res00
The separation of powers not only means that each branch of government is independent from the other two but also that mechanisms of checks and balances are in place to avoid abuses and encroachments To that end the Parliament is traditionally entrusted with the responsibility of overseeing the activities of the Executive The Executive as Parliament must follow high standards of accountability transparency and responsibility in the performance of its duties Parliament is responsible for ensuring that these standards are met and for providing adequate mechanisms to challenge the Executive for failure to meet these standards Oversight may take place in the form of periodic questions to the government in a parliamentary sessions or investigations undertaken by parliamentary commissions or votes of confidencenon-confidence Parliamentary procedures should be transparent and allow for public scrutiny Governments should be required to announce publicly within a defined time period their responses to committee investigations PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
Budget Design and Oversight Parliament is traditionally responsibly for adopting the national budget There is a growing international consensus that Parliaments around the world need to make maximum use of existing processes for exerting influence in national budget control scrutiny and accountability IPU-Res03 UPA-Res00
Parliament must have a certain amount of authority to affect the budget otherwise its role in establishing national policy and representing citizen interests will remain limited11 Involvement should extend beyond budget approval and include budget formulation tracking and accountability Unless it has substantial involvement beyond approval Parliament will do no more than rubberstamp the Executiversquos budgetary and policy decisions To promote more accountability in government Parliament should be entitled to monitor income and expenditures especially how effectively government programs and activities are administered
11 USAID Handbook
20
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Parliamentary procedures should therefore provide adequate mechanisms to oversee the Executive including accountability mechanisms targeted at budget development effective money flows budget implementation etc This can be achieved by allowing independent audits of public accounts establishing that the opposition will chair the Public Accounts Committee or a combination of the mechanisms andor others PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
International Obligations and Parliament International treaties carry a general obligation for signatory States to ratify and to adopt all necessary measures for their implementation Both functions should fall on Parliament CLHG CLHP IPU-Res03
The need for governments to respect their international law obligations has become more urgent post World War II particularly as inter-State conflicts are on the rise Legislators as law makers and representatives of the people need to be more proficient in their knowledge and understanding of human rights and humanitarian law instruments including those relating to economic social and cultural rights In a 2000 Declaration the Conference of Presiding Officers of National Parliaments outlined the four inter-connected levels of intervention for Parliaments in relation to international obligations
bull ldquoInfluencing their respective countriesrsquo policy on matters dealt with in the United Nations and other international negotiating forums
bull Keeping themselves informed of the progress and outcome of these negotiations bull Deciding on ratification where the Constitution so foresees of texts and treaties
signed by governments and bull Contributing actively to the subsequent implementation processrdquo12
Parliaments play a central role in adjusting domestic law to international standards According to the legal systems of many countries Parliaments are not only the bodies entitled to ratify international obligations but also the ones responsible for adopting the necessary implementing legislation Many international treaties particularly those related to human rights the environment gender and corruption require that States parties adjust their national legislation to match the minimum standards laid out in the treaties For example United Nations Convention against Corruption (2004) is explicitly applicable to legislators Indeed its scope covers ldquopublic officialsrdquo who are defined as including any person holding parliamentary office in a State party Compliance with this provision and others often requires the adoption of legislation Conventions generally include explicit requirements for the adoption of new laws by national Parliaments
12 Conference of Presiding Officers of National Parliaments organized by the IPU in cooperation with the UN Declaration adopted by at UN Headquarters New York 30 August ndash 1st September 2000
21
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The United Nations Convention against Corruption (2004) establishes that each State party should develop and implement anti-corruption policies
bull The Inter-American Convention against Corruption (1996) requires in its article VII the adoption by State parties of all ldquonecessary legislative or other measures to establish as criminal offences under their domestic law the acts of corruption described in Article VI(1) and to facilitate cooperation among themselves pursuant to this Conventionrdquo
As guardians of the Constitution legislators have an obligation to protect the human rights of people This obligation is reinforced by the requirement to comply with international and regional human rights treaties This obligation to protect and legislate in support of human rights should lead to increased oversight by Parliament in areas in which the Executive has traditional exercised blanket discretionary powers such as national security There has been a growing consensus on the need to shift focus away from military security to broader factors of ldquohuman securityrdquo such as environmental economic social as well as political13 PTAS11 Transparent Efficient Parliamentary Committees
Parliamentary Committees The legislative and oversight functions of Parliament are actually undertaken by Parliamentary Committees the powers and structures of which differ from country to country It is essential for these committees to be properly structured and well funded to enable them to be effective in discharging Parliamentrsquos legislative and policy making functions CLHG CPA-Media CPA-CP CPA-Rec03 CPA-REc04 IPU-GD
Committee structures may vary depending on the size of Parliament its constitutional mandate and other country-specific factors However all committees should have adequate resources both human and financial and have the power to summon witnesses including ministers as necessary to fulfill their mission Committee meetings should be generally open and allow for public attendance and participation Committee reports should be published and made readily available to both the government and the public PTAS12 Adequate Independent Parliamentary Budget
Parliamentary Budget It is the duty of the State to provide adequate resources to enable Parliament to perform its functions properly CLHG
Parliamentary independence and effectiveness to carry out its functions is eroded when Parliament lacks control over its own budget or has inadequate finances to manage its committees and carry out various other internal administrative duties14 Parliament 13 IPU and the Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born Philipp H Fluri amp Anders B Johnsson page 16 (Found at httpwwwdcafchpublicationse-publicationsHandbook_eng ) 14 Indeed without adequate resources for the training of new members secretarial office library and research facilities drafting assistance for bills etc Parliament is handicapped
22
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
should be able to design its own budget based on its needs and negotiate with the Executive the amount allocated to it from the national budget There should be sufficient autonomy over these finances by Parliament to protect the institutional independence and integrity It has been suggested that an all-party committee of members of Parliament should review and administer the parliamentary budget Moreover the parliamentary budget should not be subject to amendment by the Executive15 It is the Parliamentary budget that inter alia funds training of parliamentary support staff ensures that library and research facilities are properly and adequately equipped guarantees that legislators have the necessary support staff to undertake their functions and funds security services PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
Parliamentary Conduct Legislators are required to exhibit and promote high standards of professional conduct in order to reinforce public confidence in Parliament which is fundamental to its independence and legitimacy in a democratic society ANTICORRUPTION TREATIES CLHG CLHP
The CLHG outline three components for a comprehensive ethical framework applicable to Parliament
bull Conflict of interest rules and codes of conduct requiring disclosure of interests bull Access to ethics advisors and bull Restrictions on lobbying and interest group influence
Ethical professional conduct requires legislators not only to conform to high standards of ethics in practice but also to avoid the appearance of impropriety The need for financial transparency by public officials has increasingly gained acceptance as anti-corruption issues have become global Legislatorsrsquo professional and private conduct must be subject to some system of internal codified rules regulating standards of behavior and making disclosure of personal income and assets mandatory Other professions have codes of ethics regulating membersrsquo behavior for example doctors and lawyers Ethical rules should include conflict of interest rules outlining incompatible professional activities or interests such as holding another governmental office and restricting certain ventures such as participation or shareholding in corporations These rules should also require the submission to an independent oversight authority of disclosures of income assets and interests These disclosures should then be publicized for broader ethical monitoring by the public Disclosure of interests will go a long way in establishing institutional integrity trust and respect by the public and effective discharge of duties on the part of legislators as they are fully conscious of the ethical parameters which govern them as a profession 15 Commonwealth Latimer House Guidelines Number VII6
23
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
Discipline Just as other professionals have quasi-judicial bodies to regulate discipline and even remove members there should also be an internal or external authority to sanction legislators conduct investigations and hearings and adopt findings and conclusions There should also be a clear appeals process available to any member aggrieved by a decision CLHG
ldquoThe Committee recommends
bull The House should appoint a person of independent standing who should have a degree of tenure and not be a career member of the House of Commons staff as Parliamentary Commissioner for Standards
bull The Commissioners should have independent discretion to decide whether or not a complaint merits investigation or to initiate an investigationrdquo Recommendations of Committee on Standards in Public Life First Report16
Just as any other citizen legislators should be bound by the law In cases when legislators commit acts contrary to the laws and regulations they expose themselves to disciplinary action and prosecution Moreover there are special conditions only for the status of being public servants that they must observe such as compliance of high standards of ethics assets disclosure and conflict of interest rules There must be a clear system of sanctions for non-compliance with the laws and regulations The disciplinary process in representative bodies is a very sensitive one It should not be used to punish the opposition or dissidents In this sense the existence of an objective internal or external body to sanction legislators is essential to the proper operation of the system An additional problem represents the immunity that all legislators should have The immunity is a protection to ensure that legislators can perform their duties without interference it should not however be used as an excuse to avoid sanctions for common misconducts or crimes PTAS15 Parliamentary Immunity
Immunity Legislators shall enjoy personal immunity from civil suits and criminal prosecution for acts and omissions in the exercise of their functions CLHG ECOWAS-P IPU-GD
Legislators should enjoy some degree of immunity from prosecution or civil suit for acts and omissions in the exercise of their functions However no one should be exempted from accountability The requirements of parliamentary independence from political institutional and societal forces must be balanced against those of public accountability
16 These recommendations were implemented by the House of Commons England A Standing Order setting up the office of Parliamentary Commissioner for Standards was set up on 6 November 1995
24
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Consequently the immunity regime should be strictly regulated especially through the recognition of
bull Clear limited scope of immunity (for example it should not cover acts performed outside of office nor common crimes) and
bull Possibility of waivers in clearly defined cases and following a transparent procedure
Regarding the scope of parliamentary immunity its historical roots lie with the freedom of speech of legislators as recognized in the British and American Bills of Rights The underlying justification for immunity is that it allows legislators to fulfill their mandate without fear of retaliatory measures on account of their positions or votes Legislators must therefore be protected against arrest and detention or civil and criminal prosecution for any acts performed or words spoken while in office or in the conduct of parliamentary affairs Legislators should not be subject to any form of inquiry detention or legal proceedings in respect of opinions expressed or votes cast by them in the performance of their duties Immunity should not be limited to acts or speech within the parliamentary facilities Rather immunity must be interpreted as broadly as possible For example the members of the European Parliament enjoy immunity in their own States in the territories of other Member States and whilst traveling to and from the place of the meeting of the European Parliament However immunity should not be absolute The immunity regime applicable to legislators should provide for the possibility of waiving this immunity in limited circumstances in the interests of justice Immunity is not a privilege benefiting individual members but rather a guarantee protecting the independence of Parliament and its members in their relations with other governmental and private bodies17 Parliamentary privileges must be clearly defined and established by law These immunities are not meant to place legislators above the law but to protect them from possible groundless proceedings or accusations that may be politically motivated The grounds and terms for lifting of immunity must be clearly specified by law so that this may only occur following a decision taken by a competent body on a non-partisan basis PTAS16 Parliamentary and Public Access to Information
Access to Information Legislators as well as the general public must have access to accurate timely information and data including legislation parliamentary procedures governmental data and relevant research data Banjul CLHG CLHP CPA-Media CPA-CP CPA-Rec03 CPA-Rec04 CSCE-CD ECHR IACHR ICCPR IPU-DD IPU-GD IPU-Res03 UNHCHR
17 ECPRD Parliamentary Codes of Conduct in Europe by Veronica Williams November 2001
25
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
The free flow of information is essential in a democratic society Access to information should not only be viewed in relation to the media and civil societyrsquos right to access governmental documents but also in relation to the legislatorsrsquo right to access relevant research and information from the government and other sources Access to information can be facilitated by the use of databases networks and information technology in general The media should be free to report the activities of Parliament and the public should be able to attend parliamentary meetings and Committee sittings where appropriate The CPA encouraged Parliaments ldquoto provide live coverage of their proceedings on a dedicated channel andor onlinerdquo in its Recommendations for an Informed Democracy The environment should be made conducive for civil society organizations the public and multiple stakeholders to exchange information with legislators to enable Parliament to effectively discharge its duties of oversight policy making law making representation and recruitment This could be achieved through the establishment of a public information office within Parliament Bills and Acts of Parliament must be published regularly and should be freely available to the public Indeed the CSCE Copenhagen Document notes that ldquolegislation adopted at the end of a public procedure and regulations will be published that being the condition of their applicability Those texts will be accessible to everyonerdquo In its recommendations following a conference on ldquoWhat Parliament and Legislators Can Dordquo the CPA noted that access should be granted ldquoto basic information and documents produced by the parliamentary process such as access to parliamentary libraries the provision of on-line information and the distribution of Parliamentary speeches promptly after delivery in the Houserdquo18 The type of information available to the public and to legislators should include
bull Attendance and voting records bull Registers of membersrsquo interests bull Bills and Acts of Parliament bull Procedural rules bull Codes of Conduct
Legislators should also have access to parliamentary archives as well as all necessary information and data from the government The IPU Guidelines note that ldquolegislators from the majority and the opposition alike are equally entitled to receive in a timely manner the same information from the governmentrdquo
18 Parliament and The Media Building an Effective Relationship 15-18 February 2000 [CPA-Media]
26
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS17 Adequate Facilities Equipment and Technology
Adequate Infrastructure Parliament should have at a minimum the necessary infrastructure and technical assistance including research capacity adequate facilities and equipment to enable it to carry out its basic democratic functions CPA-Rec03 CPA-Rec04 IPU-GD
The working conditions of legislators must be adequate and reflect the importance of Parliament as a key democratic institution Parliament must be housed in one or more buildings with the necessary equipment and office space for legislators and their staff including tables chairs and all other necessary office equipment Adequate resources must be allocated to Parliament andor legislators and support services to maintain and equip their facilities Some of the facilities and services which can be reasonably expected to be available to legislators include
bull Offices bull Secretarial services (general andor individual) bull Library and archive facilities bull Research services (to which requests for information can be submitted) and bull Information technology
In its 2002 Report the CPA Study Group highlights the importance of information technology including ldquoimproved networking between legislators and constituents among legislators between legislators and Parliament and better information sharing and record keepingrdquo Information technology can also facilitate access to information and best practices on the broad range of issues which fall under the purview of parliament including human rights socioeconomic rights and gender issues The use of information technology could include the development of intra-parliament networks and of searchable public databases on parliamentary activity as well as the increased access to outside information for legislators PTAS18 Professional Training for Legislators and Staff
Adequate Training Resources must be allocated to training programs both for new legislators and for the continuing education of sitting legislators These programs must be geared towards developing the skills required by parliamentary functions as well as exposing legislators to substantive issues and developments affecting their legislative oversight and representative functions CLHG CPA-CP
Training should be geared towards providing legislators with the specific skills and knowledge necessary to fulfill their parliamentary functions Legislators just like other professionals need continuing education programs and professional development to keep them updated on emerging democracy and governance trends Equally significant is the need to properly train new or incoming legislators on the constitutional rights and obligations of Parliament internal procedures and order of business ethics etc
27
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS19 Adequately-Compensated Research Library and Committee Staff
Support Staff ldquoParliament should be serviced by professional staff independent of the regular public servicerdquo CLHG IPU-GD
Parliamentary support staff in sufficient numbers and with the appropriate professional skills is crucial for an effective institution Parliamentary staff performs duties such as
bull Assisting in bill drafting bull Tracking the status of bills in the legislative process bull Maintaining and in some cases designing web sites bull Producing and drafting documents about the legislature bull Undertaking accounting and various other clerkship duties
High turnover of parliamentary staff requires more money for attracting new competent staff and providing them with the necessary training It is important to ensure that staff is reasonably well compensated to attract good candidates for the job who will retain their jobs longer When vacancies are not rapidly filled parliamentary work can be undermined resulting in misplacement of documents errors and overall inefficiency Parliamentary staff should be independent from other public service offices Their selection promotion and discipline must be clearly defined and reflect merit-based criteria and transparent processes Professional development opportunities and training should be offered to them The longer support staff stay in Parliament the more it benefits the institution especially as it may provide new legislators with the information and support necessary to adapt to their new functions faster
28
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 1 List of Acronyms
Banjul African Charter on Human and Peoplersquos Rights (1986) CEDAW Convention on the Elimination of All Forms of Discrimination
against Women ICERD Convention on the Elimination of All Forms of Racial
Discrimination CLHP Commonwealth Latimer House Principles on the Accountability and Relationship between the Three Branches of Government (2003) CLHG Commonwealth Latimer House Guidelines (1998) CPA Commonwealth Parliamentary Association CPA-Media Parliament and the Media Building an Effective Relationship
CPA (2000) CPA-CP Capetown Principles for an Informed Democracy CPA (2002) CPA-Rec03 Recommendation for an Informed Democracy CPA (2003) CPA-Rec04 Recommendation for Transparent Governance CPA (2004 CSCE Conference on Security and Cooperation in Europe CSCE-CD Copenhagen Document CSCE (1990) CSCE-MD Moscow Document CSCE (1991) ECHR European Convention on Human Rights and Fundamental
Liberties (1951) ECOWAS-P Protocol ASP11202 on Democracy and Good Governance
ECOWAS (2001) IACHR Inter-American Convention on Human Rights (1978) ICCPR International Covenant on Civil and Political Rights (1966) IPU Inter-Parliamentary Union IPU-DD Universal Declaration on Democracy IPU (1997) IPU-GD Guidelines and Duties for the Opposition in Parliament IPU (1999) IPU-Res03 Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World IPU (2003) UPA Union des Parlementaires Africains [African Parliamentary Union] UPA-Res00 Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence Building between Peoples and their Institutions (2000) UNHCHR United Nations High Commissioner for Human Rights Resolution
200047
29
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 2 Bibliography Governmental Documents
bull Commonwealth Latimer House Standards bull Commonwealth Latimer House Guidelines bull Commonwealth Parliamentary Association (CPA) Parliament and the Media
Building an Effective Relationship bull English Bill of Rights 1689 bull Inter-Parliamentary Union (IPU) Guidelines bull ECOWAS Protocol on Democracy and Good Governance Supplementary to the
Protocol Relating to the Mechanism for Conflict Prevention Management Resolution Peacekeeping and Security
bull Protocol on the Privileges and Immunities of the European Communities bull ECPRD Parliamentary Codes of Conduct in Europe (Compilation by the Council
of Europe Parliamentary Assembly) bull IPU Universal Declaration on Democracy bull International Covenant on Civil and Political Rights (ICCPR) bull The African (Banjul) Charter on Human and Peoplersquos Rights bull The Johannesburg Standards National Security Freedom of Expression and
Access to Information bull Document of the Copenhagen Meeting of the Conference on the Human
Dimension of the CSCE 1990 bull Declaration of Principle on Freedom of Expression in Africa bull Union des Parliamentaires Africains on the Role of Parliaments in the
Consolidation of Democracy and Confidence-Building Between the Peoples and their Institutions 23rd Conference in Addis Ababa 24-25 November 2000
bull The Harare Declaration bull IPU Conference of Presiding Officers of National Parliaments bull International Convention on the Elimination of All Forms of Racial
Discrimination bull Convention on the Elimination of All Forms of Discrimination Against Women bull Report of the Ethics Reform Task Force on H Res 168 105th Congress 1st
Session 17 June 1997 (found at httpwwwhousegovethicsethicsreporttxt ) bull Parliamentary Standards and the Wicks Committee Report Standard Note
SNPC2200 24 June 2003 by Ruth Winstone (found at httpwwwparliamentukcommonslibresearchnotessnpc-02200pdf )
bull Committee on Standards in Public Life First Report Cm 2850 Volume 1 11 May 1995 (found at httpwwwarchiveofficial-documentscoukdocumentcm282850285002pdf )
bull Committee on Standards in Public Life Sixth Report Reinforcing Standards Cm 4557 Volume 1 January 2000 (found at httpwwwpublic-standardsgovuk )
bull Committee on Standards in Public Life Eighth Report Cm 5663 Standards of Conduct in the House of Commons November 2002 (found at httpwww-standardsgovukreports8th_reportreporteighthreportpdf
bull African Union Declarations and Decisions
30
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The African Commission Declaration of Principle on Freedom of Expression in Africa
bull United Nations High Commissioner for Human Rights Resolution 200047
Non-Governmental Documents Transparency and Accountability of the Parliament
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Anti-Corruption Commissions Panacea or Real Medicine to Fight Corruption By John Heilbrunn 2004
bull PREM Notes Public Sector No 74 October 2002 Strengthening Oversight by Legislatures (found at httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull PREM Notes Public Sector No63 March 2002 Strengthening Legislatures Implications from Industrial Countries (found at httpwww1worldbankorgpremPREMNotespremnote63pdf )
bull WBI Working Papers Building a Clean Machine Anti-Corruption Coalitions and Sustainable Reforms by Michael Johnston and Sahr J Kpundeh 2002
bull IFES IFES Parliamentary Toolkit Transparency and Accountability Tools for Civil Society
bull PREM Notes Public Sector No59 October 2001 Features and Functions of Supreme Audit Institutions
bull World Bank Institute Improving Governance and Controlling Corruption Towards a Participatory and Action-oriented Approach Grounded on Empirical Rigor October 2001
bull World Bank Towards Transparency in Finance and Governance by Tara Vishwanath and Daniel Kaufman September 6 1999
bull World Bank Institute Pillars of Integrity The Importance of Supreme Audit Institutions in Curbing Corruption by Kenneth M Dye and Rick Stapenhurst 1998
bull Association of Secretaries General of Parliaments (ASGP) Promoting the Work of Parliament Report by Mr Ian Harris Clerk of the House of Representatives of Australia19 Autumn 2000 (found at httpwwwasgpinfodiscussionshtmstudies)
bull USAID Handbook on Legislative Strengthening httpwwwusaidgovour_workdemocracy_and_governancegovhtml
bull Parliamentary Centre Canada Controlling Corruption A Parliamentarianrsquos Handbook httpwwwparlcentcaindex_ephp
bull Parliamentary Centre Canada Parliamentary Accountability and Good Governance httpwwwparlcentcaindex_ephp
19 This report contains a detailed analysis of the answers from a Questionnaire of how the public is provided information about the operation and work of Parliament The review was launched at the Conference of the Association of Secretaries General of Parliaments which was held in Autumn 2000 in Jakarta
31
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Center for Democracy and Governance February 2000 USAID Handbook on Legislative Strengthening
bull Parliamentary Centre Parliamentary Accountability and Good Governance A Parliamentarianrsquos Handbook
bull Parliamentary Centre Forum on Parliamentary Reform bull NEPAD Library Emerging Legislatures in Emerging African Democracies bull Commonwealth Parliamentary Association and World Bank Institute
Recommendations for Transparent Governance Conclusions of a CPA Study Group on Access to Information Accra Ghana 5-9 July 2004
bull GOPAC Parliamentarians Fighting Corruption A Conceptual Overview PCentrefsPCentreSProjectsParliamentary_RelationsGOPACWBI
bull International IDEA Democracy Assessment Questionnaire wwwideaintideas_work14_statedemocracy_assessmentpdf
bull NDI and UNDP Parliaments and Poverty Series Toolkit No1 Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Strengthening the Accountability Process and Parliamentary Reform A Report on the Parliamentary Roundtable Held in Bhurban Pakistan March 1-2 1997
Independence of the Parliament bull NDI Strengthening Legislative Capacity in Legislative-Executive Relations
Paper 6 httpwwwndiorgglobalpgovgovernanceasp bull Venice Commission Opinion on the Draft Proposal for Rules of Procedure of the
Assembly of the Republic of Macedonia by Georg Nolte July 5 2002 bull Venice Commission Report on the Referral of a Law Back to Parliament by the
Head of State November 15 1996 bull AGSP The Role of the Secretary General in the Administration of Parliament
Report by Mr Ugo Zampetti General Secretary of the Chamber of Deputies (Italy) October 2000 Review no 180
bull AGSP Constitutional and Parliamentary Information The Status of Parliamentary Groups
Parliamentary Immunity
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union Part Three Immunity in the European Parliament June 2001
bull Venice Commission Opinion 11995 Report on the Regime of Parliamentary Immunity CDL ndash INF(1996) 007 6496 (found at httpvenicecoeintsitedynamicsN_Opinion_efaspampL=EampOID=1 )
bull Venice Commission Supplementary Opinion on the Revision of the Constitution of Romania October 18 2002
32
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Venice Commission Draft Report ndash The Regime of Parliamentary Immunity April 29 1996
bull Venice Commission Questionnaire on Parliamentary Immunity prepared by Mr GW Maas-Geesteranus June 19 1995
Freedom of Parliamentary Speech
bull AGSP The Immunities of Members of Parliament Report prepared by Mr Robert Myttenaere September 1998
bull AGSP Position of Witnesses before Parliamentary Committees Report prepared by Mr Demaree JB Raval April 1997
Conflict of Interest amp Ethics
bull Parliamentary Affairs A Journal of Comparative Politics Volume 55 No 4 October 2002 Conduct Unbecoming The Regulation of Legislative Ethics in Britain and the United States by Robert Williams
bull Parliamentary Affairs A Journal of Comparative Politics Volume 52 No 3 July 1999 Parliament in the Age of Internet by S Coleman JA Taylor and W Van de Donk
bull European Centre for Parliamentary Research and Documentation (ECPRD) Parliamentary Codes of Conduct in Europe an Overview November 2001
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union June 2001
bull Research Paper Commissioned on behalf of The Committee on Standards in Public Life May 2002 The Regulation of Parliamentary Standards ndash A Comparative Perspective (found at httpwwwpublic-standardsgovukreports8th_reportreportresearchdoc
bull House of Representatives Resolution 168 on the Report of the Ethics Reform Task Force 18 June 1997
bull NDI Accountability Ethics and Transparency in Government Pakistan Study Mission to South Africa June 3 1997
bull NDI Report on Regional Consultative Workshops ndash Ethics Questionnaire August 1998
bull Council of Europe Steering Committee on Local and Regional Democracy (CDLR) Public Ethics at Local Level Model Initiatives Package November 25 2002
bull NDI Legislative Research Series Paper No 4 ndash Legislative Ethics A Comparative Analysis 1999
bull OECD United States Case Study ndash Ethics and Corruption The Management of Ethics and Conduct in the Public Service by Stuart Gilman December 1995
bull OECD Recommendations of the Council on Guidelines for Managing Conflict of Interest in the Public Service June 2003
33
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Sanction and Removal of Legislators bull Venice Commission Comments on the Draft Law of the Chechen Republic on
Elections to the Parliament of the Chechen Republic As Submitted to Referendum by Mr G Nolte March 23 2003
bull Venice Commission Opinion on the Draft Law on the Public Attorney (Ombudsman) of ldquoThe Former Yugoslav Republic of Macedoniardquo March 15 2003
bull Venice Commission Comments on the Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia by Ms Serra Lopes February 28 2003
bull Venice Commission Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia February 2003
bull WBI PREM Notes Public Sector Number 19 April 1999 Using an Ombudsman to oversee Public Officials
bull AGSP The Office of the Parliamentary Ombudsman March 1994 Salaries and Benefits of Legislators
bull AGSP The Social Protection of Parliamentarians Report by Mrs Helene Ponceau General Secretary of the Senate Quaestorrsquos Office [Havana Senate Treasurerrsquos Department] Review No 181 April 2001
Professional Development and Training
bull SADC Parliamentary Forum MPs Orientation Handbook ndash Professional Performance and Development httpwwwsadcpforgaboutindexasp
The Parliament and the Budget Cycle
bull OECD Development Centre Policy Brief No 22 Strengthening Participation in Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD May 2001 OECD Best Practices for Budget Transparency bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and
Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull ASGP The Administrative and Financial Autonomy of Parliamentary Assemblies Report prepared by Michel Couderc (France) adopted at the Moscow Session (September 1998)
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development The Legislature and the Budget by Frederick Stapenhurst 2004 httpwwwworldbankorgwbigovernanceparliament
34
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull WBI Working Papers Series on Contemporary Issues in Parliamentary
Development Parliaments and the PRSP Process by Scott Hubli and Alicia P Mandaville 2004
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull WBI PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull WBI PREM Notes Public Sector Number 74 October 2002 Strengthening Oversight by Legislatures
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull Commonwealth Parliamentary Association (CPA) The Parliamentarian 2002
Issue Two 179 Parliaments and Poverty by Ms Frannie A Lrsquoeautier bull Parliamentary Centre Canada and WBI and CIDA (with support from the
International Development Research Centre) Handbook on Parliamentarians and Policies to Reduce Poverty May 2001
bull Parliamentary Centre Cambodia Focus Group on Parliamentrsquos Role in the Budget Process Analysis
bull Parliamentary Centre Indicators of Parliamentary Performance in the Budget Process
bull The International Budget Project Legislatures and Budget Oversight httpwwwinternationalbudgetorgthemesLEGindexhtm
bull NDI Legislatures and the Budget Process An International Survey 2003 httpwwwndiorgglobalpgovgovernanceasp
bull NDI Parliaments and Poverty Series Toolkit No1 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Parliaments and Poverty Series Toolkit No2 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives
35
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull NDI Parliaments and Poverty Series Toolkit No3 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative Public Outreach on Poverty Issues
bull UNDP IPU WBI and UNIFEM Parliament The Budget and Gender httpwwwundporgdpapublicationsgovernancehtml
bull IMF Finance amp Development Magazine December 2002 Volume 39 Number 4 A Bigger Role for Legislators
bull Case Study PRSPs and Parliament by Stephen Langdon bull Ministry of Foreign Affairs Netherlands March 2002 Economics and Finance
(b) Budget Impact Assessments (Gender Budgeting) bull Cagatay N M Keklik R Lal and J Lang (2000) ldquoBudgets As if People
Mattered Democratizing Macroeconomic Policiesrdquo SEPED Conference Paper Series Number 4 May
bull Navarro Z (1998) ldquoParticipation Democratizing Practices and the Formulation of a Modern Policy ndash the Case of ldquoParticipatory Budgetingrdquo in Porto Alegre Brazil (1989-1998) Development Sage London Volume 41 number 3 September
Representative and Inclusive Parliament
bull Commonwealth Parliamentary Association (CPA) Commonwealth Women Parliamentarians Into The Democratic Mainstream August 2002
bull CPA EnGendering Development and Democracy May 2004 bull IPU and UNDP Guidelines on the Rights and Duties of the Opposition in
Parliament May 19 1999 (Unanimously adopted by the participants at the Parliamentary Seminar on Relations Between Majority and Minority Parties in African Parliaments Libreville (Gabon) 17-19 May 1999)
bull AWEPA European Parliamentarians for Africa OPS7 Parliamentary Gender Handbook South Africa 2001 (found at httpwwwawepaorgdownloadsOPS07-_Parliamentary_Gender_Handbook-_South_Africapdf
Free Elections of Legislators
bull Venice Commission Opinion 2502003 Report on Electoral Systems - Overview of Available Solutions and Selection Criteria Adopted by the Venice Commission at its 57th Plenary Session CDL ndash AD(2004)003 (found at httpvenicecoeintdocs2004CDL-AD(2004)003-easp )
bull Venice Commission Opinion 2392003 Comments on the Draft Law of the Chechen Republic on Elections to the Parliament of the Chechen Republic CDL (2003)021rev (found at httpvenicecoeintdocs2003CDL(2003)021rev-easp )
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Resolution 1320 (2003) httpassemblycoeintDocumentsAdoptedTextTA03ERES1320htm
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Document 9267 15 October 2001
36
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Clear rules for political party and campaign financing ndash these rules should foster financial transparency and integrity
bull Income and asset disclosure requirements bull Oversight by an independent authority (internal ie Parliamentary Committee or
external) and publication of information To the extent possible political parties and parliamentary candidates should be required to place all contributions above a certain limit in official bank accounts and use these accounts for all campaign expenditures Official bank accounts are accounts which are fully documented and disclosed Disclosure requirements should cover all income assets and expenditures related to the campaign and should be made to an independent official agency Uniform and reliable software will help monitor all income and expenditure during political campaigns The independent official agency should verify and report on the parliamentary campaign finance data Additional independent verifications and reports should be undertaken by civil society to avoid collusion A serious problem in many countries has been the use of parliamentary resources such as office space staff time or funds by incumbents This is a practice which should be seriously discouraged or even outlawed as it constitutes a misuse of funds by parliamentarians Legislators should also be adequately compensated for their work Compensation includes both their salary and any additional benefit granted to workers The adequacy of compensation will be assessed in comparison with the cost of living and the compensation-level of senior officials in the Executive judiciary and private sector Due to high turnover in parliamentary office an appropriate compensation level is important to attract high-quality people and to shield legislators from outside pressure Pension entitlement by virtue of office is a widely recognized right in most Parliaments independently of the diversity of the methods and procedures chosen to implement it A number of other countries in which no recognized pension scheme currently exists for Legislators have indicated that this subject is currently under review (Egypt Lesotho Nigeria Thailand) The great majority of legislators today benefit from social security (sickness maternity invalidity death and industrial injury insurance) coverage while in office This is for the most part organized within the framework of the common labor rights legislation of each country9 Transparency regarding all amounts received by legislators as compensation is necessary to promoting parliamentary accountability and ethics Legislators and if possible their dependents should be required to disclose all their incomes assets and relevant interests to an independent official agency The public should have an opportunity to access information about the salaries and other benefits of the legislators whom they have elected Like with parliamentary campaign finance uniform and reliable software will
9 Helene Ponceau AGSP Report April 2001 This report is based on a questionnaire of the Association of General Secretaries of Parliaments approved at the Berlin session in October 1999 and sent to 56 countries
16
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
help monitor the disclosures and verification and reporting by the independent official agency as well as civil society will foster more transparency and accountability PTAS4 Representative Parliament
Broad-Based Representation An inclusive fully representative Parliament across gender ethnicity political affiliation religion etc is one of the main tenets of a democratic society CLHG CSCE-CD ECOWAS-P IPU-GD IPU-Res03 UNHCHR UPA-Res00
There is increasing consensus at the international level that democratic institutions must be representative of the diversities of society Parliament should therefore be composed of a broad cross-section of society including members of different genders ethnicity political affiliation religion etc Diversity in institutional membership echoes the Standards enshrined in the numerous conventions against discrimination which have been ratified in the past decades10
A broad-based representative Parliament will contribute to the promotion of the right of everyone to take part in government and of all interests to be given expression As noted by the IPU in its Declaration on Democracy ldquoDemocracy is founded on the right of everyone to take part in the management of public affairs it therefore requires the existence of representative institutions at all levels and in particular a Parliament in which all components of society are represented and which has the requisite powers and means to express the will of the people by legislating and overseeing government actionrdquo Some countries have taken additional steps to encourage participation by marginalized groups such as women or minorities For example in Pakistan quotas for gender participation were established 33 quota in direct elections (local) and 17 quota in indirect national elections (legislature and senate) Women membership in the legislature is currently at 21 slightly above the mandatory quota PTAS5 Security of Tenure
Security of tenure ldquoSecurity of Members during their Parliamentary term is fundamental to Parliamentary independencerdquo CLHG CSCE-CD
The legitimacy of Parliament rests on the fact that its membership is rooted in the will of the people who chose representatives in periodic elections In order to guarantee that their will is respected the term of office of legislators must be respected Certain classes of legislators may have life terms (cite House of Lords other examples) but most legislators are elected for fixed terms Exceptionally the tenure of legislators may be terminated but such mechanisms must be narrowly defined and follow clear transparent
10 See for example the International Convention on the Elimination of All Forms of Racial Discrimination [CERD] (1965) and the International Convention on the Elimination of All Forms of Discrimination against Women [CEDAW] (1979)
17
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
legal procedures This may be the case for immunity waivers in case of criminal offences committed by a legislator or of dissolution of parliament by the executive The CLHG lists three requirements to protect the security of tenure of legislators in its guideline number 2
ldquo (a) The expulsion of members from Parliament as a penalty for leaving their parties (floor-crossing) should be viewed as a possible infringement of membersrsquo independence anti-defection measures may be necessary in some jurisdictions to deal with corrupt practices
(b) Laws allowing for the recall of members during their elected term should be viewed with caution as a potential threat to the independence of members
(c) The cessation of membership of a political party of itself should not lead to the loss of a Memberrsquos seatrdquo
PTAS6 Freed Parliamentary Speech
Freedom of Speech The true expression of democracy lies in the right to free speech This should not just be a right guaranteed to the general public but legislators also must be free from censorship and defamation laws that restrict the right to criticize government thereby curtailing parliamentary oversight of the Executive Banjul CLHG CLHP CPA-Media CPA-Rec03 ECHR IACHR ICCPR IPU-GD IPU-DD UPA-Res00
The International Covenant on Civil and Political Rights (ICCPR) expressly states in article 19(1) that everyone shall have the right to hold opinions without interference Article 19(2) guarantees the right to freedom of expression and broadens it to include the freedom to seek receive and impart information and ideas of all kinds regardless of frontiers either orally in writing or in print in the form of art or through any other media of choice These rights are not absolute and may be restricted under specific circumstances as outlined in article 19(3) Most international human rights instruments provide that every individual shall have the right to express and disseminate his opinions within the law Other instruments recognize the right of freedom of expression as an inalienable fundamental right Free speech rights should entitle legislators to
bull Put written and oral questions to members of the government and receive answers to these questions The opposition in Parliament should also be entitled to speaking time proportionate to its numbers in sittings set aside for oral questions
bull Request documents and receive such documents in a timely manner National security concerns constitute one of the main reasons why governments restrict freedom of expression Freedom of expression should not be restricted on public order or national security grounds unless there is a real risk of harm to a legitimate interest and there is a causal link between the risk of harm and the expression
18
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Defamation laws are a serious concern for legislators when seeking to protect or exercise their freedom of expression rights Legislators should be free from improper pressures in the discharge of their functions These improper pressures can be in the form of criminal laws and the use of defamation proceedings restricting legitimate criticism of the government by legislators Criminal defamation laws need to be carefully reviewed Similarly the defense of qualified privilege with respect to reports of parliamentary proceedings should be drawn as broadly as possible to permit full public reporting and discussion of public affairs and offence of contempt of Parliament should be drawn as narrowly as possible There is a need to achieve a balance between the free speech rights of Legislators vis-agrave-vis the government and the publicrsquos right of free speech vis-agrave-vis the Parliament PTAS7 Participatory Transparent Law and Decision-Making Processes
Parliamentary Processes Parliament must be open transparent and accountable to the public in its lawmaking and policymaking functions In this regard the free flow of information from Parliament to its members and the public as well as avenues for effective public participation is fundamental to a democratic Parliament CLHG CLHP ECOWAS-P IPU-GD IPU-Res03 UPA-Res00
Law and policy-making are the primary responsibilities of Parliament as the elected body representing the people The Executive may initiate laws and policies and the Judiciary may be constructive and purposive in the interpretation of legislation neither must be seen as usurping Parliamentrsquos legislative function Ultimately only the Parliament is entitled to adopt laws for the country Consequently legislators should be encouraged to adopt national policies and laws through open processes which allow for consultation and citizen participation Parliamentary processes must be not only transparent but also participatory Participation starts with the right to form democratic political parties and entails the need for transparent and fairness in the electoral process including through appropriate access to funds and free independent and pluralistic media Transparent decision-making and law-making processes create ownership in governance by the public which is necessary in a democratic society The Parliament should implement efficient mechanisms to allow and encourage public participation in the different stages of the law making process From the moment that Parliament receives a bill from the Executive or from the moment a bill is drafted by a committee civil society representatives should have a voice and be consulted Civil society participation will add a fresh look and ensure a better response to community needs Legislators will benefit from input and the resulting laws will better reflect real needs and local buy-in Committees meetings and parliamentary sessions should be usually open to the public Information on meetings and final decisions should be broadly disseminated Parliament should be consulted by the government on important questions affecting the life of the nation war national security human rights economic policy social rights
19
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
labor markets etc This will enable the opposition to take part in the debate and provide its input to the decision-making process The opposition must also be able to raise matters regarding the Constitution with a view to its amendment PTAS8 Transparent Oversight of the Executive
General Oversight One of the core functions of Parliament is to provide a continuous check on the activities of the Executive In performing this oversight function Parliament must follow transparent procedures and respect strict standards of accountability CLHG CLHP IPU-GD UPA-Res00
The separation of powers not only means that each branch of government is independent from the other two but also that mechanisms of checks and balances are in place to avoid abuses and encroachments To that end the Parliament is traditionally entrusted with the responsibility of overseeing the activities of the Executive The Executive as Parliament must follow high standards of accountability transparency and responsibility in the performance of its duties Parliament is responsible for ensuring that these standards are met and for providing adequate mechanisms to challenge the Executive for failure to meet these standards Oversight may take place in the form of periodic questions to the government in a parliamentary sessions or investigations undertaken by parliamentary commissions or votes of confidencenon-confidence Parliamentary procedures should be transparent and allow for public scrutiny Governments should be required to announce publicly within a defined time period their responses to committee investigations PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
Budget Design and Oversight Parliament is traditionally responsibly for adopting the national budget There is a growing international consensus that Parliaments around the world need to make maximum use of existing processes for exerting influence in national budget control scrutiny and accountability IPU-Res03 UPA-Res00
Parliament must have a certain amount of authority to affect the budget otherwise its role in establishing national policy and representing citizen interests will remain limited11 Involvement should extend beyond budget approval and include budget formulation tracking and accountability Unless it has substantial involvement beyond approval Parliament will do no more than rubberstamp the Executiversquos budgetary and policy decisions To promote more accountability in government Parliament should be entitled to monitor income and expenditures especially how effectively government programs and activities are administered
11 USAID Handbook
20
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Parliamentary procedures should therefore provide adequate mechanisms to oversee the Executive including accountability mechanisms targeted at budget development effective money flows budget implementation etc This can be achieved by allowing independent audits of public accounts establishing that the opposition will chair the Public Accounts Committee or a combination of the mechanisms andor others PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
International Obligations and Parliament International treaties carry a general obligation for signatory States to ratify and to adopt all necessary measures for their implementation Both functions should fall on Parliament CLHG CLHP IPU-Res03
The need for governments to respect their international law obligations has become more urgent post World War II particularly as inter-State conflicts are on the rise Legislators as law makers and representatives of the people need to be more proficient in their knowledge and understanding of human rights and humanitarian law instruments including those relating to economic social and cultural rights In a 2000 Declaration the Conference of Presiding Officers of National Parliaments outlined the four inter-connected levels of intervention for Parliaments in relation to international obligations
bull ldquoInfluencing their respective countriesrsquo policy on matters dealt with in the United Nations and other international negotiating forums
bull Keeping themselves informed of the progress and outcome of these negotiations bull Deciding on ratification where the Constitution so foresees of texts and treaties
signed by governments and bull Contributing actively to the subsequent implementation processrdquo12
Parliaments play a central role in adjusting domestic law to international standards According to the legal systems of many countries Parliaments are not only the bodies entitled to ratify international obligations but also the ones responsible for adopting the necessary implementing legislation Many international treaties particularly those related to human rights the environment gender and corruption require that States parties adjust their national legislation to match the minimum standards laid out in the treaties For example United Nations Convention against Corruption (2004) is explicitly applicable to legislators Indeed its scope covers ldquopublic officialsrdquo who are defined as including any person holding parliamentary office in a State party Compliance with this provision and others often requires the adoption of legislation Conventions generally include explicit requirements for the adoption of new laws by national Parliaments
12 Conference of Presiding Officers of National Parliaments organized by the IPU in cooperation with the UN Declaration adopted by at UN Headquarters New York 30 August ndash 1st September 2000
21
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The United Nations Convention against Corruption (2004) establishes that each State party should develop and implement anti-corruption policies
bull The Inter-American Convention against Corruption (1996) requires in its article VII the adoption by State parties of all ldquonecessary legislative or other measures to establish as criminal offences under their domestic law the acts of corruption described in Article VI(1) and to facilitate cooperation among themselves pursuant to this Conventionrdquo
As guardians of the Constitution legislators have an obligation to protect the human rights of people This obligation is reinforced by the requirement to comply with international and regional human rights treaties This obligation to protect and legislate in support of human rights should lead to increased oversight by Parliament in areas in which the Executive has traditional exercised blanket discretionary powers such as national security There has been a growing consensus on the need to shift focus away from military security to broader factors of ldquohuman securityrdquo such as environmental economic social as well as political13 PTAS11 Transparent Efficient Parliamentary Committees
Parliamentary Committees The legislative and oversight functions of Parliament are actually undertaken by Parliamentary Committees the powers and structures of which differ from country to country It is essential for these committees to be properly structured and well funded to enable them to be effective in discharging Parliamentrsquos legislative and policy making functions CLHG CPA-Media CPA-CP CPA-Rec03 CPA-REc04 IPU-GD
Committee structures may vary depending on the size of Parliament its constitutional mandate and other country-specific factors However all committees should have adequate resources both human and financial and have the power to summon witnesses including ministers as necessary to fulfill their mission Committee meetings should be generally open and allow for public attendance and participation Committee reports should be published and made readily available to both the government and the public PTAS12 Adequate Independent Parliamentary Budget
Parliamentary Budget It is the duty of the State to provide adequate resources to enable Parliament to perform its functions properly CLHG
Parliamentary independence and effectiveness to carry out its functions is eroded when Parliament lacks control over its own budget or has inadequate finances to manage its committees and carry out various other internal administrative duties14 Parliament 13 IPU and the Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born Philipp H Fluri amp Anders B Johnsson page 16 (Found at httpwwwdcafchpublicationse-publicationsHandbook_eng ) 14 Indeed without adequate resources for the training of new members secretarial office library and research facilities drafting assistance for bills etc Parliament is handicapped
22
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
should be able to design its own budget based on its needs and negotiate with the Executive the amount allocated to it from the national budget There should be sufficient autonomy over these finances by Parliament to protect the institutional independence and integrity It has been suggested that an all-party committee of members of Parliament should review and administer the parliamentary budget Moreover the parliamentary budget should not be subject to amendment by the Executive15 It is the Parliamentary budget that inter alia funds training of parliamentary support staff ensures that library and research facilities are properly and adequately equipped guarantees that legislators have the necessary support staff to undertake their functions and funds security services PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
Parliamentary Conduct Legislators are required to exhibit and promote high standards of professional conduct in order to reinforce public confidence in Parliament which is fundamental to its independence and legitimacy in a democratic society ANTICORRUPTION TREATIES CLHG CLHP
The CLHG outline three components for a comprehensive ethical framework applicable to Parliament
bull Conflict of interest rules and codes of conduct requiring disclosure of interests bull Access to ethics advisors and bull Restrictions on lobbying and interest group influence
Ethical professional conduct requires legislators not only to conform to high standards of ethics in practice but also to avoid the appearance of impropriety The need for financial transparency by public officials has increasingly gained acceptance as anti-corruption issues have become global Legislatorsrsquo professional and private conduct must be subject to some system of internal codified rules regulating standards of behavior and making disclosure of personal income and assets mandatory Other professions have codes of ethics regulating membersrsquo behavior for example doctors and lawyers Ethical rules should include conflict of interest rules outlining incompatible professional activities or interests such as holding another governmental office and restricting certain ventures such as participation or shareholding in corporations These rules should also require the submission to an independent oversight authority of disclosures of income assets and interests These disclosures should then be publicized for broader ethical monitoring by the public Disclosure of interests will go a long way in establishing institutional integrity trust and respect by the public and effective discharge of duties on the part of legislators as they are fully conscious of the ethical parameters which govern them as a profession 15 Commonwealth Latimer House Guidelines Number VII6
23
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
Discipline Just as other professionals have quasi-judicial bodies to regulate discipline and even remove members there should also be an internal or external authority to sanction legislators conduct investigations and hearings and adopt findings and conclusions There should also be a clear appeals process available to any member aggrieved by a decision CLHG
ldquoThe Committee recommends
bull The House should appoint a person of independent standing who should have a degree of tenure and not be a career member of the House of Commons staff as Parliamentary Commissioner for Standards
bull The Commissioners should have independent discretion to decide whether or not a complaint merits investigation or to initiate an investigationrdquo Recommendations of Committee on Standards in Public Life First Report16
Just as any other citizen legislators should be bound by the law In cases when legislators commit acts contrary to the laws and regulations they expose themselves to disciplinary action and prosecution Moreover there are special conditions only for the status of being public servants that they must observe such as compliance of high standards of ethics assets disclosure and conflict of interest rules There must be a clear system of sanctions for non-compliance with the laws and regulations The disciplinary process in representative bodies is a very sensitive one It should not be used to punish the opposition or dissidents In this sense the existence of an objective internal or external body to sanction legislators is essential to the proper operation of the system An additional problem represents the immunity that all legislators should have The immunity is a protection to ensure that legislators can perform their duties without interference it should not however be used as an excuse to avoid sanctions for common misconducts or crimes PTAS15 Parliamentary Immunity
Immunity Legislators shall enjoy personal immunity from civil suits and criminal prosecution for acts and omissions in the exercise of their functions CLHG ECOWAS-P IPU-GD
Legislators should enjoy some degree of immunity from prosecution or civil suit for acts and omissions in the exercise of their functions However no one should be exempted from accountability The requirements of parliamentary independence from political institutional and societal forces must be balanced against those of public accountability
16 These recommendations were implemented by the House of Commons England A Standing Order setting up the office of Parliamentary Commissioner for Standards was set up on 6 November 1995
24
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Consequently the immunity regime should be strictly regulated especially through the recognition of
bull Clear limited scope of immunity (for example it should not cover acts performed outside of office nor common crimes) and
bull Possibility of waivers in clearly defined cases and following a transparent procedure
Regarding the scope of parliamentary immunity its historical roots lie with the freedom of speech of legislators as recognized in the British and American Bills of Rights The underlying justification for immunity is that it allows legislators to fulfill their mandate without fear of retaliatory measures on account of their positions or votes Legislators must therefore be protected against arrest and detention or civil and criminal prosecution for any acts performed or words spoken while in office or in the conduct of parliamentary affairs Legislators should not be subject to any form of inquiry detention or legal proceedings in respect of opinions expressed or votes cast by them in the performance of their duties Immunity should not be limited to acts or speech within the parliamentary facilities Rather immunity must be interpreted as broadly as possible For example the members of the European Parliament enjoy immunity in their own States in the territories of other Member States and whilst traveling to and from the place of the meeting of the European Parliament However immunity should not be absolute The immunity regime applicable to legislators should provide for the possibility of waiving this immunity in limited circumstances in the interests of justice Immunity is not a privilege benefiting individual members but rather a guarantee protecting the independence of Parliament and its members in their relations with other governmental and private bodies17 Parliamentary privileges must be clearly defined and established by law These immunities are not meant to place legislators above the law but to protect them from possible groundless proceedings or accusations that may be politically motivated The grounds and terms for lifting of immunity must be clearly specified by law so that this may only occur following a decision taken by a competent body on a non-partisan basis PTAS16 Parliamentary and Public Access to Information
Access to Information Legislators as well as the general public must have access to accurate timely information and data including legislation parliamentary procedures governmental data and relevant research data Banjul CLHG CLHP CPA-Media CPA-CP CPA-Rec03 CPA-Rec04 CSCE-CD ECHR IACHR ICCPR IPU-DD IPU-GD IPU-Res03 UNHCHR
17 ECPRD Parliamentary Codes of Conduct in Europe by Veronica Williams November 2001
25
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
The free flow of information is essential in a democratic society Access to information should not only be viewed in relation to the media and civil societyrsquos right to access governmental documents but also in relation to the legislatorsrsquo right to access relevant research and information from the government and other sources Access to information can be facilitated by the use of databases networks and information technology in general The media should be free to report the activities of Parliament and the public should be able to attend parliamentary meetings and Committee sittings where appropriate The CPA encouraged Parliaments ldquoto provide live coverage of their proceedings on a dedicated channel andor onlinerdquo in its Recommendations for an Informed Democracy The environment should be made conducive for civil society organizations the public and multiple stakeholders to exchange information with legislators to enable Parliament to effectively discharge its duties of oversight policy making law making representation and recruitment This could be achieved through the establishment of a public information office within Parliament Bills and Acts of Parliament must be published regularly and should be freely available to the public Indeed the CSCE Copenhagen Document notes that ldquolegislation adopted at the end of a public procedure and regulations will be published that being the condition of their applicability Those texts will be accessible to everyonerdquo In its recommendations following a conference on ldquoWhat Parliament and Legislators Can Dordquo the CPA noted that access should be granted ldquoto basic information and documents produced by the parliamentary process such as access to parliamentary libraries the provision of on-line information and the distribution of Parliamentary speeches promptly after delivery in the Houserdquo18 The type of information available to the public and to legislators should include
bull Attendance and voting records bull Registers of membersrsquo interests bull Bills and Acts of Parliament bull Procedural rules bull Codes of Conduct
Legislators should also have access to parliamentary archives as well as all necessary information and data from the government The IPU Guidelines note that ldquolegislators from the majority and the opposition alike are equally entitled to receive in a timely manner the same information from the governmentrdquo
18 Parliament and The Media Building an Effective Relationship 15-18 February 2000 [CPA-Media]
26
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS17 Adequate Facilities Equipment and Technology
Adequate Infrastructure Parliament should have at a minimum the necessary infrastructure and technical assistance including research capacity adequate facilities and equipment to enable it to carry out its basic democratic functions CPA-Rec03 CPA-Rec04 IPU-GD
The working conditions of legislators must be adequate and reflect the importance of Parliament as a key democratic institution Parliament must be housed in one or more buildings with the necessary equipment and office space for legislators and their staff including tables chairs and all other necessary office equipment Adequate resources must be allocated to Parliament andor legislators and support services to maintain and equip their facilities Some of the facilities and services which can be reasonably expected to be available to legislators include
bull Offices bull Secretarial services (general andor individual) bull Library and archive facilities bull Research services (to which requests for information can be submitted) and bull Information technology
In its 2002 Report the CPA Study Group highlights the importance of information technology including ldquoimproved networking between legislators and constituents among legislators between legislators and Parliament and better information sharing and record keepingrdquo Information technology can also facilitate access to information and best practices on the broad range of issues which fall under the purview of parliament including human rights socioeconomic rights and gender issues The use of information technology could include the development of intra-parliament networks and of searchable public databases on parliamentary activity as well as the increased access to outside information for legislators PTAS18 Professional Training for Legislators and Staff
Adequate Training Resources must be allocated to training programs both for new legislators and for the continuing education of sitting legislators These programs must be geared towards developing the skills required by parliamentary functions as well as exposing legislators to substantive issues and developments affecting their legislative oversight and representative functions CLHG CPA-CP
Training should be geared towards providing legislators with the specific skills and knowledge necessary to fulfill their parliamentary functions Legislators just like other professionals need continuing education programs and professional development to keep them updated on emerging democracy and governance trends Equally significant is the need to properly train new or incoming legislators on the constitutional rights and obligations of Parliament internal procedures and order of business ethics etc
27
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS19 Adequately-Compensated Research Library and Committee Staff
Support Staff ldquoParliament should be serviced by professional staff independent of the regular public servicerdquo CLHG IPU-GD
Parliamentary support staff in sufficient numbers and with the appropriate professional skills is crucial for an effective institution Parliamentary staff performs duties such as
bull Assisting in bill drafting bull Tracking the status of bills in the legislative process bull Maintaining and in some cases designing web sites bull Producing and drafting documents about the legislature bull Undertaking accounting and various other clerkship duties
High turnover of parliamentary staff requires more money for attracting new competent staff and providing them with the necessary training It is important to ensure that staff is reasonably well compensated to attract good candidates for the job who will retain their jobs longer When vacancies are not rapidly filled parliamentary work can be undermined resulting in misplacement of documents errors and overall inefficiency Parliamentary staff should be independent from other public service offices Their selection promotion and discipline must be clearly defined and reflect merit-based criteria and transparent processes Professional development opportunities and training should be offered to them The longer support staff stay in Parliament the more it benefits the institution especially as it may provide new legislators with the information and support necessary to adapt to their new functions faster
28
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 1 List of Acronyms
Banjul African Charter on Human and Peoplersquos Rights (1986) CEDAW Convention on the Elimination of All Forms of Discrimination
against Women ICERD Convention on the Elimination of All Forms of Racial
Discrimination CLHP Commonwealth Latimer House Principles on the Accountability and Relationship between the Three Branches of Government (2003) CLHG Commonwealth Latimer House Guidelines (1998) CPA Commonwealth Parliamentary Association CPA-Media Parliament and the Media Building an Effective Relationship
CPA (2000) CPA-CP Capetown Principles for an Informed Democracy CPA (2002) CPA-Rec03 Recommendation for an Informed Democracy CPA (2003) CPA-Rec04 Recommendation for Transparent Governance CPA (2004 CSCE Conference on Security and Cooperation in Europe CSCE-CD Copenhagen Document CSCE (1990) CSCE-MD Moscow Document CSCE (1991) ECHR European Convention on Human Rights and Fundamental
Liberties (1951) ECOWAS-P Protocol ASP11202 on Democracy and Good Governance
ECOWAS (2001) IACHR Inter-American Convention on Human Rights (1978) ICCPR International Covenant on Civil and Political Rights (1966) IPU Inter-Parliamentary Union IPU-DD Universal Declaration on Democracy IPU (1997) IPU-GD Guidelines and Duties for the Opposition in Parliament IPU (1999) IPU-Res03 Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World IPU (2003) UPA Union des Parlementaires Africains [African Parliamentary Union] UPA-Res00 Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence Building between Peoples and their Institutions (2000) UNHCHR United Nations High Commissioner for Human Rights Resolution
200047
29
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 2 Bibliography Governmental Documents
bull Commonwealth Latimer House Standards bull Commonwealth Latimer House Guidelines bull Commonwealth Parliamentary Association (CPA) Parliament and the Media
Building an Effective Relationship bull English Bill of Rights 1689 bull Inter-Parliamentary Union (IPU) Guidelines bull ECOWAS Protocol on Democracy and Good Governance Supplementary to the
Protocol Relating to the Mechanism for Conflict Prevention Management Resolution Peacekeeping and Security
bull Protocol on the Privileges and Immunities of the European Communities bull ECPRD Parliamentary Codes of Conduct in Europe (Compilation by the Council
of Europe Parliamentary Assembly) bull IPU Universal Declaration on Democracy bull International Covenant on Civil and Political Rights (ICCPR) bull The African (Banjul) Charter on Human and Peoplersquos Rights bull The Johannesburg Standards National Security Freedom of Expression and
Access to Information bull Document of the Copenhagen Meeting of the Conference on the Human
Dimension of the CSCE 1990 bull Declaration of Principle on Freedom of Expression in Africa bull Union des Parliamentaires Africains on the Role of Parliaments in the
Consolidation of Democracy and Confidence-Building Between the Peoples and their Institutions 23rd Conference in Addis Ababa 24-25 November 2000
bull The Harare Declaration bull IPU Conference of Presiding Officers of National Parliaments bull International Convention on the Elimination of All Forms of Racial
Discrimination bull Convention on the Elimination of All Forms of Discrimination Against Women bull Report of the Ethics Reform Task Force on H Res 168 105th Congress 1st
Session 17 June 1997 (found at httpwwwhousegovethicsethicsreporttxt ) bull Parliamentary Standards and the Wicks Committee Report Standard Note
SNPC2200 24 June 2003 by Ruth Winstone (found at httpwwwparliamentukcommonslibresearchnotessnpc-02200pdf )
bull Committee on Standards in Public Life First Report Cm 2850 Volume 1 11 May 1995 (found at httpwwwarchiveofficial-documentscoukdocumentcm282850285002pdf )
bull Committee on Standards in Public Life Sixth Report Reinforcing Standards Cm 4557 Volume 1 January 2000 (found at httpwwwpublic-standardsgovuk )
bull Committee on Standards in Public Life Eighth Report Cm 5663 Standards of Conduct in the House of Commons November 2002 (found at httpwww-standardsgovukreports8th_reportreporteighthreportpdf
bull African Union Declarations and Decisions
30
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The African Commission Declaration of Principle on Freedom of Expression in Africa
bull United Nations High Commissioner for Human Rights Resolution 200047
Non-Governmental Documents Transparency and Accountability of the Parliament
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Anti-Corruption Commissions Panacea or Real Medicine to Fight Corruption By John Heilbrunn 2004
bull PREM Notes Public Sector No 74 October 2002 Strengthening Oversight by Legislatures (found at httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull PREM Notes Public Sector No63 March 2002 Strengthening Legislatures Implications from Industrial Countries (found at httpwww1worldbankorgpremPREMNotespremnote63pdf )
bull WBI Working Papers Building a Clean Machine Anti-Corruption Coalitions and Sustainable Reforms by Michael Johnston and Sahr J Kpundeh 2002
bull IFES IFES Parliamentary Toolkit Transparency and Accountability Tools for Civil Society
bull PREM Notes Public Sector No59 October 2001 Features and Functions of Supreme Audit Institutions
bull World Bank Institute Improving Governance and Controlling Corruption Towards a Participatory and Action-oriented Approach Grounded on Empirical Rigor October 2001
bull World Bank Towards Transparency in Finance and Governance by Tara Vishwanath and Daniel Kaufman September 6 1999
bull World Bank Institute Pillars of Integrity The Importance of Supreme Audit Institutions in Curbing Corruption by Kenneth M Dye and Rick Stapenhurst 1998
bull Association of Secretaries General of Parliaments (ASGP) Promoting the Work of Parliament Report by Mr Ian Harris Clerk of the House of Representatives of Australia19 Autumn 2000 (found at httpwwwasgpinfodiscussionshtmstudies)
bull USAID Handbook on Legislative Strengthening httpwwwusaidgovour_workdemocracy_and_governancegovhtml
bull Parliamentary Centre Canada Controlling Corruption A Parliamentarianrsquos Handbook httpwwwparlcentcaindex_ephp
bull Parliamentary Centre Canada Parliamentary Accountability and Good Governance httpwwwparlcentcaindex_ephp
19 This report contains a detailed analysis of the answers from a Questionnaire of how the public is provided information about the operation and work of Parliament The review was launched at the Conference of the Association of Secretaries General of Parliaments which was held in Autumn 2000 in Jakarta
31
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Center for Democracy and Governance February 2000 USAID Handbook on Legislative Strengthening
bull Parliamentary Centre Parliamentary Accountability and Good Governance A Parliamentarianrsquos Handbook
bull Parliamentary Centre Forum on Parliamentary Reform bull NEPAD Library Emerging Legislatures in Emerging African Democracies bull Commonwealth Parliamentary Association and World Bank Institute
Recommendations for Transparent Governance Conclusions of a CPA Study Group on Access to Information Accra Ghana 5-9 July 2004
bull GOPAC Parliamentarians Fighting Corruption A Conceptual Overview PCentrefsPCentreSProjectsParliamentary_RelationsGOPACWBI
bull International IDEA Democracy Assessment Questionnaire wwwideaintideas_work14_statedemocracy_assessmentpdf
bull NDI and UNDP Parliaments and Poverty Series Toolkit No1 Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Strengthening the Accountability Process and Parliamentary Reform A Report on the Parliamentary Roundtable Held in Bhurban Pakistan March 1-2 1997
Independence of the Parliament bull NDI Strengthening Legislative Capacity in Legislative-Executive Relations
Paper 6 httpwwwndiorgglobalpgovgovernanceasp bull Venice Commission Opinion on the Draft Proposal for Rules of Procedure of the
Assembly of the Republic of Macedonia by Georg Nolte July 5 2002 bull Venice Commission Report on the Referral of a Law Back to Parliament by the
Head of State November 15 1996 bull AGSP The Role of the Secretary General in the Administration of Parliament
Report by Mr Ugo Zampetti General Secretary of the Chamber of Deputies (Italy) October 2000 Review no 180
bull AGSP Constitutional and Parliamentary Information The Status of Parliamentary Groups
Parliamentary Immunity
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union Part Three Immunity in the European Parliament June 2001
bull Venice Commission Opinion 11995 Report on the Regime of Parliamentary Immunity CDL ndash INF(1996) 007 6496 (found at httpvenicecoeintsitedynamicsN_Opinion_efaspampL=EampOID=1 )
bull Venice Commission Supplementary Opinion on the Revision of the Constitution of Romania October 18 2002
32
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Venice Commission Draft Report ndash The Regime of Parliamentary Immunity April 29 1996
bull Venice Commission Questionnaire on Parliamentary Immunity prepared by Mr GW Maas-Geesteranus June 19 1995
Freedom of Parliamentary Speech
bull AGSP The Immunities of Members of Parliament Report prepared by Mr Robert Myttenaere September 1998
bull AGSP Position of Witnesses before Parliamentary Committees Report prepared by Mr Demaree JB Raval April 1997
Conflict of Interest amp Ethics
bull Parliamentary Affairs A Journal of Comparative Politics Volume 55 No 4 October 2002 Conduct Unbecoming The Regulation of Legislative Ethics in Britain and the United States by Robert Williams
bull Parliamentary Affairs A Journal of Comparative Politics Volume 52 No 3 July 1999 Parliament in the Age of Internet by S Coleman JA Taylor and W Van de Donk
bull European Centre for Parliamentary Research and Documentation (ECPRD) Parliamentary Codes of Conduct in Europe an Overview November 2001
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union June 2001
bull Research Paper Commissioned on behalf of The Committee on Standards in Public Life May 2002 The Regulation of Parliamentary Standards ndash A Comparative Perspective (found at httpwwwpublic-standardsgovukreports8th_reportreportresearchdoc
bull House of Representatives Resolution 168 on the Report of the Ethics Reform Task Force 18 June 1997
bull NDI Accountability Ethics and Transparency in Government Pakistan Study Mission to South Africa June 3 1997
bull NDI Report on Regional Consultative Workshops ndash Ethics Questionnaire August 1998
bull Council of Europe Steering Committee on Local and Regional Democracy (CDLR) Public Ethics at Local Level Model Initiatives Package November 25 2002
bull NDI Legislative Research Series Paper No 4 ndash Legislative Ethics A Comparative Analysis 1999
bull OECD United States Case Study ndash Ethics and Corruption The Management of Ethics and Conduct in the Public Service by Stuart Gilman December 1995
bull OECD Recommendations of the Council on Guidelines for Managing Conflict of Interest in the Public Service June 2003
33
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Sanction and Removal of Legislators bull Venice Commission Comments on the Draft Law of the Chechen Republic on
Elections to the Parliament of the Chechen Republic As Submitted to Referendum by Mr G Nolte March 23 2003
bull Venice Commission Opinion on the Draft Law on the Public Attorney (Ombudsman) of ldquoThe Former Yugoslav Republic of Macedoniardquo March 15 2003
bull Venice Commission Comments on the Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia by Ms Serra Lopes February 28 2003
bull Venice Commission Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia February 2003
bull WBI PREM Notes Public Sector Number 19 April 1999 Using an Ombudsman to oversee Public Officials
bull AGSP The Office of the Parliamentary Ombudsman March 1994 Salaries and Benefits of Legislators
bull AGSP The Social Protection of Parliamentarians Report by Mrs Helene Ponceau General Secretary of the Senate Quaestorrsquos Office [Havana Senate Treasurerrsquos Department] Review No 181 April 2001
Professional Development and Training
bull SADC Parliamentary Forum MPs Orientation Handbook ndash Professional Performance and Development httpwwwsadcpforgaboutindexasp
The Parliament and the Budget Cycle
bull OECD Development Centre Policy Brief No 22 Strengthening Participation in Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD May 2001 OECD Best Practices for Budget Transparency bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and
Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull ASGP The Administrative and Financial Autonomy of Parliamentary Assemblies Report prepared by Michel Couderc (France) adopted at the Moscow Session (September 1998)
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development The Legislature and the Budget by Frederick Stapenhurst 2004 httpwwwworldbankorgwbigovernanceparliament
34
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull WBI Working Papers Series on Contemporary Issues in Parliamentary
Development Parliaments and the PRSP Process by Scott Hubli and Alicia P Mandaville 2004
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull WBI PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull WBI PREM Notes Public Sector Number 74 October 2002 Strengthening Oversight by Legislatures
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull Commonwealth Parliamentary Association (CPA) The Parliamentarian 2002
Issue Two 179 Parliaments and Poverty by Ms Frannie A Lrsquoeautier bull Parliamentary Centre Canada and WBI and CIDA (with support from the
International Development Research Centre) Handbook on Parliamentarians and Policies to Reduce Poverty May 2001
bull Parliamentary Centre Cambodia Focus Group on Parliamentrsquos Role in the Budget Process Analysis
bull Parliamentary Centre Indicators of Parliamentary Performance in the Budget Process
bull The International Budget Project Legislatures and Budget Oversight httpwwwinternationalbudgetorgthemesLEGindexhtm
bull NDI Legislatures and the Budget Process An International Survey 2003 httpwwwndiorgglobalpgovgovernanceasp
bull NDI Parliaments and Poverty Series Toolkit No1 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Parliaments and Poverty Series Toolkit No2 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives
35
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull NDI Parliaments and Poverty Series Toolkit No3 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative Public Outreach on Poverty Issues
bull UNDP IPU WBI and UNIFEM Parliament The Budget and Gender httpwwwundporgdpapublicationsgovernancehtml
bull IMF Finance amp Development Magazine December 2002 Volume 39 Number 4 A Bigger Role for Legislators
bull Case Study PRSPs and Parliament by Stephen Langdon bull Ministry of Foreign Affairs Netherlands March 2002 Economics and Finance
(b) Budget Impact Assessments (Gender Budgeting) bull Cagatay N M Keklik R Lal and J Lang (2000) ldquoBudgets As if People
Mattered Democratizing Macroeconomic Policiesrdquo SEPED Conference Paper Series Number 4 May
bull Navarro Z (1998) ldquoParticipation Democratizing Practices and the Formulation of a Modern Policy ndash the Case of ldquoParticipatory Budgetingrdquo in Porto Alegre Brazil (1989-1998) Development Sage London Volume 41 number 3 September
Representative and Inclusive Parliament
bull Commonwealth Parliamentary Association (CPA) Commonwealth Women Parliamentarians Into The Democratic Mainstream August 2002
bull CPA EnGendering Development and Democracy May 2004 bull IPU and UNDP Guidelines on the Rights and Duties of the Opposition in
Parliament May 19 1999 (Unanimously adopted by the participants at the Parliamentary Seminar on Relations Between Majority and Minority Parties in African Parliaments Libreville (Gabon) 17-19 May 1999)
bull AWEPA European Parliamentarians for Africa OPS7 Parliamentary Gender Handbook South Africa 2001 (found at httpwwwawepaorgdownloadsOPS07-_Parliamentary_Gender_Handbook-_South_Africapdf
Free Elections of Legislators
bull Venice Commission Opinion 2502003 Report on Electoral Systems - Overview of Available Solutions and Selection Criteria Adopted by the Venice Commission at its 57th Plenary Session CDL ndash AD(2004)003 (found at httpvenicecoeintdocs2004CDL-AD(2004)003-easp )
bull Venice Commission Opinion 2392003 Comments on the Draft Law of the Chechen Republic on Elections to the Parliament of the Chechen Republic CDL (2003)021rev (found at httpvenicecoeintdocs2003CDL(2003)021rev-easp )
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Resolution 1320 (2003) httpassemblycoeintDocumentsAdoptedTextTA03ERES1320htm
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Document 9267 15 October 2001
36
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
help monitor the disclosures and verification and reporting by the independent official agency as well as civil society will foster more transparency and accountability PTAS4 Representative Parliament
Broad-Based Representation An inclusive fully representative Parliament across gender ethnicity political affiliation religion etc is one of the main tenets of a democratic society CLHG CSCE-CD ECOWAS-P IPU-GD IPU-Res03 UNHCHR UPA-Res00
There is increasing consensus at the international level that democratic institutions must be representative of the diversities of society Parliament should therefore be composed of a broad cross-section of society including members of different genders ethnicity political affiliation religion etc Diversity in institutional membership echoes the Standards enshrined in the numerous conventions against discrimination which have been ratified in the past decades10
A broad-based representative Parliament will contribute to the promotion of the right of everyone to take part in government and of all interests to be given expression As noted by the IPU in its Declaration on Democracy ldquoDemocracy is founded on the right of everyone to take part in the management of public affairs it therefore requires the existence of representative institutions at all levels and in particular a Parliament in which all components of society are represented and which has the requisite powers and means to express the will of the people by legislating and overseeing government actionrdquo Some countries have taken additional steps to encourage participation by marginalized groups such as women or minorities For example in Pakistan quotas for gender participation were established 33 quota in direct elections (local) and 17 quota in indirect national elections (legislature and senate) Women membership in the legislature is currently at 21 slightly above the mandatory quota PTAS5 Security of Tenure
Security of tenure ldquoSecurity of Members during their Parliamentary term is fundamental to Parliamentary independencerdquo CLHG CSCE-CD
The legitimacy of Parliament rests on the fact that its membership is rooted in the will of the people who chose representatives in periodic elections In order to guarantee that their will is respected the term of office of legislators must be respected Certain classes of legislators may have life terms (cite House of Lords other examples) but most legislators are elected for fixed terms Exceptionally the tenure of legislators may be terminated but such mechanisms must be narrowly defined and follow clear transparent
10 See for example the International Convention on the Elimination of All Forms of Racial Discrimination [CERD] (1965) and the International Convention on the Elimination of All Forms of Discrimination against Women [CEDAW] (1979)
17
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
legal procedures This may be the case for immunity waivers in case of criminal offences committed by a legislator or of dissolution of parliament by the executive The CLHG lists three requirements to protect the security of tenure of legislators in its guideline number 2
ldquo (a) The expulsion of members from Parliament as a penalty for leaving their parties (floor-crossing) should be viewed as a possible infringement of membersrsquo independence anti-defection measures may be necessary in some jurisdictions to deal with corrupt practices
(b) Laws allowing for the recall of members during their elected term should be viewed with caution as a potential threat to the independence of members
(c) The cessation of membership of a political party of itself should not lead to the loss of a Memberrsquos seatrdquo
PTAS6 Freed Parliamentary Speech
Freedom of Speech The true expression of democracy lies in the right to free speech This should not just be a right guaranteed to the general public but legislators also must be free from censorship and defamation laws that restrict the right to criticize government thereby curtailing parliamentary oversight of the Executive Banjul CLHG CLHP CPA-Media CPA-Rec03 ECHR IACHR ICCPR IPU-GD IPU-DD UPA-Res00
The International Covenant on Civil and Political Rights (ICCPR) expressly states in article 19(1) that everyone shall have the right to hold opinions without interference Article 19(2) guarantees the right to freedom of expression and broadens it to include the freedom to seek receive and impart information and ideas of all kinds regardless of frontiers either orally in writing or in print in the form of art or through any other media of choice These rights are not absolute and may be restricted under specific circumstances as outlined in article 19(3) Most international human rights instruments provide that every individual shall have the right to express and disseminate his opinions within the law Other instruments recognize the right of freedom of expression as an inalienable fundamental right Free speech rights should entitle legislators to
bull Put written and oral questions to members of the government and receive answers to these questions The opposition in Parliament should also be entitled to speaking time proportionate to its numbers in sittings set aside for oral questions
bull Request documents and receive such documents in a timely manner National security concerns constitute one of the main reasons why governments restrict freedom of expression Freedom of expression should not be restricted on public order or national security grounds unless there is a real risk of harm to a legitimate interest and there is a causal link between the risk of harm and the expression
18
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Defamation laws are a serious concern for legislators when seeking to protect or exercise their freedom of expression rights Legislators should be free from improper pressures in the discharge of their functions These improper pressures can be in the form of criminal laws and the use of defamation proceedings restricting legitimate criticism of the government by legislators Criminal defamation laws need to be carefully reviewed Similarly the defense of qualified privilege with respect to reports of parliamentary proceedings should be drawn as broadly as possible to permit full public reporting and discussion of public affairs and offence of contempt of Parliament should be drawn as narrowly as possible There is a need to achieve a balance between the free speech rights of Legislators vis-agrave-vis the government and the publicrsquos right of free speech vis-agrave-vis the Parliament PTAS7 Participatory Transparent Law and Decision-Making Processes
Parliamentary Processes Parliament must be open transparent and accountable to the public in its lawmaking and policymaking functions In this regard the free flow of information from Parliament to its members and the public as well as avenues for effective public participation is fundamental to a democratic Parliament CLHG CLHP ECOWAS-P IPU-GD IPU-Res03 UPA-Res00
Law and policy-making are the primary responsibilities of Parliament as the elected body representing the people The Executive may initiate laws and policies and the Judiciary may be constructive and purposive in the interpretation of legislation neither must be seen as usurping Parliamentrsquos legislative function Ultimately only the Parliament is entitled to adopt laws for the country Consequently legislators should be encouraged to adopt national policies and laws through open processes which allow for consultation and citizen participation Parliamentary processes must be not only transparent but also participatory Participation starts with the right to form democratic political parties and entails the need for transparent and fairness in the electoral process including through appropriate access to funds and free independent and pluralistic media Transparent decision-making and law-making processes create ownership in governance by the public which is necessary in a democratic society The Parliament should implement efficient mechanisms to allow and encourage public participation in the different stages of the law making process From the moment that Parliament receives a bill from the Executive or from the moment a bill is drafted by a committee civil society representatives should have a voice and be consulted Civil society participation will add a fresh look and ensure a better response to community needs Legislators will benefit from input and the resulting laws will better reflect real needs and local buy-in Committees meetings and parliamentary sessions should be usually open to the public Information on meetings and final decisions should be broadly disseminated Parliament should be consulted by the government on important questions affecting the life of the nation war national security human rights economic policy social rights
19
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
labor markets etc This will enable the opposition to take part in the debate and provide its input to the decision-making process The opposition must also be able to raise matters regarding the Constitution with a view to its amendment PTAS8 Transparent Oversight of the Executive
General Oversight One of the core functions of Parliament is to provide a continuous check on the activities of the Executive In performing this oversight function Parliament must follow transparent procedures and respect strict standards of accountability CLHG CLHP IPU-GD UPA-Res00
The separation of powers not only means that each branch of government is independent from the other two but also that mechanisms of checks and balances are in place to avoid abuses and encroachments To that end the Parliament is traditionally entrusted with the responsibility of overseeing the activities of the Executive The Executive as Parliament must follow high standards of accountability transparency and responsibility in the performance of its duties Parliament is responsible for ensuring that these standards are met and for providing adequate mechanisms to challenge the Executive for failure to meet these standards Oversight may take place in the form of periodic questions to the government in a parliamentary sessions or investigations undertaken by parliamentary commissions or votes of confidencenon-confidence Parliamentary procedures should be transparent and allow for public scrutiny Governments should be required to announce publicly within a defined time period their responses to committee investigations PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
Budget Design and Oversight Parliament is traditionally responsibly for adopting the national budget There is a growing international consensus that Parliaments around the world need to make maximum use of existing processes for exerting influence in national budget control scrutiny and accountability IPU-Res03 UPA-Res00
Parliament must have a certain amount of authority to affect the budget otherwise its role in establishing national policy and representing citizen interests will remain limited11 Involvement should extend beyond budget approval and include budget formulation tracking and accountability Unless it has substantial involvement beyond approval Parliament will do no more than rubberstamp the Executiversquos budgetary and policy decisions To promote more accountability in government Parliament should be entitled to monitor income and expenditures especially how effectively government programs and activities are administered
11 USAID Handbook
20
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Parliamentary procedures should therefore provide adequate mechanisms to oversee the Executive including accountability mechanisms targeted at budget development effective money flows budget implementation etc This can be achieved by allowing independent audits of public accounts establishing that the opposition will chair the Public Accounts Committee or a combination of the mechanisms andor others PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
International Obligations and Parliament International treaties carry a general obligation for signatory States to ratify and to adopt all necessary measures for their implementation Both functions should fall on Parliament CLHG CLHP IPU-Res03
The need for governments to respect their international law obligations has become more urgent post World War II particularly as inter-State conflicts are on the rise Legislators as law makers and representatives of the people need to be more proficient in their knowledge and understanding of human rights and humanitarian law instruments including those relating to economic social and cultural rights In a 2000 Declaration the Conference of Presiding Officers of National Parliaments outlined the four inter-connected levels of intervention for Parliaments in relation to international obligations
bull ldquoInfluencing their respective countriesrsquo policy on matters dealt with in the United Nations and other international negotiating forums
bull Keeping themselves informed of the progress and outcome of these negotiations bull Deciding on ratification where the Constitution so foresees of texts and treaties
signed by governments and bull Contributing actively to the subsequent implementation processrdquo12
Parliaments play a central role in adjusting domestic law to international standards According to the legal systems of many countries Parliaments are not only the bodies entitled to ratify international obligations but also the ones responsible for adopting the necessary implementing legislation Many international treaties particularly those related to human rights the environment gender and corruption require that States parties adjust their national legislation to match the minimum standards laid out in the treaties For example United Nations Convention against Corruption (2004) is explicitly applicable to legislators Indeed its scope covers ldquopublic officialsrdquo who are defined as including any person holding parliamentary office in a State party Compliance with this provision and others often requires the adoption of legislation Conventions generally include explicit requirements for the adoption of new laws by national Parliaments
12 Conference of Presiding Officers of National Parliaments organized by the IPU in cooperation with the UN Declaration adopted by at UN Headquarters New York 30 August ndash 1st September 2000
21
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The United Nations Convention against Corruption (2004) establishes that each State party should develop and implement anti-corruption policies
bull The Inter-American Convention against Corruption (1996) requires in its article VII the adoption by State parties of all ldquonecessary legislative or other measures to establish as criminal offences under their domestic law the acts of corruption described in Article VI(1) and to facilitate cooperation among themselves pursuant to this Conventionrdquo
As guardians of the Constitution legislators have an obligation to protect the human rights of people This obligation is reinforced by the requirement to comply with international and regional human rights treaties This obligation to protect and legislate in support of human rights should lead to increased oversight by Parliament in areas in which the Executive has traditional exercised blanket discretionary powers such as national security There has been a growing consensus on the need to shift focus away from military security to broader factors of ldquohuman securityrdquo such as environmental economic social as well as political13 PTAS11 Transparent Efficient Parliamentary Committees
Parliamentary Committees The legislative and oversight functions of Parliament are actually undertaken by Parliamentary Committees the powers and structures of which differ from country to country It is essential for these committees to be properly structured and well funded to enable them to be effective in discharging Parliamentrsquos legislative and policy making functions CLHG CPA-Media CPA-CP CPA-Rec03 CPA-REc04 IPU-GD
Committee structures may vary depending on the size of Parliament its constitutional mandate and other country-specific factors However all committees should have adequate resources both human and financial and have the power to summon witnesses including ministers as necessary to fulfill their mission Committee meetings should be generally open and allow for public attendance and participation Committee reports should be published and made readily available to both the government and the public PTAS12 Adequate Independent Parliamentary Budget
Parliamentary Budget It is the duty of the State to provide adequate resources to enable Parliament to perform its functions properly CLHG
Parliamentary independence and effectiveness to carry out its functions is eroded when Parliament lacks control over its own budget or has inadequate finances to manage its committees and carry out various other internal administrative duties14 Parliament 13 IPU and the Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born Philipp H Fluri amp Anders B Johnsson page 16 (Found at httpwwwdcafchpublicationse-publicationsHandbook_eng ) 14 Indeed without adequate resources for the training of new members secretarial office library and research facilities drafting assistance for bills etc Parliament is handicapped
22
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
should be able to design its own budget based on its needs and negotiate with the Executive the amount allocated to it from the national budget There should be sufficient autonomy over these finances by Parliament to protect the institutional independence and integrity It has been suggested that an all-party committee of members of Parliament should review and administer the parliamentary budget Moreover the parliamentary budget should not be subject to amendment by the Executive15 It is the Parliamentary budget that inter alia funds training of parliamentary support staff ensures that library and research facilities are properly and adequately equipped guarantees that legislators have the necessary support staff to undertake their functions and funds security services PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
Parliamentary Conduct Legislators are required to exhibit and promote high standards of professional conduct in order to reinforce public confidence in Parliament which is fundamental to its independence and legitimacy in a democratic society ANTICORRUPTION TREATIES CLHG CLHP
The CLHG outline three components for a comprehensive ethical framework applicable to Parliament
bull Conflict of interest rules and codes of conduct requiring disclosure of interests bull Access to ethics advisors and bull Restrictions on lobbying and interest group influence
Ethical professional conduct requires legislators not only to conform to high standards of ethics in practice but also to avoid the appearance of impropriety The need for financial transparency by public officials has increasingly gained acceptance as anti-corruption issues have become global Legislatorsrsquo professional and private conduct must be subject to some system of internal codified rules regulating standards of behavior and making disclosure of personal income and assets mandatory Other professions have codes of ethics regulating membersrsquo behavior for example doctors and lawyers Ethical rules should include conflict of interest rules outlining incompatible professional activities or interests such as holding another governmental office and restricting certain ventures such as participation or shareholding in corporations These rules should also require the submission to an independent oversight authority of disclosures of income assets and interests These disclosures should then be publicized for broader ethical monitoring by the public Disclosure of interests will go a long way in establishing institutional integrity trust and respect by the public and effective discharge of duties on the part of legislators as they are fully conscious of the ethical parameters which govern them as a profession 15 Commonwealth Latimer House Guidelines Number VII6
23
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
Discipline Just as other professionals have quasi-judicial bodies to regulate discipline and even remove members there should also be an internal or external authority to sanction legislators conduct investigations and hearings and adopt findings and conclusions There should also be a clear appeals process available to any member aggrieved by a decision CLHG
ldquoThe Committee recommends
bull The House should appoint a person of independent standing who should have a degree of tenure and not be a career member of the House of Commons staff as Parliamentary Commissioner for Standards
bull The Commissioners should have independent discretion to decide whether or not a complaint merits investigation or to initiate an investigationrdquo Recommendations of Committee on Standards in Public Life First Report16
Just as any other citizen legislators should be bound by the law In cases when legislators commit acts contrary to the laws and regulations they expose themselves to disciplinary action and prosecution Moreover there are special conditions only for the status of being public servants that they must observe such as compliance of high standards of ethics assets disclosure and conflict of interest rules There must be a clear system of sanctions for non-compliance with the laws and regulations The disciplinary process in representative bodies is a very sensitive one It should not be used to punish the opposition or dissidents In this sense the existence of an objective internal or external body to sanction legislators is essential to the proper operation of the system An additional problem represents the immunity that all legislators should have The immunity is a protection to ensure that legislators can perform their duties without interference it should not however be used as an excuse to avoid sanctions for common misconducts or crimes PTAS15 Parliamentary Immunity
Immunity Legislators shall enjoy personal immunity from civil suits and criminal prosecution for acts and omissions in the exercise of their functions CLHG ECOWAS-P IPU-GD
Legislators should enjoy some degree of immunity from prosecution or civil suit for acts and omissions in the exercise of their functions However no one should be exempted from accountability The requirements of parliamentary independence from political institutional and societal forces must be balanced against those of public accountability
16 These recommendations were implemented by the House of Commons England A Standing Order setting up the office of Parliamentary Commissioner for Standards was set up on 6 November 1995
24
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Consequently the immunity regime should be strictly regulated especially through the recognition of
bull Clear limited scope of immunity (for example it should not cover acts performed outside of office nor common crimes) and
bull Possibility of waivers in clearly defined cases and following a transparent procedure
Regarding the scope of parliamentary immunity its historical roots lie with the freedom of speech of legislators as recognized in the British and American Bills of Rights The underlying justification for immunity is that it allows legislators to fulfill their mandate without fear of retaliatory measures on account of their positions or votes Legislators must therefore be protected against arrest and detention or civil and criminal prosecution for any acts performed or words spoken while in office or in the conduct of parliamentary affairs Legislators should not be subject to any form of inquiry detention or legal proceedings in respect of opinions expressed or votes cast by them in the performance of their duties Immunity should not be limited to acts or speech within the parliamentary facilities Rather immunity must be interpreted as broadly as possible For example the members of the European Parliament enjoy immunity in their own States in the territories of other Member States and whilst traveling to and from the place of the meeting of the European Parliament However immunity should not be absolute The immunity regime applicable to legislators should provide for the possibility of waiving this immunity in limited circumstances in the interests of justice Immunity is not a privilege benefiting individual members but rather a guarantee protecting the independence of Parliament and its members in their relations with other governmental and private bodies17 Parliamentary privileges must be clearly defined and established by law These immunities are not meant to place legislators above the law but to protect them from possible groundless proceedings or accusations that may be politically motivated The grounds and terms for lifting of immunity must be clearly specified by law so that this may only occur following a decision taken by a competent body on a non-partisan basis PTAS16 Parliamentary and Public Access to Information
Access to Information Legislators as well as the general public must have access to accurate timely information and data including legislation parliamentary procedures governmental data and relevant research data Banjul CLHG CLHP CPA-Media CPA-CP CPA-Rec03 CPA-Rec04 CSCE-CD ECHR IACHR ICCPR IPU-DD IPU-GD IPU-Res03 UNHCHR
17 ECPRD Parliamentary Codes of Conduct in Europe by Veronica Williams November 2001
25
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
The free flow of information is essential in a democratic society Access to information should not only be viewed in relation to the media and civil societyrsquos right to access governmental documents but also in relation to the legislatorsrsquo right to access relevant research and information from the government and other sources Access to information can be facilitated by the use of databases networks and information technology in general The media should be free to report the activities of Parliament and the public should be able to attend parliamentary meetings and Committee sittings where appropriate The CPA encouraged Parliaments ldquoto provide live coverage of their proceedings on a dedicated channel andor onlinerdquo in its Recommendations for an Informed Democracy The environment should be made conducive for civil society organizations the public and multiple stakeholders to exchange information with legislators to enable Parliament to effectively discharge its duties of oversight policy making law making representation and recruitment This could be achieved through the establishment of a public information office within Parliament Bills and Acts of Parliament must be published regularly and should be freely available to the public Indeed the CSCE Copenhagen Document notes that ldquolegislation adopted at the end of a public procedure and regulations will be published that being the condition of their applicability Those texts will be accessible to everyonerdquo In its recommendations following a conference on ldquoWhat Parliament and Legislators Can Dordquo the CPA noted that access should be granted ldquoto basic information and documents produced by the parliamentary process such as access to parliamentary libraries the provision of on-line information and the distribution of Parliamentary speeches promptly after delivery in the Houserdquo18 The type of information available to the public and to legislators should include
bull Attendance and voting records bull Registers of membersrsquo interests bull Bills and Acts of Parliament bull Procedural rules bull Codes of Conduct
Legislators should also have access to parliamentary archives as well as all necessary information and data from the government The IPU Guidelines note that ldquolegislators from the majority and the opposition alike are equally entitled to receive in a timely manner the same information from the governmentrdquo
18 Parliament and The Media Building an Effective Relationship 15-18 February 2000 [CPA-Media]
26
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS17 Adequate Facilities Equipment and Technology
Adequate Infrastructure Parliament should have at a minimum the necessary infrastructure and technical assistance including research capacity adequate facilities and equipment to enable it to carry out its basic democratic functions CPA-Rec03 CPA-Rec04 IPU-GD
The working conditions of legislators must be adequate and reflect the importance of Parliament as a key democratic institution Parliament must be housed in one or more buildings with the necessary equipment and office space for legislators and their staff including tables chairs and all other necessary office equipment Adequate resources must be allocated to Parliament andor legislators and support services to maintain and equip their facilities Some of the facilities and services which can be reasonably expected to be available to legislators include
bull Offices bull Secretarial services (general andor individual) bull Library and archive facilities bull Research services (to which requests for information can be submitted) and bull Information technology
In its 2002 Report the CPA Study Group highlights the importance of information technology including ldquoimproved networking between legislators and constituents among legislators between legislators and Parliament and better information sharing and record keepingrdquo Information technology can also facilitate access to information and best practices on the broad range of issues which fall under the purview of parliament including human rights socioeconomic rights and gender issues The use of information technology could include the development of intra-parliament networks and of searchable public databases on parliamentary activity as well as the increased access to outside information for legislators PTAS18 Professional Training for Legislators and Staff
Adequate Training Resources must be allocated to training programs both for new legislators and for the continuing education of sitting legislators These programs must be geared towards developing the skills required by parliamentary functions as well as exposing legislators to substantive issues and developments affecting their legislative oversight and representative functions CLHG CPA-CP
Training should be geared towards providing legislators with the specific skills and knowledge necessary to fulfill their parliamentary functions Legislators just like other professionals need continuing education programs and professional development to keep them updated on emerging democracy and governance trends Equally significant is the need to properly train new or incoming legislators on the constitutional rights and obligations of Parliament internal procedures and order of business ethics etc
27
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS19 Adequately-Compensated Research Library and Committee Staff
Support Staff ldquoParliament should be serviced by professional staff independent of the regular public servicerdquo CLHG IPU-GD
Parliamentary support staff in sufficient numbers and with the appropriate professional skills is crucial for an effective institution Parliamentary staff performs duties such as
bull Assisting in bill drafting bull Tracking the status of bills in the legislative process bull Maintaining and in some cases designing web sites bull Producing and drafting documents about the legislature bull Undertaking accounting and various other clerkship duties
High turnover of parliamentary staff requires more money for attracting new competent staff and providing them with the necessary training It is important to ensure that staff is reasonably well compensated to attract good candidates for the job who will retain their jobs longer When vacancies are not rapidly filled parliamentary work can be undermined resulting in misplacement of documents errors and overall inefficiency Parliamentary staff should be independent from other public service offices Their selection promotion and discipline must be clearly defined and reflect merit-based criteria and transparent processes Professional development opportunities and training should be offered to them The longer support staff stay in Parliament the more it benefits the institution especially as it may provide new legislators with the information and support necessary to adapt to their new functions faster
28
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 1 List of Acronyms
Banjul African Charter on Human and Peoplersquos Rights (1986) CEDAW Convention on the Elimination of All Forms of Discrimination
against Women ICERD Convention on the Elimination of All Forms of Racial
Discrimination CLHP Commonwealth Latimer House Principles on the Accountability and Relationship between the Three Branches of Government (2003) CLHG Commonwealth Latimer House Guidelines (1998) CPA Commonwealth Parliamentary Association CPA-Media Parliament and the Media Building an Effective Relationship
CPA (2000) CPA-CP Capetown Principles for an Informed Democracy CPA (2002) CPA-Rec03 Recommendation for an Informed Democracy CPA (2003) CPA-Rec04 Recommendation for Transparent Governance CPA (2004 CSCE Conference on Security and Cooperation in Europe CSCE-CD Copenhagen Document CSCE (1990) CSCE-MD Moscow Document CSCE (1991) ECHR European Convention on Human Rights and Fundamental
Liberties (1951) ECOWAS-P Protocol ASP11202 on Democracy and Good Governance
ECOWAS (2001) IACHR Inter-American Convention on Human Rights (1978) ICCPR International Covenant on Civil and Political Rights (1966) IPU Inter-Parliamentary Union IPU-DD Universal Declaration on Democracy IPU (1997) IPU-GD Guidelines and Duties for the Opposition in Parliament IPU (1999) IPU-Res03 Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World IPU (2003) UPA Union des Parlementaires Africains [African Parliamentary Union] UPA-Res00 Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence Building between Peoples and their Institutions (2000) UNHCHR United Nations High Commissioner for Human Rights Resolution
200047
29
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 2 Bibliography Governmental Documents
bull Commonwealth Latimer House Standards bull Commonwealth Latimer House Guidelines bull Commonwealth Parliamentary Association (CPA) Parliament and the Media
Building an Effective Relationship bull English Bill of Rights 1689 bull Inter-Parliamentary Union (IPU) Guidelines bull ECOWAS Protocol on Democracy and Good Governance Supplementary to the
Protocol Relating to the Mechanism for Conflict Prevention Management Resolution Peacekeeping and Security
bull Protocol on the Privileges and Immunities of the European Communities bull ECPRD Parliamentary Codes of Conduct in Europe (Compilation by the Council
of Europe Parliamentary Assembly) bull IPU Universal Declaration on Democracy bull International Covenant on Civil and Political Rights (ICCPR) bull The African (Banjul) Charter on Human and Peoplersquos Rights bull The Johannesburg Standards National Security Freedom of Expression and
Access to Information bull Document of the Copenhagen Meeting of the Conference on the Human
Dimension of the CSCE 1990 bull Declaration of Principle on Freedom of Expression in Africa bull Union des Parliamentaires Africains on the Role of Parliaments in the
Consolidation of Democracy and Confidence-Building Between the Peoples and their Institutions 23rd Conference in Addis Ababa 24-25 November 2000
bull The Harare Declaration bull IPU Conference of Presiding Officers of National Parliaments bull International Convention on the Elimination of All Forms of Racial
Discrimination bull Convention on the Elimination of All Forms of Discrimination Against Women bull Report of the Ethics Reform Task Force on H Res 168 105th Congress 1st
Session 17 June 1997 (found at httpwwwhousegovethicsethicsreporttxt ) bull Parliamentary Standards and the Wicks Committee Report Standard Note
SNPC2200 24 June 2003 by Ruth Winstone (found at httpwwwparliamentukcommonslibresearchnotessnpc-02200pdf )
bull Committee on Standards in Public Life First Report Cm 2850 Volume 1 11 May 1995 (found at httpwwwarchiveofficial-documentscoukdocumentcm282850285002pdf )
bull Committee on Standards in Public Life Sixth Report Reinforcing Standards Cm 4557 Volume 1 January 2000 (found at httpwwwpublic-standardsgovuk )
bull Committee on Standards in Public Life Eighth Report Cm 5663 Standards of Conduct in the House of Commons November 2002 (found at httpwww-standardsgovukreports8th_reportreporteighthreportpdf
bull African Union Declarations and Decisions
30
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The African Commission Declaration of Principle on Freedom of Expression in Africa
bull United Nations High Commissioner for Human Rights Resolution 200047
Non-Governmental Documents Transparency and Accountability of the Parliament
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Anti-Corruption Commissions Panacea or Real Medicine to Fight Corruption By John Heilbrunn 2004
bull PREM Notes Public Sector No 74 October 2002 Strengthening Oversight by Legislatures (found at httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull PREM Notes Public Sector No63 March 2002 Strengthening Legislatures Implications from Industrial Countries (found at httpwww1worldbankorgpremPREMNotespremnote63pdf )
bull WBI Working Papers Building a Clean Machine Anti-Corruption Coalitions and Sustainable Reforms by Michael Johnston and Sahr J Kpundeh 2002
bull IFES IFES Parliamentary Toolkit Transparency and Accountability Tools for Civil Society
bull PREM Notes Public Sector No59 October 2001 Features and Functions of Supreme Audit Institutions
bull World Bank Institute Improving Governance and Controlling Corruption Towards a Participatory and Action-oriented Approach Grounded on Empirical Rigor October 2001
bull World Bank Towards Transparency in Finance and Governance by Tara Vishwanath and Daniel Kaufman September 6 1999
bull World Bank Institute Pillars of Integrity The Importance of Supreme Audit Institutions in Curbing Corruption by Kenneth M Dye and Rick Stapenhurst 1998
bull Association of Secretaries General of Parliaments (ASGP) Promoting the Work of Parliament Report by Mr Ian Harris Clerk of the House of Representatives of Australia19 Autumn 2000 (found at httpwwwasgpinfodiscussionshtmstudies)
bull USAID Handbook on Legislative Strengthening httpwwwusaidgovour_workdemocracy_and_governancegovhtml
bull Parliamentary Centre Canada Controlling Corruption A Parliamentarianrsquos Handbook httpwwwparlcentcaindex_ephp
bull Parliamentary Centre Canada Parliamentary Accountability and Good Governance httpwwwparlcentcaindex_ephp
19 This report contains a detailed analysis of the answers from a Questionnaire of how the public is provided information about the operation and work of Parliament The review was launched at the Conference of the Association of Secretaries General of Parliaments which was held in Autumn 2000 in Jakarta
31
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Center for Democracy and Governance February 2000 USAID Handbook on Legislative Strengthening
bull Parliamentary Centre Parliamentary Accountability and Good Governance A Parliamentarianrsquos Handbook
bull Parliamentary Centre Forum on Parliamentary Reform bull NEPAD Library Emerging Legislatures in Emerging African Democracies bull Commonwealth Parliamentary Association and World Bank Institute
Recommendations for Transparent Governance Conclusions of a CPA Study Group on Access to Information Accra Ghana 5-9 July 2004
bull GOPAC Parliamentarians Fighting Corruption A Conceptual Overview PCentrefsPCentreSProjectsParliamentary_RelationsGOPACWBI
bull International IDEA Democracy Assessment Questionnaire wwwideaintideas_work14_statedemocracy_assessmentpdf
bull NDI and UNDP Parliaments and Poverty Series Toolkit No1 Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Strengthening the Accountability Process and Parliamentary Reform A Report on the Parliamentary Roundtable Held in Bhurban Pakistan March 1-2 1997
Independence of the Parliament bull NDI Strengthening Legislative Capacity in Legislative-Executive Relations
Paper 6 httpwwwndiorgglobalpgovgovernanceasp bull Venice Commission Opinion on the Draft Proposal for Rules of Procedure of the
Assembly of the Republic of Macedonia by Georg Nolte July 5 2002 bull Venice Commission Report on the Referral of a Law Back to Parliament by the
Head of State November 15 1996 bull AGSP The Role of the Secretary General in the Administration of Parliament
Report by Mr Ugo Zampetti General Secretary of the Chamber of Deputies (Italy) October 2000 Review no 180
bull AGSP Constitutional and Parliamentary Information The Status of Parliamentary Groups
Parliamentary Immunity
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union Part Three Immunity in the European Parliament June 2001
bull Venice Commission Opinion 11995 Report on the Regime of Parliamentary Immunity CDL ndash INF(1996) 007 6496 (found at httpvenicecoeintsitedynamicsN_Opinion_efaspampL=EampOID=1 )
bull Venice Commission Supplementary Opinion on the Revision of the Constitution of Romania October 18 2002
32
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Venice Commission Draft Report ndash The Regime of Parliamentary Immunity April 29 1996
bull Venice Commission Questionnaire on Parliamentary Immunity prepared by Mr GW Maas-Geesteranus June 19 1995
Freedom of Parliamentary Speech
bull AGSP The Immunities of Members of Parliament Report prepared by Mr Robert Myttenaere September 1998
bull AGSP Position of Witnesses before Parliamentary Committees Report prepared by Mr Demaree JB Raval April 1997
Conflict of Interest amp Ethics
bull Parliamentary Affairs A Journal of Comparative Politics Volume 55 No 4 October 2002 Conduct Unbecoming The Regulation of Legislative Ethics in Britain and the United States by Robert Williams
bull Parliamentary Affairs A Journal of Comparative Politics Volume 52 No 3 July 1999 Parliament in the Age of Internet by S Coleman JA Taylor and W Van de Donk
bull European Centre for Parliamentary Research and Documentation (ECPRD) Parliamentary Codes of Conduct in Europe an Overview November 2001
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union June 2001
bull Research Paper Commissioned on behalf of The Committee on Standards in Public Life May 2002 The Regulation of Parliamentary Standards ndash A Comparative Perspective (found at httpwwwpublic-standardsgovukreports8th_reportreportresearchdoc
bull House of Representatives Resolution 168 on the Report of the Ethics Reform Task Force 18 June 1997
bull NDI Accountability Ethics and Transparency in Government Pakistan Study Mission to South Africa June 3 1997
bull NDI Report on Regional Consultative Workshops ndash Ethics Questionnaire August 1998
bull Council of Europe Steering Committee on Local and Regional Democracy (CDLR) Public Ethics at Local Level Model Initiatives Package November 25 2002
bull NDI Legislative Research Series Paper No 4 ndash Legislative Ethics A Comparative Analysis 1999
bull OECD United States Case Study ndash Ethics and Corruption The Management of Ethics and Conduct in the Public Service by Stuart Gilman December 1995
bull OECD Recommendations of the Council on Guidelines for Managing Conflict of Interest in the Public Service June 2003
33
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Sanction and Removal of Legislators bull Venice Commission Comments on the Draft Law of the Chechen Republic on
Elections to the Parliament of the Chechen Republic As Submitted to Referendum by Mr G Nolte March 23 2003
bull Venice Commission Opinion on the Draft Law on the Public Attorney (Ombudsman) of ldquoThe Former Yugoslav Republic of Macedoniardquo March 15 2003
bull Venice Commission Comments on the Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia by Ms Serra Lopes February 28 2003
bull Venice Commission Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia February 2003
bull WBI PREM Notes Public Sector Number 19 April 1999 Using an Ombudsman to oversee Public Officials
bull AGSP The Office of the Parliamentary Ombudsman March 1994 Salaries and Benefits of Legislators
bull AGSP The Social Protection of Parliamentarians Report by Mrs Helene Ponceau General Secretary of the Senate Quaestorrsquos Office [Havana Senate Treasurerrsquos Department] Review No 181 April 2001
Professional Development and Training
bull SADC Parliamentary Forum MPs Orientation Handbook ndash Professional Performance and Development httpwwwsadcpforgaboutindexasp
The Parliament and the Budget Cycle
bull OECD Development Centre Policy Brief No 22 Strengthening Participation in Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD May 2001 OECD Best Practices for Budget Transparency bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and
Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull ASGP The Administrative and Financial Autonomy of Parliamentary Assemblies Report prepared by Michel Couderc (France) adopted at the Moscow Session (September 1998)
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development The Legislature and the Budget by Frederick Stapenhurst 2004 httpwwwworldbankorgwbigovernanceparliament
34
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull WBI Working Papers Series on Contemporary Issues in Parliamentary
Development Parliaments and the PRSP Process by Scott Hubli and Alicia P Mandaville 2004
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull WBI PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull WBI PREM Notes Public Sector Number 74 October 2002 Strengthening Oversight by Legislatures
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull Commonwealth Parliamentary Association (CPA) The Parliamentarian 2002
Issue Two 179 Parliaments and Poverty by Ms Frannie A Lrsquoeautier bull Parliamentary Centre Canada and WBI and CIDA (with support from the
International Development Research Centre) Handbook on Parliamentarians and Policies to Reduce Poverty May 2001
bull Parliamentary Centre Cambodia Focus Group on Parliamentrsquos Role in the Budget Process Analysis
bull Parliamentary Centre Indicators of Parliamentary Performance in the Budget Process
bull The International Budget Project Legislatures and Budget Oversight httpwwwinternationalbudgetorgthemesLEGindexhtm
bull NDI Legislatures and the Budget Process An International Survey 2003 httpwwwndiorgglobalpgovgovernanceasp
bull NDI Parliaments and Poverty Series Toolkit No1 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Parliaments and Poverty Series Toolkit No2 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives
35
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull NDI Parliaments and Poverty Series Toolkit No3 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative Public Outreach on Poverty Issues
bull UNDP IPU WBI and UNIFEM Parliament The Budget and Gender httpwwwundporgdpapublicationsgovernancehtml
bull IMF Finance amp Development Magazine December 2002 Volume 39 Number 4 A Bigger Role for Legislators
bull Case Study PRSPs and Parliament by Stephen Langdon bull Ministry of Foreign Affairs Netherlands March 2002 Economics and Finance
(b) Budget Impact Assessments (Gender Budgeting) bull Cagatay N M Keklik R Lal and J Lang (2000) ldquoBudgets As if People
Mattered Democratizing Macroeconomic Policiesrdquo SEPED Conference Paper Series Number 4 May
bull Navarro Z (1998) ldquoParticipation Democratizing Practices and the Formulation of a Modern Policy ndash the Case of ldquoParticipatory Budgetingrdquo in Porto Alegre Brazil (1989-1998) Development Sage London Volume 41 number 3 September
Representative and Inclusive Parliament
bull Commonwealth Parliamentary Association (CPA) Commonwealth Women Parliamentarians Into The Democratic Mainstream August 2002
bull CPA EnGendering Development and Democracy May 2004 bull IPU and UNDP Guidelines on the Rights and Duties of the Opposition in
Parliament May 19 1999 (Unanimously adopted by the participants at the Parliamentary Seminar on Relations Between Majority and Minority Parties in African Parliaments Libreville (Gabon) 17-19 May 1999)
bull AWEPA European Parliamentarians for Africa OPS7 Parliamentary Gender Handbook South Africa 2001 (found at httpwwwawepaorgdownloadsOPS07-_Parliamentary_Gender_Handbook-_South_Africapdf
Free Elections of Legislators
bull Venice Commission Opinion 2502003 Report on Electoral Systems - Overview of Available Solutions and Selection Criteria Adopted by the Venice Commission at its 57th Plenary Session CDL ndash AD(2004)003 (found at httpvenicecoeintdocs2004CDL-AD(2004)003-easp )
bull Venice Commission Opinion 2392003 Comments on the Draft Law of the Chechen Republic on Elections to the Parliament of the Chechen Republic CDL (2003)021rev (found at httpvenicecoeintdocs2003CDL(2003)021rev-easp )
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Resolution 1320 (2003) httpassemblycoeintDocumentsAdoptedTextTA03ERES1320htm
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Document 9267 15 October 2001
36
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
legal procedures This may be the case for immunity waivers in case of criminal offences committed by a legislator or of dissolution of parliament by the executive The CLHG lists three requirements to protect the security of tenure of legislators in its guideline number 2
ldquo (a) The expulsion of members from Parliament as a penalty for leaving their parties (floor-crossing) should be viewed as a possible infringement of membersrsquo independence anti-defection measures may be necessary in some jurisdictions to deal with corrupt practices
(b) Laws allowing for the recall of members during their elected term should be viewed with caution as a potential threat to the independence of members
(c) The cessation of membership of a political party of itself should not lead to the loss of a Memberrsquos seatrdquo
PTAS6 Freed Parliamentary Speech
Freedom of Speech The true expression of democracy lies in the right to free speech This should not just be a right guaranteed to the general public but legislators also must be free from censorship and defamation laws that restrict the right to criticize government thereby curtailing parliamentary oversight of the Executive Banjul CLHG CLHP CPA-Media CPA-Rec03 ECHR IACHR ICCPR IPU-GD IPU-DD UPA-Res00
The International Covenant on Civil and Political Rights (ICCPR) expressly states in article 19(1) that everyone shall have the right to hold opinions without interference Article 19(2) guarantees the right to freedom of expression and broadens it to include the freedom to seek receive and impart information and ideas of all kinds regardless of frontiers either orally in writing or in print in the form of art or through any other media of choice These rights are not absolute and may be restricted under specific circumstances as outlined in article 19(3) Most international human rights instruments provide that every individual shall have the right to express and disseminate his opinions within the law Other instruments recognize the right of freedom of expression as an inalienable fundamental right Free speech rights should entitle legislators to
bull Put written and oral questions to members of the government and receive answers to these questions The opposition in Parliament should also be entitled to speaking time proportionate to its numbers in sittings set aside for oral questions
bull Request documents and receive such documents in a timely manner National security concerns constitute one of the main reasons why governments restrict freedom of expression Freedom of expression should not be restricted on public order or national security grounds unless there is a real risk of harm to a legitimate interest and there is a causal link between the risk of harm and the expression
18
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Defamation laws are a serious concern for legislators when seeking to protect or exercise their freedom of expression rights Legislators should be free from improper pressures in the discharge of their functions These improper pressures can be in the form of criminal laws and the use of defamation proceedings restricting legitimate criticism of the government by legislators Criminal defamation laws need to be carefully reviewed Similarly the defense of qualified privilege with respect to reports of parliamentary proceedings should be drawn as broadly as possible to permit full public reporting and discussion of public affairs and offence of contempt of Parliament should be drawn as narrowly as possible There is a need to achieve a balance between the free speech rights of Legislators vis-agrave-vis the government and the publicrsquos right of free speech vis-agrave-vis the Parliament PTAS7 Participatory Transparent Law and Decision-Making Processes
Parliamentary Processes Parliament must be open transparent and accountable to the public in its lawmaking and policymaking functions In this regard the free flow of information from Parliament to its members and the public as well as avenues for effective public participation is fundamental to a democratic Parliament CLHG CLHP ECOWAS-P IPU-GD IPU-Res03 UPA-Res00
Law and policy-making are the primary responsibilities of Parliament as the elected body representing the people The Executive may initiate laws and policies and the Judiciary may be constructive and purposive in the interpretation of legislation neither must be seen as usurping Parliamentrsquos legislative function Ultimately only the Parliament is entitled to adopt laws for the country Consequently legislators should be encouraged to adopt national policies and laws through open processes which allow for consultation and citizen participation Parliamentary processes must be not only transparent but also participatory Participation starts with the right to form democratic political parties and entails the need for transparent and fairness in the electoral process including through appropriate access to funds and free independent and pluralistic media Transparent decision-making and law-making processes create ownership in governance by the public which is necessary in a democratic society The Parliament should implement efficient mechanisms to allow and encourage public participation in the different stages of the law making process From the moment that Parliament receives a bill from the Executive or from the moment a bill is drafted by a committee civil society representatives should have a voice and be consulted Civil society participation will add a fresh look and ensure a better response to community needs Legislators will benefit from input and the resulting laws will better reflect real needs and local buy-in Committees meetings and parliamentary sessions should be usually open to the public Information on meetings and final decisions should be broadly disseminated Parliament should be consulted by the government on important questions affecting the life of the nation war national security human rights economic policy social rights
19
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
labor markets etc This will enable the opposition to take part in the debate and provide its input to the decision-making process The opposition must also be able to raise matters regarding the Constitution with a view to its amendment PTAS8 Transparent Oversight of the Executive
General Oversight One of the core functions of Parliament is to provide a continuous check on the activities of the Executive In performing this oversight function Parliament must follow transparent procedures and respect strict standards of accountability CLHG CLHP IPU-GD UPA-Res00
The separation of powers not only means that each branch of government is independent from the other two but also that mechanisms of checks and balances are in place to avoid abuses and encroachments To that end the Parliament is traditionally entrusted with the responsibility of overseeing the activities of the Executive The Executive as Parliament must follow high standards of accountability transparency and responsibility in the performance of its duties Parliament is responsible for ensuring that these standards are met and for providing adequate mechanisms to challenge the Executive for failure to meet these standards Oversight may take place in the form of periodic questions to the government in a parliamentary sessions or investigations undertaken by parliamentary commissions or votes of confidencenon-confidence Parliamentary procedures should be transparent and allow for public scrutiny Governments should be required to announce publicly within a defined time period their responses to committee investigations PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
Budget Design and Oversight Parliament is traditionally responsibly for adopting the national budget There is a growing international consensus that Parliaments around the world need to make maximum use of existing processes for exerting influence in national budget control scrutiny and accountability IPU-Res03 UPA-Res00
Parliament must have a certain amount of authority to affect the budget otherwise its role in establishing national policy and representing citizen interests will remain limited11 Involvement should extend beyond budget approval and include budget formulation tracking and accountability Unless it has substantial involvement beyond approval Parliament will do no more than rubberstamp the Executiversquos budgetary and policy decisions To promote more accountability in government Parliament should be entitled to monitor income and expenditures especially how effectively government programs and activities are administered
11 USAID Handbook
20
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Parliamentary procedures should therefore provide adequate mechanisms to oversee the Executive including accountability mechanisms targeted at budget development effective money flows budget implementation etc This can be achieved by allowing independent audits of public accounts establishing that the opposition will chair the Public Accounts Committee or a combination of the mechanisms andor others PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
International Obligations and Parliament International treaties carry a general obligation for signatory States to ratify and to adopt all necessary measures for their implementation Both functions should fall on Parliament CLHG CLHP IPU-Res03
The need for governments to respect their international law obligations has become more urgent post World War II particularly as inter-State conflicts are on the rise Legislators as law makers and representatives of the people need to be more proficient in their knowledge and understanding of human rights and humanitarian law instruments including those relating to economic social and cultural rights In a 2000 Declaration the Conference of Presiding Officers of National Parliaments outlined the four inter-connected levels of intervention for Parliaments in relation to international obligations
bull ldquoInfluencing their respective countriesrsquo policy on matters dealt with in the United Nations and other international negotiating forums
bull Keeping themselves informed of the progress and outcome of these negotiations bull Deciding on ratification where the Constitution so foresees of texts and treaties
signed by governments and bull Contributing actively to the subsequent implementation processrdquo12
Parliaments play a central role in adjusting domestic law to international standards According to the legal systems of many countries Parliaments are not only the bodies entitled to ratify international obligations but also the ones responsible for adopting the necessary implementing legislation Many international treaties particularly those related to human rights the environment gender and corruption require that States parties adjust their national legislation to match the minimum standards laid out in the treaties For example United Nations Convention against Corruption (2004) is explicitly applicable to legislators Indeed its scope covers ldquopublic officialsrdquo who are defined as including any person holding parliamentary office in a State party Compliance with this provision and others often requires the adoption of legislation Conventions generally include explicit requirements for the adoption of new laws by national Parliaments
12 Conference of Presiding Officers of National Parliaments organized by the IPU in cooperation with the UN Declaration adopted by at UN Headquarters New York 30 August ndash 1st September 2000
21
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The United Nations Convention against Corruption (2004) establishes that each State party should develop and implement anti-corruption policies
bull The Inter-American Convention against Corruption (1996) requires in its article VII the adoption by State parties of all ldquonecessary legislative or other measures to establish as criminal offences under their domestic law the acts of corruption described in Article VI(1) and to facilitate cooperation among themselves pursuant to this Conventionrdquo
As guardians of the Constitution legislators have an obligation to protect the human rights of people This obligation is reinforced by the requirement to comply with international and regional human rights treaties This obligation to protect and legislate in support of human rights should lead to increased oversight by Parliament in areas in which the Executive has traditional exercised blanket discretionary powers such as national security There has been a growing consensus on the need to shift focus away from military security to broader factors of ldquohuman securityrdquo such as environmental economic social as well as political13 PTAS11 Transparent Efficient Parliamentary Committees
Parliamentary Committees The legislative and oversight functions of Parliament are actually undertaken by Parliamentary Committees the powers and structures of which differ from country to country It is essential for these committees to be properly structured and well funded to enable them to be effective in discharging Parliamentrsquos legislative and policy making functions CLHG CPA-Media CPA-CP CPA-Rec03 CPA-REc04 IPU-GD
Committee structures may vary depending on the size of Parliament its constitutional mandate and other country-specific factors However all committees should have adequate resources both human and financial and have the power to summon witnesses including ministers as necessary to fulfill their mission Committee meetings should be generally open and allow for public attendance and participation Committee reports should be published and made readily available to both the government and the public PTAS12 Adequate Independent Parliamentary Budget
Parliamentary Budget It is the duty of the State to provide adequate resources to enable Parliament to perform its functions properly CLHG
Parliamentary independence and effectiveness to carry out its functions is eroded when Parliament lacks control over its own budget or has inadequate finances to manage its committees and carry out various other internal administrative duties14 Parliament 13 IPU and the Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born Philipp H Fluri amp Anders B Johnsson page 16 (Found at httpwwwdcafchpublicationse-publicationsHandbook_eng ) 14 Indeed without adequate resources for the training of new members secretarial office library and research facilities drafting assistance for bills etc Parliament is handicapped
22
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
should be able to design its own budget based on its needs and negotiate with the Executive the amount allocated to it from the national budget There should be sufficient autonomy over these finances by Parliament to protect the institutional independence and integrity It has been suggested that an all-party committee of members of Parliament should review and administer the parliamentary budget Moreover the parliamentary budget should not be subject to amendment by the Executive15 It is the Parliamentary budget that inter alia funds training of parliamentary support staff ensures that library and research facilities are properly and adequately equipped guarantees that legislators have the necessary support staff to undertake their functions and funds security services PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
Parliamentary Conduct Legislators are required to exhibit and promote high standards of professional conduct in order to reinforce public confidence in Parliament which is fundamental to its independence and legitimacy in a democratic society ANTICORRUPTION TREATIES CLHG CLHP
The CLHG outline three components for a comprehensive ethical framework applicable to Parliament
bull Conflict of interest rules and codes of conduct requiring disclosure of interests bull Access to ethics advisors and bull Restrictions on lobbying and interest group influence
Ethical professional conduct requires legislators not only to conform to high standards of ethics in practice but also to avoid the appearance of impropriety The need for financial transparency by public officials has increasingly gained acceptance as anti-corruption issues have become global Legislatorsrsquo professional and private conduct must be subject to some system of internal codified rules regulating standards of behavior and making disclosure of personal income and assets mandatory Other professions have codes of ethics regulating membersrsquo behavior for example doctors and lawyers Ethical rules should include conflict of interest rules outlining incompatible professional activities or interests such as holding another governmental office and restricting certain ventures such as participation or shareholding in corporations These rules should also require the submission to an independent oversight authority of disclosures of income assets and interests These disclosures should then be publicized for broader ethical monitoring by the public Disclosure of interests will go a long way in establishing institutional integrity trust and respect by the public and effective discharge of duties on the part of legislators as they are fully conscious of the ethical parameters which govern them as a profession 15 Commonwealth Latimer House Guidelines Number VII6
23
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
Discipline Just as other professionals have quasi-judicial bodies to regulate discipline and even remove members there should also be an internal or external authority to sanction legislators conduct investigations and hearings and adopt findings and conclusions There should also be a clear appeals process available to any member aggrieved by a decision CLHG
ldquoThe Committee recommends
bull The House should appoint a person of independent standing who should have a degree of tenure and not be a career member of the House of Commons staff as Parliamentary Commissioner for Standards
bull The Commissioners should have independent discretion to decide whether or not a complaint merits investigation or to initiate an investigationrdquo Recommendations of Committee on Standards in Public Life First Report16
Just as any other citizen legislators should be bound by the law In cases when legislators commit acts contrary to the laws and regulations they expose themselves to disciplinary action and prosecution Moreover there are special conditions only for the status of being public servants that they must observe such as compliance of high standards of ethics assets disclosure and conflict of interest rules There must be a clear system of sanctions for non-compliance with the laws and regulations The disciplinary process in representative bodies is a very sensitive one It should not be used to punish the opposition or dissidents In this sense the existence of an objective internal or external body to sanction legislators is essential to the proper operation of the system An additional problem represents the immunity that all legislators should have The immunity is a protection to ensure that legislators can perform their duties without interference it should not however be used as an excuse to avoid sanctions for common misconducts or crimes PTAS15 Parliamentary Immunity
Immunity Legislators shall enjoy personal immunity from civil suits and criminal prosecution for acts and omissions in the exercise of their functions CLHG ECOWAS-P IPU-GD
Legislators should enjoy some degree of immunity from prosecution or civil suit for acts and omissions in the exercise of their functions However no one should be exempted from accountability The requirements of parliamentary independence from political institutional and societal forces must be balanced against those of public accountability
16 These recommendations were implemented by the House of Commons England A Standing Order setting up the office of Parliamentary Commissioner for Standards was set up on 6 November 1995
24
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Consequently the immunity regime should be strictly regulated especially through the recognition of
bull Clear limited scope of immunity (for example it should not cover acts performed outside of office nor common crimes) and
bull Possibility of waivers in clearly defined cases and following a transparent procedure
Regarding the scope of parliamentary immunity its historical roots lie with the freedom of speech of legislators as recognized in the British and American Bills of Rights The underlying justification for immunity is that it allows legislators to fulfill their mandate without fear of retaliatory measures on account of their positions or votes Legislators must therefore be protected against arrest and detention or civil and criminal prosecution for any acts performed or words spoken while in office or in the conduct of parliamentary affairs Legislators should not be subject to any form of inquiry detention or legal proceedings in respect of opinions expressed or votes cast by them in the performance of their duties Immunity should not be limited to acts or speech within the parliamentary facilities Rather immunity must be interpreted as broadly as possible For example the members of the European Parliament enjoy immunity in their own States in the territories of other Member States and whilst traveling to and from the place of the meeting of the European Parliament However immunity should not be absolute The immunity regime applicable to legislators should provide for the possibility of waiving this immunity in limited circumstances in the interests of justice Immunity is not a privilege benefiting individual members but rather a guarantee protecting the independence of Parliament and its members in their relations with other governmental and private bodies17 Parliamentary privileges must be clearly defined and established by law These immunities are not meant to place legislators above the law but to protect them from possible groundless proceedings or accusations that may be politically motivated The grounds and terms for lifting of immunity must be clearly specified by law so that this may only occur following a decision taken by a competent body on a non-partisan basis PTAS16 Parliamentary and Public Access to Information
Access to Information Legislators as well as the general public must have access to accurate timely information and data including legislation parliamentary procedures governmental data and relevant research data Banjul CLHG CLHP CPA-Media CPA-CP CPA-Rec03 CPA-Rec04 CSCE-CD ECHR IACHR ICCPR IPU-DD IPU-GD IPU-Res03 UNHCHR
17 ECPRD Parliamentary Codes of Conduct in Europe by Veronica Williams November 2001
25
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
The free flow of information is essential in a democratic society Access to information should not only be viewed in relation to the media and civil societyrsquos right to access governmental documents but also in relation to the legislatorsrsquo right to access relevant research and information from the government and other sources Access to information can be facilitated by the use of databases networks and information technology in general The media should be free to report the activities of Parliament and the public should be able to attend parliamentary meetings and Committee sittings where appropriate The CPA encouraged Parliaments ldquoto provide live coverage of their proceedings on a dedicated channel andor onlinerdquo in its Recommendations for an Informed Democracy The environment should be made conducive for civil society organizations the public and multiple stakeholders to exchange information with legislators to enable Parliament to effectively discharge its duties of oversight policy making law making representation and recruitment This could be achieved through the establishment of a public information office within Parliament Bills and Acts of Parliament must be published regularly and should be freely available to the public Indeed the CSCE Copenhagen Document notes that ldquolegislation adopted at the end of a public procedure and regulations will be published that being the condition of their applicability Those texts will be accessible to everyonerdquo In its recommendations following a conference on ldquoWhat Parliament and Legislators Can Dordquo the CPA noted that access should be granted ldquoto basic information and documents produced by the parliamentary process such as access to parliamentary libraries the provision of on-line information and the distribution of Parliamentary speeches promptly after delivery in the Houserdquo18 The type of information available to the public and to legislators should include
bull Attendance and voting records bull Registers of membersrsquo interests bull Bills and Acts of Parliament bull Procedural rules bull Codes of Conduct
Legislators should also have access to parliamentary archives as well as all necessary information and data from the government The IPU Guidelines note that ldquolegislators from the majority and the opposition alike are equally entitled to receive in a timely manner the same information from the governmentrdquo
18 Parliament and The Media Building an Effective Relationship 15-18 February 2000 [CPA-Media]
26
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS17 Adequate Facilities Equipment and Technology
Adequate Infrastructure Parliament should have at a minimum the necessary infrastructure and technical assistance including research capacity adequate facilities and equipment to enable it to carry out its basic democratic functions CPA-Rec03 CPA-Rec04 IPU-GD
The working conditions of legislators must be adequate and reflect the importance of Parliament as a key democratic institution Parliament must be housed in one or more buildings with the necessary equipment and office space for legislators and their staff including tables chairs and all other necessary office equipment Adequate resources must be allocated to Parliament andor legislators and support services to maintain and equip their facilities Some of the facilities and services which can be reasonably expected to be available to legislators include
bull Offices bull Secretarial services (general andor individual) bull Library and archive facilities bull Research services (to which requests for information can be submitted) and bull Information technology
In its 2002 Report the CPA Study Group highlights the importance of information technology including ldquoimproved networking between legislators and constituents among legislators between legislators and Parliament and better information sharing and record keepingrdquo Information technology can also facilitate access to information and best practices on the broad range of issues which fall under the purview of parliament including human rights socioeconomic rights and gender issues The use of information technology could include the development of intra-parliament networks and of searchable public databases on parliamentary activity as well as the increased access to outside information for legislators PTAS18 Professional Training for Legislators and Staff
Adequate Training Resources must be allocated to training programs both for new legislators and for the continuing education of sitting legislators These programs must be geared towards developing the skills required by parliamentary functions as well as exposing legislators to substantive issues and developments affecting their legislative oversight and representative functions CLHG CPA-CP
Training should be geared towards providing legislators with the specific skills and knowledge necessary to fulfill their parliamentary functions Legislators just like other professionals need continuing education programs and professional development to keep them updated on emerging democracy and governance trends Equally significant is the need to properly train new or incoming legislators on the constitutional rights and obligations of Parliament internal procedures and order of business ethics etc
27
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS19 Adequately-Compensated Research Library and Committee Staff
Support Staff ldquoParliament should be serviced by professional staff independent of the regular public servicerdquo CLHG IPU-GD
Parliamentary support staff in sufficient numbers and with the appropriate professional skills is crucial for an effective institution Parliamentary staff performs duties such as
bull Assisting in bill drafting bull Tracking the status of bills in the legislative process bull Maintaining and in some cases designing web sites bull Producing and drafting documents about the legislature bull Undertaking accounting and various other clerkship duties
High turnover of parliamentary staff requires more money for attracting new competent staff and providing them with the necessary training It is important to ensure that staff is reasonably well compensated to attract good candidates for the job who will retain their jobs longer When vacancies are not rapidly filled parliamentary work can be undermined resulting in misplacement of documents errors and overall inefficiency Parliamentary staff should be independent from other public service offices Their selection promotion and discipline must be clearly defined and reflect merit-based criteria and transparent processes Professional development opportunities and training should be offered to them The longer support staff stay in Parliament the more it benefits the institution especially as it may provide new legislators with the information and support necessary to adapt to their new functions faster
28
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 1 List of Acronyms
Banjul African Charter on Human and Peoplersquos Rights (1986) CEDAW Convention on the Elimination of All Forms of Discrimination
against Women ICERD Convention on the Elimination of All Forms of Racial
Discrimination CLHP Commonwealth Latimer House Principles on the Accountability and Relationship between the Three Branches of Government (2003) CLHG Commonwealth Latimer House Guidelines (1998) CPA Commonwealth Parliamentary Association CPA-Media Parliament and the Media Building an Effective Relationship
CPA (2000) CPA-CP Capetown Principles for an Informed Democracy CPA (2002) CPA-Rec03 Recommendation for an Informed Democracy CPA (2003) CPA-Rec04 Recommendation for Transparent Governance CPA (2004 CSCE Conference on Security and Cooperation in Europe CSCE-CD Copenhagen Document CSCE (1990) CSCE-MD Moscow Document CSCE (1991) ECHR European Convention on Human Rights and Fundamental
Liberties (1951) ECOWAS-P Protocol ASP11202 on Democracy and Good Governance
ECOWAS (2001) IACHR Inter-American Convention on Human Rights (1978) ICCPR International Covenant on Civil and Political Rights (1966) IPU Inter-Parliamentary Union IPU-DD Universal Declaration on Democracy IPU (1997) IPU-GD Guidelines and Duties for the Opposition in Parliament IPU (1999) IPU-Res03 Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World IPU (2003) UPA Union des Parlementaires Africains [African Parliamentary Union] UPA-Res00 Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence Building between Peoples and their Institutions (2000) UNHCHR United Nations High Commissioner for Human Rights Resolution
200047
29
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 2 Bibliography Governmental Documents
bull Commonwealth Latimer House Standards bull Commonwealth Latimer House Guidelines bull Commonwealth Parliamentary Association (CPA) Parliament and the Media
Building an Effective Relationship bull English Bill of Rights 1689 bull Inter-Parliamentary Union (IPU) Guidelines bull ECOWAS Protocol on Democracy and Good Governance Supplementary to the
Protocol Relating to the Mechanism for Conflict Prevention Management Resolution Peacekeeping and Security
bull Protocol on the Privileges and Immunities of the European Communities bull ECPRD Parliamentary Codes of Conduct in Europe (Compilation by the Council
of Europe Parliamentary Assembly) bull IPU Universal Declaration on Democracy bull International Covenant on Civil and Political Rights (ICCPR) bull The African (Banjul) Charter on Human and Peoplersquos Rights bull The Johannesburg Standards National Security Freedom of Expression and
Access to Information bull Document of the Copenhagen Meeting of the Conference on the Human
Dimension of the CSCE 1990 bull Declaration of Principle on Freedom of Expression in Africa bull Union des Parliamentaires Africains on the Role of Parliaments in the
Consolidation of Democracy and Confidence-Building Between the Peoples and their Institutions 23rd Conference in Addis Ababa 24-25 November 2000
bull The Harare Declaration bull IPU Conference of Presiding Officers of National Parliaments bull International Convention on the Elimination of All Forms of Racial
Discrimination bull Convention on the Elimination of All Forms of Discrimination Against Women bull Report of the Ethics Reform Task Force on H Res 168 105th Congress 1st
Session 17 June 1997 (found at httpwwwhousegovethicsethicsreporttxt ) bull Parliamentary Standards and the Wicks Committee Report Standard Note
SNPC2200 24 June 2003 by Ruth Winstone (found at httpwwwparliamentukcommonslibresearchnotessnpc-02200pdf )
bull Committee on Standards in Public Life First Report Cm 2850 Volume 1 11 May 1995 (found at httpwwwarchiveofficial-documentscoukdocumentcm282850285002pdf )
bull Committee on Standards in Public Life Sixth Report Reinforcing Standards Cm 4557 Volume 1 January 2000 (found at httpwwwpublic-standardsgovuk )
bull Committee on Standards in Public Life Eighth Report Cm 5663 Standards of Conduct in the House of Commons November 2002 (found at httpwww-standardsgovukreports8th_reportreporteighthreportpdf
bull African Union Declarations and Decisions
30
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The African Commission Declaration of Principle on Freedom of Expression in Africa
bull United Nations High Commissioner for Human Rights Resolution 200047
Non-Governmental Documents Transparency and Accountability of the Parliament
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Anti-Corruption Commissions Panacea or Real Medicine to Fight Corruption By John Heilbrunn 2004
bull PREM Notes Public Sector No 74 October 2002 Strengthening Oversight by Legislatures (found at httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull PREM Notes Public Sector No63 March 2002 Strengthening Legislatures Implications from Industrial Countries (found at httpwww1worldbankorgpremPREMNotespremnote63pdf )
bull WBI Working Papers Building a Clean Machine Anti-Corruption Coalitions and Sustainable Reforms by Michael Johnston and Sahr J Kpundeh 2002
bull IFES IFES Parliamentary Toolkit Transparency and Accountability Tools for Civil Society
bull PREM Notes Public Sector No59 October 2001 Features and Functions of Supreme Audit Institutions
bull World Bank Institute Improving Governance and Controlling Corruption Towards a Participatory and Action-oriented Approach Grounded on Empirical Rigor October 2001
bull World Bank Towards Transparency in Finance and Governance by Tara Vishwanath and Daniel Kaufman September 6 1999
bull World Bank Institute Pillars of Integrity The Importance of Supreme Audit Institutions in Curbing Corruption by Kenneth M Dye and Rick Stapenhurst 1998
bull Association of Secretaries General of Parliaments (ASGP) Promoting the Work of Parliament Report by Mr Ian Harris Clerk of the House of Representatives of Australia19 Autumn 2000 (found at httpwwwasgpinfodiscussionshtmstudies)
bull USAID Handbook on Legislative Strengthening httpwwwusaidgovour_workdemocracy_and_governancegovhtml
bull Parliamentary Centre Canada Controlling Corruption A Parliamentarianrsquos Handbook httpwwwparlcentcaindex_ephp
bull Parliamentary Centre Canada Parliamentary Accountability and Good Governance httpwwwparlcentcaindex_ephp
19 This report contains a detailed analysis of the answers from a Questionnaire of how the public is provided information about the operation and work of Parliament The review was launched at the Conference of the Association of Secretaries General of Parliaments which was held in Autumn 2000 in Jakarta
31
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Center for Democracy and Governance February 2000 USAID Handbook on Legislative Strengthening
bull Parliamentary Centre Parliamentary Accountability and Good Governance A Parliamentarianrsquos Handbook
bull Parliamentary Centre Forum on Parliamentary Reform bull NEPAD Library Emerging Legislatures in Emerging African Democracies bull Commonwealth Parliamentary Association and World Bank Institute
Recommendations for Transparent Governance Conclusions of a CPA Study Group on Access to Information Accra Ghana 5-9 July 2004
bull GOPAC Parliamentarians Fighting Corruption A Conceptual Overview PCentrefsPCentreSProjectsParliamentary_RelationsGOPACWBI
bull International IDEA Democracy Assessment Questionnaire wwwideaintideas_work14_statedemocracy_assessmentpdf
bull NDI and UNDP Parliaments and Poverty Series Toolkit No1 Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Strengthening the Accountability Process and Parliamentary Reform A Report on the Parliamentary Roundtable Held in Bhurban Pakistan March 1-2 1997
Independence of the Parliament bull NDI Strengthening Legislative Capacity in Legislative-Executive Relations
Paper 6 httpwwwndiorgglobalpgovgovernanceasp bull Venice Commission Opinion on the Draft Proposal for Rules of Procedure of the
Assembly of the Republic of Macedonia by Georg Nolte July 5 2002 bull Venice Commission Report on the Referral of a Law Back to Parliament by the
Head of State November 15 1996 bull AGSP The Role of the Secretary General in the Administration of Parliament
Report by Mr Ugo Zampetti General Secretary of the Chamber of Deputies (Italy) October 2000 Review no 180
bull AGSP Constitutional and Parliamentary Information The Status of Parliamentary Groups
Parliamentary Immunity
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union Part Three Immunity in the European Parliament June 2001
bull Venice Commission Opinion 11995 Report on the Regime of Parliamentary Immunity CDL ndash INF(1996) 007 6496 (found at httpvenicecoeintsitedynamicsN_Opinion_efaspampL=EampOID=1 )
bull Venice Commission Supplementary Opinion on the Revision of the Constitution of Romania October 18 2002
32
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Venice Commission Draft Report ndash The Regime of Parliamentary Immunity April 29 1996
bull Venice Commission Questionnaire on Parliamentary Immunity prepared by Mr GW Maas-Geesteranus June 19 1995
Freedom of Parliamentary Speech
bull AGSP The Immunities of Members of Parliament Report prepared by Mr Robert Myttenaere September 1998
bull AGSP Position of Witnesses before Parliamentary Committees Report prepared by Mr Demaree JB Raval April 1997
Conflict of Interest amp Ethics
bull Parliamentary Affairs A Journal of Comparative Politics Volume 55 No 4 October 2002 Conduct Unbecoming The Regulation of Legislative Ethics in Britain and the United States by Robert Williams
bull Parliamentary Affairs A Journal of Comparative Politics Volume 52 No 3 July 1999 Parliament in the Age of Internet by S Coleman JA Taylor and W Van de Donk
bull European Centre for Parliamentary Research and Documentation (ECPRD) Parliamentary Codes of Conduct in Europe an Overview November 2001
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union June 2001
bull Research Paper Commissioned on behalf of The Committee on Standards in Public Life May 2002 The Regulation of Parliamentary Standards ndash A Comparative Perspective (found at httpwwwpublic-standardsgovukreports8th_reportreportresearchdoc
bull House of Representatives Resolution 168 on the Report of the Ethics Reform Task Force 18 June 1997
bull NDI Accountability Ethics and Transparency in Government Pakistan Study Mission to South Africa June 3 1997
bull NDI Report on Regional Consultative Workshops ndash Ethics Questionnaire August 1998
bull Council of Europe Steering Committee on Local and Regional Democracy (CDLR) Public Ethics at Local Level Model Initiatives Package November 25 2002
bull NDI Legislative Research Series Paper No 4 ndash Legislative Ethics A Comparative Analysis 1999
bull OECD United States Case Study ndash Ethics and Corruption The Management of Ethics and Conduct in the Public Service by Stuart Gilman December 1995
bull OECD Recommendations of the Council on Guidelines for Managing Conflict of Interest in the Public Service June 2003
33
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Sanction and Removal of Legislators bull Venice Commission Comments on the Draft Law of the Chechen Republic on
Elections to the Parliament of the Chechen Republic As Submitted to Referendum by Mr G Nolte March 23 2003
bull Venice Commission Opinion on the Draft Law on the Public Attorney (Ombudsman) of ldquoThe Former Yugoslav Republic of Macedoniardquo March 15 2003
bull Venice Commission Comments on the Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia by Ms Serra Lopes February 28 2003
bull Venice Commission Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia February 2003
bull WBI PREM Notes Public Sector Number 19 April 1999 Using an Ombudsman to oversee Public Officials
bull AGSP The Office of the Parliamentary Ombudsman March 1994 Salaries and Benefits of Legislators
bull AGSP The Social Protection of Parliamentarians Report by Mrs Helene Ponceau General Secretary of the Senate Quaestorrsquos Office [Havana Senate Treasurerrsquos Department] Review No 181 April 2001
Professional Development and Training
bull SADC Parliamentary Forum MPs Orientation Handbook ndash Professional Performance and Development httpwwwsadcpforgaboutindexasp
The Parliament and the Budget Cycle
bull OECD Development Centre Policy Brief No 22 Strengthening Participation in Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD May 2001 OECD Best Practices for Budget Transparency bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and
Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull ASGP The Administrative and Financial Autonomy of Parliamentary Assemblies Report prepared by Michel Couderc (France) adopted at the Moscow Session (September 1998)
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development The Legislature and the Budget by Frederick Stapenhurst 2004 httpwwwworldbankorgwbigovernanceparliament
34
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull WBI Working Papers Series on Contemporary Issues in Parliamentary
Development Parliaments and the PRSP Process by Scott Hubli and Alicia P Mandaville 2004
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull WBI PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull WBI PREM Notes Public Sector Number 74 October 2002 Strengthening Oversight by Legislatures
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull Commonwealth Parliamentary Association (CPA) The Parliamentarian 2002
Issue Two 179 Parliaments and Poverty by Ms Frannie A Lrsquoeautier bull Parliamentary Centre Canada and WBI and CIDA (with support from the
International Development Research Centre) Handbook on Parliamentarians and Policies to Reduce Poverty May 2001
bull Parliamentary Centre Cambodia Focus Group on Parliamentrsquos Role in the Budget Process Analysis
bull Parliamentary Centre Indicators of Parliamentary Performance in the Budget Process
bull The International Budget Project Legislatures and Budget Oversight httpwwwinternationalbudgetorgthemesLEGindexhtm
bull NDI Legislatures and the Budget Process An International Survey 2003 httpwwwndiorgglobalpgovgovernanceasp
bull NDI Parliaments and Poverty Series Toolkit No1 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Parliaments and Poverty Series Toolkit No2 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives
35
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull NDI Parliaments and Poverty Series Toolkit No3 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative Public Outreach on Poverty Issues
bull UNDP IPU WBI and UNIFEM Parliament The Budget and Gender httpwwwundporgdpapublicationsgovernancehtml
bull IMF Finance amp Development Magazine December 2002 Volume 39 Number 4 A Bigger Role for Legislators
bull Case Study PRSPs and Parliament by Stephen Langdon bull Ministry of Foreign Affairs Netherlands March 2002 Economics and Finance
(b) Budget Impact Assessments (Gender Budgeting) bull Cagatay N M Keklik R Lal and J Lang (2000) ldquoBudgets As if People
Mattered Democratizing Macroeconomic Policiesrdquo SEPED Conference Paper Series Number 4 May
bull Navarro Z (1998) ldquoParticipation Democratizing Practices and the Formulation of a Modern Policy ndash the Case of ldquoParticipatory Budgetingrdquo in Porto Alegre Brazil (1989-1998) Development Sage London Volume 41 number 3 September
Representative and Inclusive Parliament
bull Commonwealth Parliamentary Association (CPA) Commonwealth Women Parliamentarians Into The Democratic Mainstream August 2002
bull CPA EnGendering Development and Democracy May 2004 bull IPU and UNDP Guidelines on the Rights and Duties of the Opposition in
Parliament May 19 1999 (Unanimously adopted by the participants at the Parliamentary Seminar on Relations Between Majority and Minority Parties in African Parliaments Libreville (Gabon) 17-19 May 1999)
bull AWEPA European Parliamentarians for Africa OPS7 Parliamentary Gender Handbook South Africa 2001 (found at httpwwwawepaorgdownloadsOPS07-_Parliamentary_Gender_Handbook-_South_Africapdf
Free Elections of Legislators
bull Venice Commission Opinion 2502003 Report on Electoral Systems - Overview of Available Solutions and Selection Criteria Adopted by the Venice Commission at its 57th Plenary Session CDL ndash AD(2004)003 (found at httpvenicecoeintdocs2004CDL-AD(2004)003-easp )
bull Venice Commission Opinion 2392003 Comments on the Draft Law of the Chechen Republic on Elections to the Parliament of the Chechen Republic CDL (2003)021rev (found at httpvenicecoeintdocs2003CDL(2003)021rev-easp )
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Resolution 1320 (2003) httpassemblycoeintDocumentsAdoptedTextTA03ERES1320htm
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Document 9267 15 October 2001
36
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Defamation laws are a serious concern for legislators when seeking to protect or exercise their freedom of expression rights Legislators should be free from improper pressures in the discharge of their functions These improper pressures can be in the form of criminal laws and the use of defamation proceedings restricting legitimate criticism of the government by legislators Criminal defamation laws need to be carefully reviewed Similarly the defense of qualified privilege with respect to reports of parliamentary proceedings should be drawn as broadly as possible to permit full public reporting and discussion of public affairs and offence of contempt of Parliament should be drawn as narrowly as possible There is a need to achieve a balance between the free speech rights of Legislators vis-agrave-vis the government and the publicrsquos right of free speech vis-agrave-vis the Parliament PTAS7 Participatory Transparent Law and Decision-Making Processes
Parliamentary Processes Parliament must be open transparent and accountable to the public in its lawmaking and policymaking functions In this regard the free flow of information from Parliament to its members and the public as well as avenues for effective public participation is fundamental to a democratic Parliament CLHG CLHP ECOWAS-P IPU-GD IPU-Res03 UPA-Res00
Law and policy-making are the primary responsibilities of Parliament as the elected body representing the people The Executive may initiate laws and policies and the Judiciary may be constructive and purposive in the interpretation of legislation neither must be seen as usurping Parliamentrsquos legislative function Ultimately only the Parliament is entitled to adopt laws for the country Consequently legislators should be encouraged to adopt national policies and laws through open processes which allow for consultation and citizen participation Parliamentary processes must be not only transparent but also participatory Participation starts with the right to form democratic political parties and entails the need for transparent and fairness in the electoral process including through appropriate access to funds and free independent and pluralistic media Transparent decision-making and law-making processes create ownership in governance by the public which is necessary in a democratic society The Parliament should implement efficient mechanisms to allow and encourage public participation in the different stages of the law making process From the moment that Parliament receives a bill from the Executive or from the moment a bill is drafted by a committee civil society representatives should have a voice and be consulted Civil society participation will add a fresh look and ensure a better response to community needs Legislators will benefit from input and the resulting laws will better reflect real needs and local buy-in Committees meetings and parliamentary sessions should be usually open to the public Information on meetings and final decisions should be broadly disseminated Parliament should be consulted by the government on important questions affecting the life of the nation war national security human rights economic policy social rights
19
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
labor markets etc This will enable the opposition to take part in the debate and provide its input to the decision-making process The opposition must also be able to raise matters regarding the Constitution with a view to its amendment PTAS8 Transparent Oversight of the Executive
General Oversight One of the core functions of Parliament is to provide a continuous check on the activities of the Executive In performing this oversight function Parliament must follow transparent procedures and respect strict standards of accountability CLHG CLHP IPU-GD UPA-Res00
The separation of powers not only means that each branch of government is independent from the other two but also that mechanisms of checks and balances are in place to avoid abuses and encroachments To that end the Parliament is traditionally entrusted with the responsibility of overseeing the activities of the Executive The Executive as Parliament must follow high standards of accountability transparency and responsibility in the performance of its duties Parliament is responsible for ensuring that these standards are met and for providing adequate mechanisms to challenge the Executive for failure to meet these standards Oversight may take place in the form of periodic questions to the government in a parliamentary sessions or investigations undertaken by parliamentary commissions or votes of confidencenon-confidence Parliamentary procedures should be transparent and allow for public scrutiny Governments should be required to announce publicly within a defined time period their responses to committee investigations PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
Budget Design and Oversight Parliament is traditionally responsibly for adopting the national budget There is a growing international consensus that Parliaments around the world need to make maximum use of existing processes for exerting influence in national budget control scrutiny and accountability IPU-Res03 UPA-Res00
Parliament must have a certain amount of authority to affect the budget otherwise its role in establishing national policy and representing citizen interests will remain limited11 Involvement should extend beyond budget approval and include budget formulation tracking and accountability Unless it has substantial involvement beyond approval Parliament will do no more than rubberstamp the Executiversquos budgetary and policy decisions To promote more accountability in government Parliament should be entitled to monitor income and expenditures especially how effectively government programs and activities are administered
11 USAID Handbook
20
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Parliamentary procedures should therefore provide adequate mechanisms to oversee the Executive including accountability mechanisms targeted at budget development effective money flows budget implementation etc This can be achieved by allowing independent audits of public accounts establishing that the opposition will chair the Public Accounts Committee or a combination of the mechanisms andor others PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
International Obligations and Parliament International treaties carry a general obligation for signatory States to ratify and to adopt all necessary measures for their implementation Both functions should fall on Parliament CLHG CLHP IPU-Res03
The need for governments to respect their international law obligations has become more urgent post World War II particularly as inter-State conflicts are on the rise Legislators as law makers and representatives of the people need to be more proficient in their knowledge and understanding of human rights and humanitarian law instruments including those relating to economic social and cultural rights In a 2000 Declaration the Conference of Presiding Officers of National Parliaments outlined the four inter-connected levels of intervention for Parliaments in relation to international obligations
bull ldquoInfluencing their respective countriesrsquo policy on matters dealt with in the United Nations and other international negotiating forums
bull Keeping themselves informed of the progress and outcome of these negotiations bull Deciding on ratification where the Constitution so foresees of texts and treaties
signed by governments and bull Contributing actively to the subsequent implementation processrdquo12
Parliaments play a central role in adjusting domestic law to international standards According to the legal systems of many countries Parliaments are not only the bodies entitled to ratify international obligations but also the ones responsible for adopting the necessary implementing legislation Many international treaties particularly those related to human rights the environment gender and corruption require that States parties adjust their national legislation to match the minimum standards laid out in the treaties For example United Nations Convention against Corruption (2004) is explicitly applicable to legislators Indeed its scope covers ldquopublic officialsrdquo who are defined as including any person holding parliamentary office in a State party Compliance with this provision and others often requires the adoption of legislation Conventions generally include explicit requirements for the adoption of new laws by national Parliaments
12 Conference of Presiding Officers of National Parliaments organized by the IPU in cooperation with the UN Declaration adopted by at UN Headquarters New York 30 August ndash 1st September 2000
21
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The United Nations Convention against Corruption (2004) establishes that each State party should develop and implement anti-corruption policies
bull The Inter-American Convention against Corruption (1996) requires in its article VII the adoption by State parties of all ldquonecessary legislative or other measures to establish as criminal offences under their domestic law the acts of corruption described in Article VI(1) and to facilitate cooperation among themselves pursuant to this Conventionrdquo
As guardians of the Constitution legislators have an obligation to protect the human rights of people This obligation is reinforced by the requirement to comply with international and regional human rights treaties This obligation to protect and legislate in support of human rights should lead to increased oversight by Parliament in areas in which the Executive has traditional exercised blanket discretionary powers such as national security There has been a growing consensus on the need to shift focus away from military security to broader factors of ldquohuman securityrdquo such as environmental economic social as well as political13 PTAS11 Transparent Efficient Parliamentary Committees
Parliamentary Committees The legislative and oversight functions of Parliament are actually undertaken by Parliamentary Committees the powers and structures of which differ from country to country It is essential for these committees to be properly structured and well funded to enable them to be effective in discharging Parliamentrsquos legislative and policy making functions CLHG CPA-Media CPA-CP CPA-Rec03 CPA-REc04 IPU-GD
Committee structures may vary depending on the size of Parliament its constitutional mandate and other country-specific factors However all committees should have adequate resources both human and financial and have the power to summon witnesses including ministers as necessary to fulfill their mission Committee meetings should be generally open and allow for public attendance and participation Committee reports should be published and made readily available to both the government and the public PTAS12 Adequate Independent Parliamentary Budget
Parliamentary Budget It is the duty of the State to provide adequate resources to enable Parliament to perform its functions properly CLHG
Parliamentary independence and effectiveness to carry out its functions is eroded when Parliament lacks control over its own budget or has inadequate finances to manage its committees and carry out various other internal administrative duties14 Parliament 13 IPU and the Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born Philipp H Fluri amp Anders B Johnsson page 16 (Found at httpwwwdcafchpublicationse-publicationsHandbook_eng ) 14 Indeed without adequate resources for the training of new members secretarial office library and research facilities drafting assistance for bills etc Parliament is handicapped
22
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
should be able to design its own budget based on its needs and negotiate with the Executive the amount allocated to it from the national budget There should be sufficient autonomy over these finances by Parliament to protect the institutional independence and integrity It has been suggested that an all-party committee of members of Parliament should review and administer the parliamentary budget Moreover the parliamentary budget should not be subject to amendment by the Executive15 It is the Parliamentary budget that inter alia funds training of parliamentary support staff ensures that library and research facilities are properly and adequately equipped guarantees that legislators have the necessary support staff to undertake their functions and funds security services PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
Parliamentary Conduct Legislators are required to exhibit and promote high standards of professional conduct in order to reinforce public confidence in Parliament which is fundamental to its independence and legitimacy in a democratic society ANTICORRUPTION TREATIES CLHG CLHP
The CLHG outline three components for a comprehensive ethical framework applicable to Parliament
bull Conflict of interest rules and codes of conduct requiring disclosure of interests bull Access to ethics advisors and bull Restrictions on lobbying and interest group influence
Ethical professional conduct requires legislators not only to conform to high standards of ethics in practice but also to avoid the appearance of impropriety The need for financial transparency by public officials has increasingly gained acceptance as anti-corruption issues have become global Legislatorsrsquo professional and private conduct must be subject to some system of internal codified rules regulating standards of behavior and making disclosure of personal income and assets mandatory Other professions have codes of ethics regulating membersrsquo behavior for example doctors and lawyers Ethical rules should include conflict of interest rules outlining incompatible professional activities or interests such as holding another governmental office and restricting certain ventures such as participation or shareholding in corporations These rules should also require the submission to an independent oversight authority of disclosures of income assets and interests These disclosures should then be publicized for broader ethical monitoring by the public Disclosure of interests will go a long way in establishing institutional integrity trust and respect by the public and effective discharge of duties on the part of legislators as they are fully conscious of the ethical parameters which govern them as a profession 15 Commonwealth Latimer House Guidelines Number VII6
23
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
Discipline Just as other professionals have quasi-judicial bodies to regulate discipline and even remove members there should also be an internal or external authority to sanction legislators conduct investigations and hearings and adopt findings and conclusions There should also be a clear appeals process available to any member aggrieved by a decision CLHG
ldquoThe Committee recommends
bull The House should appoint a person of independent standing who should have a degree of tenure and not be a career member of the House of Commons staff as Parliamentary Commissioner for Standards
bull The Commissioners should have independent discretion to decide whether or not a complaint merits investigation or to initiate an investigationrdquo Recommendations of Committee on Standards in Public Life First Report16
Just as any other citizen legislators should be bound by the law In cases when legislators commit acts contrary to the laws and regulations they expose themselves to disciplinary action and prosecution Moreover there are special conditions only for the status of being public servants that they must observe such as compliance of high standards of ethics assets disclosure and conflict of interest rules There must be a clear system of sanctions for non-compliance with the laws and regulations The disciplinary process in representative bodies is a very sensitive one It should not be used to punish the opposition or dissidents In this sense the existence of an objective internal or external body to sanction legislators is essential to the proper operation of the system An additional problem represents the immunity that all legislators should have The immunity is a protection to ensure that legislators can perform their duties without interference it should not however be used as an excuse to avoid sanctions for common misconducts or crimes PTAS15 Parliamentary Immunity
Immunity Legislators shall enjoy personal immunity from civil suits and criminal prosecution for acts and omissions in the exercise of their functions CLHG ECOWAS-P IPU-GD
Legislators should enjoy some degree of immunity from prosecution or civil suit for acts and omissions in the exercise of their functions However no one should be exempted from accountability The requirements of parliamentary independence from political institutional and societal forces must be balanced against those of public accountability
16 These recommendations were implemented by the House of Commons England A Standing Order setting up the office of Parliamentary Commissioner for Standards was set up on 6 November 1995
24
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Consequently the immunity regime should be strictly regulated especially through the recognition of
bull Clear limited scope of immunity (for example it should not cover acts performed outside of office nor common crimes) and
bull Possibility of waivers in clearly defined cases and following a transparent procedure
Regarding the scope of parliamentary immunity its historical roots lie with the freedom of speech of legislators as recognized in the British and American Bills of Rights The underlying justification for immunity is that it allows legislators to fulfill their mandate without fear of retaliatory measures on account of their positions or votes Legislators must therefore be protected against arrest and detention or civil and criminal prosecution for any acts performed or words spoken while in office or in the conduct of parliamentary affairs Legislators should not be subject to any form of inquiry detention or legal proceedings in respect of opinions expressed or votes cast by them in the performance of their duties Immunity should not be limited to acts or speech within the parliamentary facilities Rather immunity must be interpreted as broadly as possible For example the members of the European Parliament enjoy immunity in their own States in the territories of other Member States and whilst traveling to and from the place of the meeting of the European Parliament However immunity should not be absolute The immunity regime applicable to legislators should provide for the possibility of waiving this immunity in limited circumstances in the interests of justice Immunity is not a privilege benefiting individual members but rather a guarantee protecting the independence of Parliament and its members in their relations with other governmental and private bodies17 Parliamentary privileges must be clearly defined and established by law These immunities are not meant to place legislators above the law but to protect them from possible groundless proceedings or accusations that may be politically motivated The grounds and terms for lifting of immunity must be clearly specified by law so that this may only occur following a decision taken by a competent body on a non-partisan basis PTAS16 Parliamentary and Public Access to Information
Access to Information Legislators as well as the general public must have access to accurate timely information and data including legislation parliamentary procedures governmental data and relevant research data Banjul CLHG CLHP CPA-Media CPA-CP CPA-Rec03 CPA-Rec04 CSCE-CD ECHR IACHR ICCPR IPU-DD IPU-GD IPU-Res03 UNHCHR
17 ECPRD Parliamentary Codes of Conduct in Europe by Veronica Williams November 2001
25
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
The free flow of information is essential in a democratic society Access to information should not only be viewed in relation to the media and civil societyrsquos right to access governmental documents but also in relation to the legislatorsrsquo right to access relevant research and information from the government and other sources Access to information can be facilitated by the use of databases networks and information technology in general The media should be free to report the activities of Parliament and the public should be able to attend parliamentary meetings and Committee sittings where appropriate The CPA encouraged Parliaments ldquoto provide live coverage of their proceedings on a dedicated channel andor onlinerdquo in its Recommendations for an Informed Democracy The environment should be made conducive for civil society organizations the public and multiple stakeholders to exchange information with legislators to enable Parliament to effectively discharge its duties of oversight policy making law making representation and recruitment This could be achieved through the establishment of a public information office within Parliament Bills and Acts of Parliament must be published regularly and should be freely available to the public Indeed the CSCE Copenhagen Document notes that ldquolegislation adopted at the end of a public procedure and regulations will be published that being the condition of their applicability Those texts will be accessible to everyonerdquo In its recommendations following a conference on ldquoWhat Parliament and Legislators Can Dordquo the CPA noted that access should be granted ldquoto basic information and documents produced by the parliamentary process such as access to parliamentary libraries the provision of on-line information and the distribution of Parliamentary speeches promptly after delivery in the Houserdquo18 The type of information available to the public and to legislators should include
bull Attendance and voting records bull Registers of membersrsquo interests bull Bills and Acts of Parliament bull Procedural rules bull Codes of Conduct
Legislators should also have access to parliamentary archives as well as all necessary information and data from the government The IPU Guidelines note that ldquolegislators from the majority and the opposition alike are equally entitled to receive in a timely manner the same information from the governmentrdquo
18 Parliament and The Media Building an Effective Relationship 15-18 February 2000 [CPA-Media]
26
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS17 Adequate Facilities Equipment and Technology
Adequate Infrastructure Parliament should have at a minimum the necessary infrastructure and technical assistance including research capacity adequate facilities and equipment to enable it to carry out its basic democratic functions CPA-Rec03 CPA-Rec04 IPU-GD
The working conditions of legislators must be adequate and reflect the importance of Parliament as a key democratic institution Parliament must be housed in one or more buildings with the necessary equipment and office space for legislators and their staff including tables chairs and all other necessary office equipment Adequate resources must be allocated to Parliament andor legislators and support services to maintain and equip their facilities Some of the facilities and services which can be reasonably expected to be available to legislators include
bull Offices bull Secretarial services (general andor individual) bull Library and archive facilities bull Research services (to which requests for information can be submitted) and bull Information technology
In its 2002 Report the CPA Study Group highlights the importance of information technology including ldquoimproved networking between legislators and constituents among legislators between legislators and Parliament and better information sharing and record keepingrdquo Information technology can also facilitate access to information and best practices on the broad range of issues which fall under the purview of parliament including human rights socioeconomic rights and gender issues The use of information technology could include the development of intra-parliament networks and of searchable public databases on parliamentary activity as well as the increased access to outside information for legislators PTAS18 Professional Training for Legislators and Staff
Adequate Training Resources must be allocated to training programs both for new legislators and for the continuing education of sitting legislators These programs must be geared towards developing the skills required by parliamentary functions as well as exposing legislators to substantive issues and developments affecting their legislative oversight and representative functions CLHG CPA-CP
Training should be geared towards providing legislators with the specific skills and knowledge necessary to fulfill their parliamentary functions Legislators just like other professionals need continuing education programs and professional development to keep them updated on emerging democracy and governance trends Equally significant is the need to properly train new or incoming legislators on the constitutional rights and obligations of Parliament internal procedures and order of business ethics etc
27
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS19 Adequately-Compensated Research Library and Committee Staff
Support Staff ldquoParliament should be serviced by professional staff independent of the regular public servicerdquo CLHG IPU-GD
Parliamentary support staff in sufficient numbers and with the appropriate professional skills is crucial for an effective institution Parliamentary staff performs duties such as
bull Assisting in bill drafting bull Tracking the status of bills in the legislative process bull Maintaining and in some cases designing web sites bull Producing and drafting documents about the legislature bull Undertaking accounting and various other clerkship duties
High turnover of parliamentary staff requires more money for attracting new competent staff and providing them with the necessary training It is important to ensure that staff is reasonably well compensated to attract good candidates for the job who will retain their jobs longer When vacancies are not rapidly filled parliamentary work can be undermined resulting in misplacement of documents errors and overall inefficiency Parliamentary staff should be independent from other public service offices Their selection promotion and discipline must be clearly defined and reflect merit-based criteria and transparent processes Professional development opportunities and training should be offered to them The longer support staff stay in Parliament the more it benefits the institution especially as it may provide new legislators with the information and support necessary to adapt to their new functions faster
28
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 1 List of Acronyms
Banjul African Charter on Human and Peoplersquos Rights (1986) CEDAW Convention on the Elimination of All Forms of Discrimination
against Women ICERD Convention on the Elimination of All Forms of Racial
Discrimination CLHP Commonwealth Latimer House Principles on the Accountability and Relationship between the Three Branches of Government (2003) CLHG Commonwealth Latimer House Guidelines (1998) CPA Commonwealth Parliamentary Association CPA-Media Parliament and the Media Building an Effective Relationship
CPA (2000) CPA-CP Capetown Principles for an Informed Democracy CPA (2002) CPA-Rec03 Recommendation for an Informed Democracy CPA (2003) CPA-Rec04 Recommendation for Transparent Governance CPA (2004 CSCE Conference on Security and Cooperation in Europe CSCE-CD Copenhagen Document CSCE (1990) CSCE-MD Moscow Document CSCE (1991) ECHR European Convention on Human Rights and Fundamental
Liberties (1951) ECOWAS-P Protocol ASP11202 on Democracy and Good Governance
ECOWAS (2001) IACHR Inter-American Convention on Human Rights (1978) ICCPR International Covenant on Civil and Political Rights (1966) IPU Inter-Parliamentary Union IPU-DD Universal Declaration on Democracy IPU (1997) IPU-GD Guidelines and Duties for the Opposition in Parliament IPU (1999) IPU-Res03 Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World IPU (2003) UPA Union des Parlementaires Africains [African Parliamentary Union] UPA-Res00 Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence Building between Peoples and their Institutions (2000) UNHCHR United Nations High Commissioner for Human Rights Resolution
200047
29
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 2 Bibliography Governmental Documents
bull Commonwealth Latimer House Standards bull Commonwealth Latimer House Guidelines bull Commonwealth Parliamentary Association (CPA) Parliament and the Media
Building an Effective Relationship bull English Bill of Rights 1689 bull Inter-Parliamentary Union (IPU) Guidelines bull ECOWAS Protocol on Democracy and Good Governance Supplementary to the
Protocol Relating to the Mechanism for Conflict Prevention Management Resolution Peacekeeping and Security
bull Protocol on the Privileges and Immunities of the European Communities bull ECPRD Parliamentary Codes of Conduct in Europe (Compilation by the Council
of Europe Parliamentary Assembly) bull IPU Universal Declaration on Democracy bull International Covenant on Civil and Political Rights (ICCPR) bull The African (Banjul) Charter on Human and Peoplersquos Rights bull The Johannesburg Standards National Security Freedom of Expression and
Access to Information bull Document of the Copenhagen Meeting of the Conference on the Human
Dimension of the CSCE 1990 bull Declaration of Principle on Freedom of Expression in Africa bull Union des Parliamentaires Africains on the Role of Parliaments in the
Consolidation of Democracy and Confidence-Building Between the Peoples and their Institutions 23rd Conference in Addis Ababa 24-25 November 2000
bull The Harare Declaration bull IPU Conference of Presiding Officers of National Parliaments bull International Convention on the Elimination of All Forms of Racial
Discrimination bull Convention on the Elimination of All Forms of Discrimination Against Women bull Report of the Ethics Reform Task Force on H Res 168 105th Congress 1st
Session 17 June 1997 (found at httpwwwhousegovethicsethicsreporttxt ) bull Parliamentary Standards and the Wicks Committee Report Standard Note
SNPC2200 24 June 2003 by Ruth Winstone (found at httpwwwparliamentukcommonslibresearchnotessnpc-02200pdf )
bull Committee on Standards in Public Life First Report Cm 2850 Volume 1 11 May 1995 (found at httpwwwarchiveofficial-documentscoukdocumentcm282850285002pdf )
bull Committee on Standards in Public Life Sixth Report Reinforcing Standards Cm 4557 Volume 1 January 2000 (found at httpwwwpublic-standardsgovuk )
bull Committee on Standards in Public Life Eighth Report Cm 5663 Standards of Conduct in the House of Commons November 2002 (found at httpwww-standardsgovukreports8th_reportreporteighthreportpdf
bull African Union Declarations and Decisions
30
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The African Commission Declaration of Principle on Freedom of Expression in Africa
bull United Nations High Commissioner for Human Rights Resolution 200047
Non-Governmental Documents Transparency and Accountability of the Parliament
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Anti-Corruption Commissions Panacea or Real Medicine to Fight Corruption By John Heilbrunn 2004
bull PREM Notes Public Sector No 74 October 2002 Strengthening Oversight by Legislatures (found at httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull PREM Notes Public Sector No63 March 2002 Strengthening Legislatures Implications from Industrial Countries (found at httpwww1worldbankorgpremPREMNotespremnote63pdf )
bull WBI Working Papers Building a Clean Machine Anti-Corruption Coalitions and Sustainable Reforms by Michael Johnston and Sahr J Kpundeh 2002
bull IFES IFES Parliamentary Toolkit Transparency and Accountability Tools for Civil Society
bull PREM Notes Public Sector No59 October 2001 Features and Functions of Supreme Audit Institutions
bull World Bank Institute Improving Governance and Controlling Corruption Towards a Participatory and Action-oriented Approach Grounded on Empirical Rigor October 2001
bull World Bank Towards Transparency in Finance and Governance by Tara Vishwanath and Daniel Kaufman September 6 1999
bull World Bank Institute Pillars of Integrity The Importance of Supreme Audit Institutions in Curbing Corruption by Kenneth M Dye and Rick Stapenhurst 1998
bull Association of Secretaries General of Parliaments (ASGP) Promoting the Work of Parliament Report by Mr Ian Harris Clerk of the House of Representatives of Australia19 Autumn 2000 (found at httpwwwasgpinfodiscussionshtmstudies)
bull USAID Handbook on Legislative Strengthening httpwwwusaidgovour_workdemocracy_and_governancegovhtml
bull Parliamentary Centre Canada Controlling Corruption A Parliamentarianrsquos Handbook httpwwwparlcentcaindex_ephp
bull Parliamentary Centre Canada Parliamentary Accountability and Good Governance httpwwwparlcentcaindex_ephp
19 This report contains a detailed analysis of the answers from a Questionnaire of how the public is provided information about the operation and work of Parliament The review was launched at the Conference of the Association of Secretaries General of Parliaments which was held in Autumn 2000 in Jakarta
31
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Center for Democracy and Governance February 2000 USAID Handbook on Legislative Strengthening
bull Parliamentary Centre Parliamentary Accountability and Good Governance A Parliamentarianrsquos Handbook
bull Parliamentary Centre Forum on Parliamentary Reform bull NEPAD Library Emerging Legislatures in Emerging African Democracies bull Commonwealth Parliamentary Association and World Bank Institute
Recommendations for Transparent Governance Conclusions of a CPA Study Group on Access to Information Accra Ghana 5-9 July 2004
bull GOPAC Parliamentarians Fighting Corruption A Conceptual Overview PCentrefsPCentreSProjectsParliamentary_RelationsGOPACWBI
bull International IDEA Democracy Assessment Questionnaire wwwideaintideas_work14_statedemocracy_assessmentpdf
bull NDI and UNDP Parliaments and Poverty Series Toolkit No1 Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Strengthening the Accountability Process and Parliamentary Reform A Report on the Parliamentary Roundtable Held in Bhurban Pakistan March 1-2 1997
Independence of the Parliament bull NDI Strengthening Legislative Capacity in Legislative-Executive Relations
Paper 6 httpwwwndiorgglobalpgovgovernanceasp bull Venice Commission Opinion on the Draft Proposal for Rules of Procedure of the
Assembly of the Republic of Macedonia by Georg Nolte July 5 2002 bull Venice Commission Report on the Referral of a Law Back to Parliament by the
Head of State November 15 1996 bull AGSP The Role of the Secretary General in the Administration of Parliament
Report by Mr Ugo Zampetti General Secretary of the Chamber of Deputies (Italy) October 2000 Review no 180
bull AGSP Constitutional and Parliamentary Information The Status of Parliamentary Groups
Parliamentary Immunity
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union Part Three Immunity in the European Parliament June 2001
bull Venice Commission Opinion 11995 Report on the Regime of Parliamentary Immunity CDL ndash INF(1996) 007 6496 (found at httpvenicecoeintsitedynamicsN_Opinion_efaspampL=EampOID=1 )
bull Venice Commission Supplementary Opinion on the Revision of the Constitution of Romania October 18 2002
32
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Venice Commission Draft Report ndash The Regime of Parliamentary Immunity April 29 1996
bull Venice Commission Questionnaire on Parliamentary Immunity prepared by Mr GW Maas-Geesteranus June 19 1995
Freedom of Parliamentary Speech
bull AGSP The Immunities of Members of Parliament Report prepared by Mr Robert Myttenaere September 1998
bull AGSP Position of Witnesses before Parliamentary Committees Report prepared by Mr Demaree JB Raval April 1997
Conflict of Interest amp Ethics
bull Parliamentary Affairs A Journal of Comparative Politics Volume 55 No 4 October 2002 Conduct Unbecoming The Regulation of Legislative Ethics in Britain and the United States by Robert Williams
bull Parliamentary Affairs A Journal of Comparative Politics Volume 52 No 3 July 1999 Parliament in the Age of Internet by S Coleman JA Taylor and W Van de Donk
bull European Centre for Parliamentary Research and Documentation (ECPRD) Parliamentary Codes of Conduct in Europe an Overview November 2001
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union June 2001
bull Research Paper Commissioned on behalf of The Committee on Standards in Public Life May 2002 The Regulation of Parliamentary Standards ndash A Comparative Perspective (found at httpwwwpublic-standardsgovukreports8th_reportreportresearchdoc
bull House of Representatives Resolution 168 on the Report of the Ethics Reform Task Force 18 June 1997
bull NDI Accountability Ethics and Transparency in Government Pakistan Study Mission to South Africa June 3 1997
bull NDI Report on Regional Consultative Workshops ndash Ethics Questionnaire August 1998
bull Council of Europe Steering Committee on Local and Regional Democracy (CDLR) Public Ethics at Local Level Model Initiatives Package November 25 2002
bull NDI Legislative Research Series Paper No 4 ndash Legislative Ethics A Comparative Analysis 1999
bull OECD United States Case Study ndash Ethics and Corruption The Management of Ethics and Conduct in the Public Service by Stuart Gilman December 1995
bull OECD Recommendations of the Council on Guidelines for Managing Conflict of Interest in the Public Service June 2003
33
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Sanction and Removal of Legislators bull Venice Commission Comments on the Draft Law of the Chechen Republic on
Elections to the Parliament of the Chechen Republic As Submitted to Referendum by Mr G Nolte March 23 2003
bull Venice Commission Opinion on the Draft Law on the Public Attorney (Ombudsman) of ldquoThe Former Yugoslav Republic of Macedoniardquo March 15 2003
bull Venice Commission Comments on the Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia by Ms Serra Lopes February 28 2003
bull Venice Commission Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia February 2003
bull WBI PREM Notes Public Sector Number 19 April 1999 Using an Ombudsman to oversee Public Officials
bull AGSP The Office of the Parliamentary Ombudsman March 1994 Salaries and Benefits of Legislators
bull AGSP The Social Protection of Parliamentarians Report by Mrs Helene Ponceau General Secretary of the Senate Quaestorrsquos Office [Havana Senate Treasurerrsquos Department] Review No 181 April 2001
Professional Development and Training
bull SADC Parliamentary Forum MPs Orientation Handbook ndash Professional Performance and Development httpwwwsadcpforgaboutindexasp
The Parliament and the Budget Cycle
bull OECD Development Centre Policy Brief No 22 Strengthening Participation in Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD May 2001 OECD Best Practices for Budget Transparency bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and
Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull ASGP The Administrative and Financial Autonomy of Parliamentary Assemblies Report prepared by Michel Couderc (France) adopted at the Moscow Session (September 1998)
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development The Legislature and the Budget by Frederick Stapenhurst 2004 httpwwwworldbankorgwbigovernanceparliament
34
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull WBI Working Papers Series on Contemporary Issues in Parliamentary
Development Parliaments and the PRSP Process by Scott Hubli and Alicia P Mandaville 2004
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull WBI PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull WBI PREM Notes Public Sector Number 74 October 2002 Strengthening Oversight by Legislatures
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull Commonwealth Parliamentary Association (CPA) The Parliamentarian 2002
Issue Two 179 Parliaments and Poverty by Ms Frannie A Lrsquoeautier bull Parliamentary Centre Canada and WBI and CIDA (with support from the
International Development Research Centre) Handbook on Parliamentarians and Policies to Reduce Poverty May 2001
bull Parliamentary Centre Cambodia Focus Group on Parliamentrsquos Role in the Budget Process Analysis
bull Parliamentary Centre Indicators of Parliamentary Performance in the Budget Process
bull The International Budget Project Legislatures and Budget Oversight httpwwwinternationalbudgetorgthemesLEGindexhtm
bull NDI Legislatures and the Budget Process An International Survey 2003 httpwwwndiorgglobalpgovgovernanceasp
bull NDI Parliaments and Poverty Series Toolkit No1 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Parliaments and Poverty Series Toolkit No2 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives
35
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull NDI Parliaments and Poverty Series Toolkit No3 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative Public Outreach on Poverty Issues
bull UNDP IPU WBI and UNIFEM Parliament The Budget and Gender httpwwwundporgdpapublicationsgovernancehtml
bull IMF Finance amp Development Magazine December 2002 Volume 39 Number 4 A Bigger Role for Legislators
bull Case Study PRSPs and Parliament by Stephen Langdon bull Ministry of Foreign Affairs Netherlands March 2002 Economics and Finance
(b) Budget Impact Assessments (Gender Budgeting) bull Cagatay N M Keklik R Lal and J Lang (2000) ldquoBudgets As if People
Mattered Democratizing Macroeconomic Policiesrdquo SEPED Conference Paper Series Number 4 May
bull Navarro Z (1998) ldquoParticipation Democratizing Practices and the Formulation of a Modern Policy ndash the Case of ldquoParticipatory Budgetingrdquo in Porto Alegre Brazil (1989-1998) Development Sage London Volume 41 number 3 September
Representative and Inclusive Parliament
bull Commonwealth Parliamentary Association (CPA) Commonwealth Women Parliamentarians Into The Democratic Mainstream August 2002
bull CPA EnGendering Development and Democracy May 2004 bull IPU and UNDP Guidelines on the Rights and Duties of the Opposition in
Parliament May 19 1999 (Unanimously adopted by the participants at the Parliamentary Seminar on Relations Between Majority and Minority Parties in African Parliaments Libreville (Gabon) 17-19 May 1999)
bull AWEPA European Parliamentarians for Africa OPS7 Parliamentary Gender Handbook South Africa 2001 (found at httpwwwawepaorgdownloadsOPS07-_Parliamentary_Gender_Handbook-_South_Africapdf
Free Elections of Legislators
bull Venice Commission Opinion 2502003 Report on Electoral Systems - Overview of Available Solutions and Selection Criteria Adopted by the Venice Commission at its 57th Plenary Session CDL ndash AD(2004)003 (found at httpvenicecoeintdocs2004CDL-AD(2004)003-easp )
bull Venice Commission Opinion 2392003 Comments on the Draft Law of the Chechen Republic on Elections to the Parliament of the Chechen Republic CDL (2003)021rev (found at httpvenicecoeintdocs2003CDL(2003)021rev-easp )
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Resolution 1320 (2003) httpassemblycoeintDocumentsAdoptedTextTA03ERES1320htm
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Document 9267 15 October 2001
36
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
labor markets etc This will enable the opposition to take part in the debate and provide its input to the decision-making process The opposition must also be able to raise matters regarding the Constitution with a view to its amendment PTAS8 Transparent Oversight of the Executive
General Oversight One of the core functions of Parliament is to provide a continuous check on the activities of the Executive In performing this oversight function Parliament must follow transparent procedures and respect strict standards of accountability CLHG CLHP IPU-GD UPA-Res00
The separation of powers not only means that each branch of government is independent from the other two but also that mechanisms of checks and balances are in place to avoid abuses and encroachments To that end the Parliament is traditionally entrusted with the responsibility of overseeing the activities of the Executive The Executive as Parliament must follow high standards of accountability transparency and responsibility in the performance of its duties Parliament is responsible for ensuring that these standards are met and for providing adequate mechanisms to challenge the Executive for failure to meet these standards Oversight may take place in the form of periodic questions to the government in a parliamentary sessions or investigations undertaken by parliamentary commissions or votes of confidencenon-confidence Parliamentary procedures should be transparent and allow for public scrutiny Governments should be required to announce publicly within a defined time period their responses to committee investigations PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
Budget Design and Oversight Parliament is traditionally responsibly for adopting the national budget There is a growing international consensus that Parliaments around the world need to make maximum use of existing processes for exerting influence in national budget control scrutiny and accountability IPU-Res03 UPA-Res00
Parliament must have a certain amount of authority to affect the budget otherwise its role in establishing national policy and representing citizen interests will remain limited11 Involvement should extend beyond budget approval and include budget formulation tracking and accountability Unless it has substantial involvement beyond approval Parliament will do no more than rubberstamp the Executiversquos budgetary and policy decisions To promote more accountability in government Parliament should be entitled to monitor income and expenditures especially how effectively government programs and activities are administered
11 USAID Handbook
20
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Parliamentary procedures should therefore provide adequate mechanisms to oversee the Executive including accountability mechanisms targeted at budget development effective money flows budget implementation etc This can be achieved by allowing independent audits of public accounts establishing that the opposition will chair the Public Accounts Committee or a combination of the mechanisms andor others PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
International Obligations and Parliament International treaties carry a general obligation for signatory States to ratify and to adopt all necessary measures for their implementation Both functions should fall on Parliament CLHG CLHP IPU-Res03
The need for governments to respect their international law obligations has become more urgent post World War II particularly as inter-State conflicts are on the rise Legislators as law makers and representatives of the people need to be more proficient in their knowledge and understanding of human rights and humanitarian law instruments including those relating to economic social and cultural rights In a 2000 Declaration the Conference of Presiding Officers of National Parliaments outlined the four inter-connected levels of intervention for Parliaments in relation to international obligations
bull ldquoInfluencing their respective countriesrsquo policy on matters dealt with in the United Nations and other international negotiating forums
bull Keeping themselves informed of the progress and outcome of these negotiations bull Deciding on ratification where the Constitution so foresees of texts and treaties
signed by governments and bull Contributing actively to the subsequent implementation processrdquo12
Parliaments play a central role in adjusting domestic law to international standards According to the legal systems of many countries Parliaments are not only the bodies entitled to ratify international obligations but also the ones responsible for adopting the necessary implementing legislation Many international treaties particularly those related to human rights the environment gender and corruption require that States parties adjust their national legislation to match the minimum standards laid out in the treaties For example United Nations Convention against Corruption (2004) is explicitly applicable to legislators Indeed its scope covers ldquopublic officialsrdquo who are defined as including any person holding parliamentary office in a State party Compliance with this provision and others often requires the adoption of legislation Conventions generally include explicit requirements for the adoption of new laws by national Parliaments
12 Conference of Presiding Officers of National Parliaments organized by the IPU in cooperation with the UN Declaration adopted by at UN Headquarters New York 30 August ndash 1st September 2000
21
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The United Nations Convention against Corruption (2004) establishes that each State party should develop and implement anti-corruption policies
bull The Inter-American Convention against Corruption (1996) requires in its article VII the adoption by State parties of all ldquonecessary legislative or other measures to establish as criminal offences under their domestic law the acts of corruption described in Article VI(1) and to facilitate cooperation among themselves pursuant to this Conventionrdquo
As guardians of the Constitution legislators have an obligation to protect the human rights of people This obligation is reinforced by the requirement to comply with international and regional human rights treaties This obligation to protect and legislate in support of human rights should lead to increased oversight by Parliament in areas in which the Executive has traditional exercised blanket discretionary powers such as national security There has been a growing consensus on the need to shift focus away from military security to broader factors of ldquohuman securityrdquo such as environmental economic social as well as political13 PTAS11 Transparent Efficient Parliamentary Committees
Parliamentary Committees The legislative and oversight functions of Parliament are actually undertaken by Parliamentary Committees the powers and structures of which differ from country to country It is essential for these committees to be properly structured and well funded to enable them to be effective in discharging Parliamentrsquos legislative and policy making functions CLHG CPA-Media CPA-CP CPA-Rec03 CPA-REc04 IPU-GD
Committee structures may vary depending on the size of Parliament its constitutional mandate and other country-specific factors However all committees should have adequate resources both human and financial and have the power to summon witnesses including ministers as necessary to fulfill their mission Committee meetings should be generally open and allow for public attendance and participation Committee reports should be published and made readily available to both the government and the public PTAS12 Adequate Independent Parliamentary Budget
Parliamentary Budget It is the duty of the State to provide adequate resources to enable Parliament to perform its functions properly CLHG
Parliamentary independence and effectiveness to carry out its functions is eroded when Parliament lacks control over its own budget or has inadequate finances to manage its committees and carry out various other internal administrative duties14 Parliament 13 IPU and the Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born Philipp H Fluri amp Anders B Johnsson page 16 (Found at httpwwwdcafchpublicationse-publicationsHandbook_eng ) 14 Indeed without adequate resources for the training of new members secretarial office library and research facilities drafting assistance for bills etc Parliament is handicapped
22
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
should be able to design its own budget based on its needs and negotiate with the Executive the amount allocated to it from the national budget There should be sufficient autonomy over these finances by Parliament to protect the institutional independence and integrity It has been suggested that an all-party committee of members of Parliament should review and administer the parliamentary budget Moreover the parliamentary budget should not be subject to amendment by the Executive15 It is the Parliamentary budget that inter alia funds training of parliamentary support staff ensures that library and research facilities are properly and adequately equipped guarantees that legislators have the necessary support staff to undertake their functions and funds security services PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
Parliamentary Conduct Legislators are required to exhibit and promote high standards of professional conduct in order to reinforce public confidence in Parliament which is fundamental to its independence and legitimacy in a democratic society ANTICORRUPTION TREATIES CLHG CLHP
The CLHG outline three components for a comprehensive ethical framework applicable to Parliament
bull Conflict of interest rules and codes of conduct requiring disclosure of interests bull Access to ethics advisors and bull Restrictions on lobbying and interest group influence
Ethical professional conduct requires legislators not only to conform to high standards of ethics in practice but also to avoid the appearance of impropriety The need for financial transparency by public officials has increasingly gained acceptance as anti-corruption issues have become global Legislatorsrsquo professional and private conduct must be subject to some system of internal codified rules regulating standards of behavior and making disclosure of personal income and assets mandatory Other professions have codes of ethics regulating membersrsquo behavior for example doctors and lawyers Ethical rules should include conflict of interest rules outlining incompatible professional activities or interests such as holding another governmental office and restricting certain ventures such as participation or shareholding in corporations These rules should also require the submission to an independent oversight authority of disclosures of income assets and interests These disclosures should then be publicized for broader ethical monitoring by the public Disclosure of interests will go a long way in establishing institutional integrity trust and respect by the public and effective discharge of duties on the part of legislators as they are fully conscious of the ethical parameters which govern them as a profession 15 Commonwealth Latimer House Guidelines Number VII6
23
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
Discipline Just as other professionals have quasi-judicial bodies to regulate discipline and even remove members there should also be an internal or external authority to sanction legislators conduct investigations and hearings and adopt findings and conclusions There should also be a clear appeals process available to any member aggrieved by a decision CLHG
ldquoThe Committee recommends
bull The House should appoint a person of independent standing who should have a degree of tenure and not be a career member of the House of Commons staff as Parliamentary Commissioner for Standards
bull The Commissioners should have independent discretion to decide whether or not a complaint merits investigation or to initiate an investigationrdquo Recommendations of Committee on Standards in Public Life First Report16
Just as any other citizen legislators should be bound by the law In cases when legislators commit acts contrary to the laws and regulations they expose themselves to disciplinary action and prosecution Moreover there are special conditions only for the status of being public servants that they must observe such as compliance of high standards of ethics assets disclosure and conflict of interest rules There must be a clear system of sanctions for non-compliance with the laws and regulations The disciplinary process in representative bodies is a very sensitive one It should not be used to punish the opposition or dissidents In this sense the existence of an objective internal or external body to sanction legislators is essential to the proper operation of the system An additional problem represents the immunity that all legislators should have The immunity is a protection to ensure that legislators can perform their duties without interference it should not however be used as an excuse to avoid sanctions for common misconducts or crimes PTAS15 Parliamentary Immunity
Immunity Legislators shall enjoy personal immunity from civil suits and criminal prosecution for acts and omissions in the exercise of their functions CLHG ECOWAS-P IPU-GD
Legislators should enjoy some degree of immunity from prosecution or civil suit for acts and omissions in the exercise of their functions However no one should be exempted from accountability The requirements of parliamentary independence from political institutional and societal forces must be balanced against those of public accountability
16 These recommendations were implemented by the House of Commons England A Standing Order setting up the office of Parliamentary Commissioner for Standards was set up on 6 November 1995
24
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Consequently the immunity regime should be strictly regulated especially through the recognition of
bull Clear limited scope of immunity (for example it should not cover acts performed outside of office nor common crimes) and
bull Possibility of waivers in clearly defined cases and following a transparent procedure
Regarding the scope of parliamentary immunity its historical roots lie with the freedom of speech of legislators as recognized in the British and American Bills of Rights The underlying justification for immunity is that it allows legislators to fulfill their mandate without fear of retaliatory measures on account of their positions or votes Legislators must therefore be protected against arrest and detention or civil and criminal prosecution for any acts performed or words spoken while in office or in the conduct of parliamentary affairs Legislators should not be subject to any form of inquiry detention or legal proceedings in respect of opinions expressed or votes cast by them in the performance of their duties Immunity should not be limited to acts or speech within the parliamentary facilities Rather immunity must be interpreted as broadly as possible For example the members of the European Parliament enjoy immunity in their own States in the territories of other Member States and whilst traveling to and from the place of the meeting of the European Parliament However immunity should not be absolute The immunity regime applicable to legislators should provide for the possibility of waiving this immunity in limited circumstances in the interests of justice Immunity is not a privilege benefiting individual members but rather a guarantee protecting the independence of Parliament and its members in their relations with other governmental and private bodies17 Parliamentary privileges must be clearly defined and established by law These immunities are not meant to place legislators above the law but to protect them from possible groundless proceedings or accusations that may be politically motivated The grounds and terms for lifting of immunity must be clearly specified by law so that this may only occur following a decision taken by a competent body on a non-partisan basis PTAS16 Parliamentary and Public Access to Information
Access to Information Legislators as well as the general public must have access to accurate timely information and data including legislation parliamentary procedures governmental data and relevant research data Banjul CLHG CLHP CPA-Media CPA-CP CPA-Rec03 CPA-Rec04 CSCE-CD ECHR IACHR ICCPR IPU-DD IPU-GD IPU-Res03 UNHCHR
17 ECPRD Parliamentary Codes of Conduct in Europe by Veronica Williams November 2001
25
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
The free flow of information is essential in a democratic society Access to information should not only be viewed in relation to the media and civil societyrsquos right to access governmental documents but also in relation to the legislatorsrsquo right to access relevant research and information from the government and other sources Access to information can be facilitated by the use of databases networks and information technology in general The media should be free to report the activities of Parliament and the public should be able to attend parliamentary meetings and Committee sittings where appropriate The CPA encouraged Parliaments ldquoto provide live coverage of their proceedings on a dedicated channel andor onlinerdquo in its Recommendations for an Informed Democracy The environment should be made conducive for civil society organizations the public and multiple stakeholders to exchange information with legislators to enable Parliament to effectively discharge its duties of oversight policy making law making representation and recruitment This could be achieved through the establishment of a public information office within Parliament Bills and Acts of Parliament must be published regularly and should be freely available to the public Indeed the CSCE Copenhagen Document notes that ldquolegislation adopted at the end of a public procedure and regulations will be published that being the condition of their applicability Those texts will be accessible to everyonerdquo In its recommendations following a conference on ldquoWhat Parliament and Legislators Can Dordquo the CPA noted that access should be granted ldquoto basic information and documents produced by the parliamentary process such as access to parliamentary libraries the provision of on-line information and the distribution of Parliamentary speeches promptly after delivery in the Houserdquo18 The type of information available to the public and to legislators should include
bull Attendance and voting records bull Registers of membersrsquo interests bull Bills and Acts of Parliament bull Procedural rules bull Codes of Conduct
Legislators should also have access to parliamentary archives as well as all necessary information and data from the government The IPU Guidelines note that ldquolegislators from the majority and the opposition alike are equally entitled to receive in a timely manner the same information from the governmentrdquo
18 Parliament and The Media Building an Effective Relationship 15-18 February 2000 [CPA-Media]
26
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS17 Adequate Facilities Equipment and Technology
Adequate Infrastructure Parliament should have at a minimum the necessary infrastructure and technical assistance including research capacity adequate facilities and equipment to enable it to carry out its basic democratic functions CPA-Rec03 CPA-Rec04 IPU-GD
The working conditions of legislators must be adequate and reflect the importance of Parliament as a key democratic institution Parliament must be housed in one or more buildings with the necessary equipment and office space for legislators and their staff including tables chairs and all other necessary office equipment Adequate resources must be allocated to Parliament andor legislators and support services to maintain and equip their facilities Some of the facilities and services which can be reasonably expected to be available to legislators include
bull Offices bull Secretarial services (general andor individual) bull Library and archive facilities bull Research services (to which requests for information can be submitted) and bull Information technology
In its 2002 Report the CPA Study Group highlights the importance of information technology including ldquoimproved networking between legislators and constituents among legislators between legislators and Parliament and better information sharing and record keepingrdquo Information technology can also facilitate access to information and best practices on the broad range of issues which fall under the purview of parliament including human rights socioeconomic rights and gender issues The use of information technology could include the development of intra-parliament networks and of searchable public databases on parliamentary activity as well as the increased access to outside information for legislators PTAS18 Professional Training for Legislators and Staff
Adequate Training Resources must be allocated to training programs both for new legislators and for the continuing education of sitting legislators These programs must be geared towards developing the skills required by parliamentary functions as well as exposing legislators to substantive issues and developments affecting their legislative oversight and representative functions CLHG CPA-CP
Training should be geared towards providing legislators with the specific skills and knowledge necessary to fulfill their parliamentary functions Legislators just like other professionals need continuing education programs and professional development to keep them updated on emerging democracy and governance trends Equally significant is the need to properly train new or incoming legislators on the constitutional rights and obligations of Parliament internal procedures and order of business ethics etc
27
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS19 Adequately-Compensated Research Library and Committee Staff
Support Staff ldquoParliament should be serviced by professional staff independent of the regular public servicerdquo CLHG IPU-GD
Parliamentary support staff in sufficient numbers and with the appropriate professional skills is crucial for an effective institution Parliamentary staff performs duties such as
bull Assisting in bill drafting bull Tracking the status of bills in the legislative process bull Maintaining and in some cases designing web sites bull Producing and drafting documents about the legislature bull Undertaking accounting and various other clerkship duties
High turnover of parliamentary staff requires more money for attracting new competent staff and providing them with the necessary training It is important to ensure that staff is reasonably well compensated to attract good candidates for the job who will retain their jobs longer When vacancies are not rapidly filled parliamentary work can be undermined resulting in misplacement of documents errors and overall inefficiency Parliamentary staff should be independent from other public service offices Their selection promotion and discipline must be clearly defined and reflect merit-based criteria and transparent processes Professional development opportunities and training should be offered to them The longer support staff stay in Parliament the more it benefits the institution especially as it may provide new legislators with the information and support necessary to adapt to their new functions faster
28
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 1 List of Acronyms
Banjul African Charter on Human and Peoplersquos Rights (1986) CEDAW Convention on the Elimination of All Forms of Discrimination
against Women ICERD Convention on the Elimination of All Forms of Racial
Discrimination CLHP Commonwealth Latimer House Principles on the Accountability and Relationship between the Three Branches of Government (2003) CLHG Commonwealth Latimer House Guidelines (1998) CPA Commonwealth Parliamentary Association CPA-Media Parliament and the Media Building an Effective Relationship
CPA (2000) CPA-CP Capetown Principles for an Informed Democracy CPA (2002) CPA-Rec03 Recommendation for an Informed Democracy CPA (2003) CPA-Rec04 Recommendation for Transparent Governance CPA (2004 CSCE Conference on Security and Cooperation in Europe CSCE-CD Copenhagen Document CSCE (1990) CSCE-MD Moscow Document CSCE (1991) ECHR European Convention on Human Rights and Fundamental
Liberties (1951) ECOWAS-P Protocol ASP11202 on Democracy and Good Governance
ECOWAS (2001) IACHR Inter-American Convention on Human Rights (1978) ICCPR International Covenant on Civil and Political Rights (1966) IPU Inter-Parliamentary Union IPU-DD Universal Declaration on Democracy IPU (1997) IPU-GD Guidelines and Duties for the Opposition in Parliament IPU (1999) IPU-Res03 Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World IPU (2003) UPA Union des Parlementaires Africains [African Parliamentary Union] UPA-Res00 Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence Building between Peoples and their Institutions (2000) UNHCHR United Nations High Commissioner for Human Rights Resolution
200047
29
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 2 Bibliography Governmental Documents
bull Commonwealth Latimer House Standards bull Commonwealth Latimer House Guidelines bull Commonwealth Parliamentary Association (CPA) Parliament and the Media
Building an Effective Relationship bull English Bill of Rights 1689 bull Inter-Parliamentary Union (IPU) Guidelines bull ECOWAS Protocol on Democracy and Good Governance Supplementary to the
Protocol Relating to the Mechanism for Conflict Prevention Management Resolution Peacekeeping and Security
bull Protocol on the Privileges and Immunities of the European Communities bull ECPRD Parliamentary Codes of Conduct in Europe (Compilation by the Council
of Europe Parliamentary Assembly) bull IPU Universal Declaration on Democracy bull International Covenant on Civil and Political Rights (ICCPR) bull The African (Banjul) Charter on Human and Peoplersquos Rights bull The Johannesburg Standards National Security Freedom of Expression and
Access to Information bull Document of the Copenhagen Meeting of the Conference on the Human
Dimension of the CSCE 1990 bull Declaration of Principle on Freedom of Expression in Africa bull Union des Parliamentaires Africains on the Role of Parliaments in the
Consolidation of Democracy and Confidence-Building Between the Peoples and their Institutions 23rd Conference in Addis Ababa 24-25 November 2000
bull The Harare Declaration bull IPU Conference of Presiding Officers of National Parliaments bull International Convention on the Elimination of All Forms of Racial
Discrimination bull Convention on the Elimination of All Forms of Discrimination Against Women bull Report of the Ethics Reform Task Force on H Res 168 105th Congress 1st
Session 17 June 1997 (found at httpwwwhousegovethicsethicsreporttxt ) bull Parliamentary Standards and the Wicks Committee Report Standard Note
SNPC2200 24 June 2003 by Ruth Winstone (found at httpwwwparliamentukcommonslibresearchnotessnpc-02200pdf )
bull Committee on Standards in Public Life First Report Cm 2850 Volume 1 11 May 1995 (found at httpwwwarchiveofficial-documentscoukdocumentcm282850285002pdf )
bull Committee on Standards in Public Life Sixth Report Reinforcing Standards Cm 4557 Volume 1 January 2000 (found at httpwwwpublic-standardsgovuk )
bull Committee on Standards in Public Life Eighth Report Cm 5663 Standards of Conduct in the House of Commons November 2002 (found at httpwww-standardsgovukreports8th_reportreporteighthreportpdf
bull African Union Declarations and Decisions
30
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The African Commission Declaration of Principle on Freedom of Expression in Africa
bull United Nations High Commissioner for Human Rights Resolution 200047
Non-Governmental Documents Transparency and Accountability of the Parliament
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Anti-Corruption Commissions Panacea or Real Medicine to Fight Corruption By John Heilbrunn 2004
bull PREM Notes Public Sector No 74 October 2002 Strengthening Oversight by Legislatures (found at httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull PREM Notes Public Sector No63 March 2002 Strengthening Legislatures Implications from Industrial Countries (found at httpwww1worldbankorgpremPREMNotespremnote63pdf )
bull WBI Working Papers Building a Clean Machine Anti-Corruption Coalitions and Sustainable Reforms by Michael Johnston and Sahr J Kpundeh 2002
bull IFES IFES Parliamentary Toolkit Transparency and Accountability Tools for Civil Society
bull PREM Notes Public Sector No59 October 2001 Features and Functions of Supreme Audit Institutions
bull World Bank Institute Improving Governance and Controlling Corruption Towards a Participatory and Action-oriented Approach Grounded on Empirical Rigor October 2001
bull World Bank Towards Transparency in Finance and Governance by Tara Vishwanath and Daniel Kaufman September 6 1999
bull World Bank Institute Pillars of Integrity The Importance of Supreme Audit Institutions in Curbing Corruption by Kenneth M Dye and Rick Stapenhurst 1998
bull Association of Secretaries General of Parliaments (ASGP) Promoting the Work of Parliament Report by Mr Ian Harris Clerk of the House of Representatives of Australia19 Autumn 2000 (found at httpwwwasgpinfodiscussionshtmstudies)
bull USAID Handbook on Legislative Strengthening httpwwwusaidgovour_workdemocracy_and_governancegovhtml
bull Parliamentary Centre Canada Controlling Corruption A Parliamentarianrsquos Handbook httpwwwparlcentcaindex_ephp
bull Parliamentary Centre Canada Parliamentary Accountability and Good Governance httpwwwparlcentcaindex_ephp
19 This report contains a detailed analysis of the answers from a Questionnaire of how the public is provided information about the operation and work of Parliament The review was launched at the Conference of the Association of Secretaries General of Parliaments which was held in Autumn 2000 in Jakarta
31
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Center for Democracy and Governance February 2000 USAID Handbook on Legislative Strengthening
bull Parliamentary Centre Parliamentary Accountability and Good Governance A Parliamentarianrsquos Handbook
bull Parliamentary Centre Forum on Parliamentary Reform bull NEPAD Library Emerging Legislatures in Emerging African Democracies bull Commonwealth Parliamentary Association and World Bank Institute
Recommendations for Transparent Governance Conclusions of a CPA Study Group on Access to Information Accra Ghana 5-9 July 2004
bull GOPAC Parliamentarians Fighting Corruption A Conceptual Overview PCentrefsPCentreSProjectsParliamentary_RelationsGOPACWBI
bull International IDEA Democracy Assessment Questionnaire wwwideaintideas_work14_statedemocracy_assessmentpdf
bull NDI and UNDP Parliaments and Poverty Series Toolkit No1 Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Strengthening the Accountability Process and Parliamentary Reform A Report on the Parliamentary Roundtable Held in Bhurban Pakistan March 1-2 1997
Independence of the Parliament bull NDI Strengthening Legislative Capacity in Legislative-Executive Relations
Paper 6 httpwwwndiorgglobalpgovgovernanceasp bull Venice Commission Opinion on the Draft Proposal for Rules of Procedure of the
Assembly of the Republic of Macedonia by Georg Nolte July 5 2002 bull Venice Commission Report on the Referral of a Law Back to Parliament by the
Head of State November 15 1996 bull AGSP The Role of the Secretary General in the Administration of Parliament
Report by Mr Ugo Zampetti General Secretary of the Chamber of Deputies (Italy) October 2000 Review no 180
bull AGSP Constitutional and Parliamentary Information The Status of Parliamentary Groups
Parliamentary Immunity
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union Part Three Immunity in the European Parliament June 2001
bull Venice Commission Opinion 11995 Report on the Regime of Parliamentary Immunity CDL ndash INF(1996) 007 6496 (found at httpvenicecoeintsitedynamicsN_Opinion_efaspampL=EampOID=1 )
bull Venice Commission Supplementary Opinion on the Revision of the Constitution of Romania October 18 2002
32
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Venice Commission Draft Report ndash The Regime of Parliamentary Immunity April 29 1996
bull Venice Commission Questionnaire on Parliamentary Immunity prepared by Mr GW Maas-Geesteranus June 19 1995
Freedom of Parliamentary Speech
bull AGSP The Immunities of Members of Parliament Report prepared by Mr Robert Myttenaere September 1998
bull AGSP Position of Witnesses before Parliamentary Committees Report prepared by Mr Demaree JB Raval April 1997
Conflict of Interest amp Ethics
bull Parliamentary Affairs A Journal of Comparative Politics Volume 55 No 4 October 2002 Conduct Unbecoming The Regulation of Legislative Ethics in Britain and the United States by Robert Williams
bull Parliamentary Affairs A Journal of Comparative Politics Volume 52 No 3 July 1999 Parliament in the Age of Internet by S Coleman JA Taylor and W Van de Donk
bull European Centre for Parliamentary Research and Documentation (ECPRD) Parliamentary Codes of Conduct in Europe an Overview November 2001
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union June 2001
bull Research Paper Commissioned on behalf of The Committee on Standards in Public Life May 2002 The Regulation of Parliamentary Standards ndash A Comparative Perspective (found at httpwwwpublic-standardsgovukreports8th_reportreportresearchdoc
bull House of Representatives Resolution 168 on the Report of the Ethics Reform Task Force 18 June 1997
bull NDI Accountability Ethics and Transparency in Government Pakistan Study Mission to South Africa June 3 1997
bull NDI Report on Regional Consultative Workshops ndash Ethics Questionnaire August 1998
bull Council of Europe Steering Committee on Local and Regional Democracy (CDLR) Public Ethics at Local Level Model Initiatives Package November 25 2002
bull NDI Legislative Research Series Paper No 4 ndash Legislative Ethics A Comparative Analysis 1999
bull OECD United States Case Study ndash Ethics and Corruption The Management of Ethics and Conduct in the Public Service by Stuart Gilman December 1995
bull OECD Recommendations of the Council on Guidelines for Managing Conflict of Interest in the Public Service June 2003
33
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Sanction and Removal of Legislators bull Venice Commission Comments on the Draft Law of the Chechen Republic on
Elections to the Parliament of the Chechen Republic As Submitted to Referendum by Mr G Nolte March 23 2003
bull Venice Commission Opinion on the Draft Law on the Public Attorney (Ombudsman) of ldquoThe Former Yugoslav Republic of Macedoniardquo March 15 2003
bull Venice Commission Comments on the Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia by Ms Serra Lopes February 28 2003
bull Venice Commission Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia February 2003
bull WBI PREM Notes Public Sector Number 19 April 1999 Using an Ombudsman to oversee Public Officials
bull AGSP The Office of the Parliamentary Ombudsman March 1994 Salaries and Benefits of Legislators
bull AGSP The Social Protection of Parliamentarians Report by Mrs Helene Ponceau General Secretary of the Senate Quaestorrsquos Office [Havana Senate Treasurerrsquos Department] Review No 181 April 2001
Professional Development and Training
bull SADC Parliamentary Forum MPs Orientation Handbook ndash Professional Performance and Development httpwwwsadcpforgaboutindexasp
The Parliament and the Budget Cycle
bull OECD Development Centre Policy Brief No 22 Strengthening Participation in Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD May 2001 OECD Best Practices for Budget Transparency bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and
Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull ASGP The Administrative and Financial Autonomy of Parliamentary Assemblies Report prepared by Michel Couderc (France) adopted at the Moscow Session (September 1998)
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development The Legislature and the Budget by Frederick Stapenhurst 2004 httpwwwworldbankorgwbigovernanceparliament
34
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull WBI Working Papers Series on Contemporary Issues in Parliamentary
Development Parliaments and the PRSP Process by Scott Hubli and Alicia P Mandaville 2004
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull WBI PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull WBI PREM Notes Public Sector Number 74 October 2002 Strengthening Oversight by Legislatures
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull Commonwealth Parliamentary Association (CPA) The Parliamentarian 2002
Issue Two 179 Parliaments and Poverty by Ms Frannie A Lrsquoeautier bull Parliamentary Centre Canada and WBI and CIDA (with support from the
International Development Research Centre) Handbook on Parliamentarians and Policies to Reduce Poverty May 2001
bull Parliamentary Centre Cambodia Focus Group on Parliamentrsquos Role in the Budget Process Analysis
bull Parliamentary Centre Indicators of Parliamentary Performance in the Budget Process
bull The International Budget Project Legislatures and Budget Oversight httpwwwinternationalbudgetorgthemesLEGindexhtm
bull NDI Legislatures and the Budget Process An International Survey 2003 httpwwwndiorgglobalpgovgovernanceasp
bull NDI Parliaments and Poverty Series Toolkit No1 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Parliaments and Poverty Series Toolkit No2 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives
35
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull NDI Parliaments and Poverty Series Toolkit No3 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative Public Outreach on Poverty Issues
bull UNDP IPU WBI and UNIFEM Parliament The Budget and Gender httpwwwundporgdpapublicationsgovernancehtml
bull IMF Finance amp Development Magazine December 2002 Volume 39 Number 4 A Bigger Role for Legislators
bull Case Study PRSPs and Parliament by Stephen Langdon bull Ministry of Foreign Affairs Netherlands March 2002 Economics and Finance
(b) Budget Impact Assessments (Gender Budgeting) bull Cagatay N M Keklik R Lal and J Lang (2000) ldquoBudgets As if People
Mattered Democratizing Macroeconomic Policiesrdquo SEPED Conference Paper Series Number 4 May
bull Navarro Z (1998) ldquoParticipation Democratizing Practices and the Formulation of a Modern Policy ndash the Case of ldquoParticipatory Budgetingrdquo in Porto Alegre Brazil (1989-1998) Development Sage London Volume 41 number 3 September
Representative and Inclusive Parliament
bull Commonwealth Parliamentary Association (CPA) Commonwealth Women Parliamentarians Into The Democratic Mainstream August 2002
bull CPA EnGendering Development and Democracy May 2004 bull IPU and UNDP Guidelines on the Rights and Duties of the Opposition in
Parliament May 19 1999 (Unanimously adopted by the participants at the Parliamentary Seminar on Relations Between Majority and Minority Parties in African Parliaments Libreville (Gabon) 17-19 May 1999)
bull AWEPA European Parliamentarians for Africa OPS7 Parliamentary Gender Handbook South Africa 2001 (found at httpwwwawepaorgdownloadsOPS07-_Parliamentary_Gender_Handbook-_South_Africapdf
Free Elections of Legislators
bull Venice Commission Opinion 2502003 Report on Electoral Systems - Overview of Available Solutions and Selection Criteria Adopted by the Venice Commission at its 57th Plenary Session CDL ndash AD(2004)003 (found at httpvenicecoeintdocs2004CDL-AD(2004)003-easp )
bull Venice Commission Opinion 2392003 Comments on the Draft Law of the Chechen Republic on Elections to the Parliament of the Chechen Republic CDL (2003)021rev (found at httpvenicecoeintdocs2003CDL(2003)021rev-easp )
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Resolution 1320 (2003) httpassemblycoeintDocumentsAdoptedTextTA03ERES1320htm
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Document 9267 15 October 2001
36
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Parliamentary procedures should therefore provide adequate mechanisms to oversee the Executive including accountability mechanisms targeted at budget development effective money flows budget implementation etc This can be achieved by allowing independent audits of public accounts establishing that the opposition will chair the Public Accounts Committee or a combination of the mechanisms andor others PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
International Obligations and Parliament International treaties carry a general obligation for signatory States to ratify and to adopt all necessary measures for their implementation Both functions should fall on Parliament CLHG CLHP IPU-Res03
The need for governments to respect their international law obligations has become more urgent post World War II particularly as inter-State conflicts are on the rise Legislators as law makers and representatives of the people need to be more proficient in their knowledge and understanding of human rights and humanitarian law instruments including those relating to economic social and cultural rights In a 2000 Declaration the Conference of Presiding Officers of National Parliaments outlined the four inter-connected levels of intervention for Parliaments in relation to international obligations
bull ldquoInfluencing their respective countriesrsquo policy on matters dealt with in the United Nations and other international negotiating forums
bull Keeping themselves informed of the progress and outcome of these negotiations bull Deciding on ratification where the Constitution so foresees of texts and treaties
signed by governments and bull Contributing actively to the subsequent implementation processrdquo12
Parliaments play a central role in adjusting domestic law to international standards According to the legal systems of many countries Parliaments are not only the bodies entitled to ratify international obligations but also the ones responsible for adopting the necessary implementing legislation Many international treaties particularly those related to human rights the environment gender and corruption require that States parties adjust their national legislation to match the minimum standards laid out in the treaties For example United Nations Convention against Corruption (2004) is explicitly applicable to legislators Indeed its scope covers ldquopublic officialsrdquo who are defined as including any person holding parliamentary office in a State party Compliance with this provision and others often requires the adoption of legislation Conventions generally include explicit requirements for the adoption of new laws by national Parliaments
12 Conference of Presiding Officers of National Parliaments organized by the IPU in cooperation with the UN Declaration adopted by at UN Headquarters New York 30 August ndash 1st September 2000
21
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The United Nations Convention against Corruption (2004) establishes that each State party should develop and implement anti-corruption policies
bull The Inter-American Convention against Corruption (1996) requires in its article VII the adoption by State parties of all ldquonecessary legislative or other measures to establish as criminal offences under their domestic law the acts of corruption described in Article VI(1) and to facilitate cooperation among themselves pursuant to this Conventionrdquo
As guardians of the Constitution legislators have an obligation to protect the human rights of people This obligation is reinforced by the requirement to comply with international and regional human rights treaties This obligation to protect and legislate in support of human rights should lead to increased oversight by Parliament in areas in which the Executive has traditional exercised blanket discretionary powers such as national security There has been a growing consensus on the need to shift focus away from military security to broader factors of ldquohuman securityrdquo such as environmental economic social as well as political13 PTAS11 Transparent Efficient Parliamentary Committees
Parliamentary Committees The legislative and oversight functions of Parliament are actually undertaken by Parliamentary Committees the powers and structures of which differ from country to country It is essential for these committees to be properly structured and well funded to enable them to be effective in discharging Parliamentrsquos legislative and policy making functions CLHG CPA-Media CPA-CP CPA-Rec03 CPA-REc04 IPU-GD
Committee structures may vary depending on the size of Parliament its constitutional mandate and other country-specific factors However all committees should have adequate resources both human and financial and have the power to summon witnesses including ministers as necessary to fulfill their mission Committee meetings should be generally open and allow for public attendance and participation Committee reports should be published and made readily available to both the government and the public PTAS12 Adequate Independent Parliamentary Budget
Parliamentary Budget It is the duty of the State to provide adequate resources to enable Parliament to perform its functions properly CLHG
Parliamentary independence and effectiveness to carry out its functions is eroded when Parliament lacks control over its own budget or has inadequate finances to manage its committees and carry out various other internal administrative duties14 Parliament 13 IPU and the Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born Philipp H Fluri amp Anders B Johnsson page 16 (Found at httpwwwdcafchpublicationse-publicationsHandbook_eng ) 14 Indeed without adequate resources for the training of new members secretarial office library and research facilities drafting assistance for bills etc Parliament is handicapped
22
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
should be able to design its own budget based on its needs and negotiate with the Executive the amount allocated to it from the national budget There should be sufficient autonomy over these finances by Parliament to protect the institutional independence and integrity It has been suggested that an all-party committee of members of Parliament should review and administer the parliamentary budget Moreover the parliamentary budget should not be subject to amendment by the Executive15 It is the Parliamentary budget that inter alia funds training of parliamentary support staff ensures that library and research facilities are properly and adequately equipped guarantees that legislators have the necessary support staff to undertake their functions and funds security services PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
Parliamentary Conduct Legislators are required to exhibit and promote high standards of professional conduct in order to reinforce public confidence in Parliament which is fundamental to its independence and legitimacy in a democratic society ANTICORRUPTION TREATIES CLHG CLHP
The CLHG outline three components for a comprehensive ethical framework applicable to Parliament
bull Conflict of interest rules and codes of conduct requiring disclosure of interests bull Access to ethics advisors and bull Restrictions on lobbying and interest group influence
Ethical professional conduct requires legislators not only to conform to high standards of ethics in practice but also to avoid the appearance of impropriety The need for financial transparency by public officials has increasingly gained acceptance as anti-corruption issues have become global Legislatorsrsquo professional and private conduct must be subject to some system of internal codified rules regulating standards of behavior and making disclosure of personal income and assets mandatory Other professions have codes of ethics regulating membersrsquo behavior for example doctors and lawyers Ethical rules should include conflict of interest rules outlining incompatible professional activities or interests such as holding another governmental office and restricting certain ventures such as participation or shareholding in corporations These rules should also require the submission to an independent oversight authority of disclosures of income assets and interests These disclosures should then be publicized for broader ethical monitoring by the public Disclosure of interests will go a long way in establishing institutional integrity trust and respect by the public and effective discharge of duties on the part of legislators as they are fully conscious of the ethical parameters which govern them as a profession 15 Commonwealth Latimer House Guidelines Number VII6
23
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
Discipline Just as other professionals have quasi-judicial bodies to regulate discipline and even remove members there should also be an internal or external authority to sanction legislators conduct investigations and hearings and adopt findings and conclusions There should also be a clear appeals process available to any member aggrieved by a decision CLHG
ldquoThe Committee recommends
bull The House should appoint a person of independent standing who should have a degree of tenure and not be a career member of the House of Commons staff as Parliamentary Commissioner for Standards
bull The Commissioners should have independent discretion to decide whether or not a complaint merits investigation or to initiate an investigationrdquo Recommendations of Committee on Standards in Public Life First Report16
Just as any other citizen legislators should be bound by the law In cases when legislators commit acts contrary to the laws and regulations they expose themselves to disciplinary action and prosecution Moreover there are special conditions only for the status of being public servants that they must observe such as compliance of high standards of ethics assets disclosure and conflict of interest rules There must be a clear system of sanctions for non-compliance with the laws and regulations The disciplinary process in representative bodies is a very sensitive one It should not be used to punish the opposition or dissidents In this sense the existence of an objective internal or external body to sanction legislators is essential to the proper operation of the system An additional problem represents the immunity that all legislators should have The immunity is a protection to ensure that legislators can perform their duties without interference it should not however be used as an excuse to avoid sanctions for common misconducts or crimes PTAS15 Parliamentary Immunity
Immunity Legislators shall enjoy personal immunity from civil suits and criminal prosecution for acts and omissions in the exercise of their functions CLHG ECOWAS-P IPU-GD
Legislators should enjoy some degree of immunity from prosecution or civil suit for acts and omissions in the exercise of their functions However no one should be exempted from accountability The requirements of parliamentary independence from political institutional and societal forces must be balanced against those of public accountability
16 These recommendations were implemented by the House of Commons England A Standing Order setting up the office of Parliamentary Commissioner for Standards was set up on 6 November 1995
24
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Consequently the immunity regime should be strictly regulated especially through the recognition of
bull Clear limited scope of immunity (for example it should not cover acts performed outside of office nor common crimes) and
bull Possibility of waivers in clearly defined cases and following a transparent procedure
Regarding the scope of parliamentary immunity its historical roots lie with the freedom of speech of legislators as recognized in the British and American Bills of Rights The underlying justification for immunity is that it allows legislators to fulfill their mandate without fear of retaliatory measures on account of their positions or votes Legislators must therefore be protected against arrest and detention or civil and criminal prosecution for any acts performed or words spoken while in office or in the conduct of parliamentary affairs Legislators should not be subject to any form of inquiry detention or legal proceedings in respect of opinions expressed or votes cast by them in the performance of their duties Immunity should not be limited to acts or speech within the parliamentary facilities Rather immunity must be interpreted as broadly as possible For example the members of the European Parliament enjoy immunity in their own States in the territories of other Member States and whilst traveling to and from the place of the meeting of the European Parliament However immunity should not be absolute The immunity regime applicable to legislators should provide for the possibility of waiving this immunity in limited circumstances in the interests of justice Immunity is not a privilege benefiting individual members but rather a guarantee protecting the independence of Parliament and its members in their relations with other governmental and private bodies17 Parliamentary privileges must be clearly defined and established by law These immunities are not meant to place legislators above the law but to protect them from possible groundless proceedings or accusations that may be politically motivated The grounds and terms for lifting of immunity must be clearly specified by law so that this may only occur following a decision taken by a competent body on a non-partisan basis PTAS16 Parliamentary and Public Access to Information
Access to Information Legislators as well as the general public must have access to accurate timely information and data including legislation parliamentary procedures governmental data and relevant research data Banjul CLHG CLHP CPA-Media CPA-CP CPA-Rec03 CPA-Rec04 CSCE-CD ECHR IACHR ICCPR IPU-DD IPU-GD IPU-Res03 UNHCHR
17 ECPRD Parliamentary Codes of Conduct in Europe by Veronica Williams November 2001
25
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
The free flow of information is essential in a democratic society Access to information should not only be viewed in relation to the media and civil societyrsquos right to access governmental documents but also in relation to the legislatorsrsquo right to access relevant research and information from the government and other sources Access to information can be facilitated by the use of databases networks and information technology in general The media should be free to report the activities of Parliament and the public should be able to attend parliamentary meetings and Committee sittings where appropriate The CPA encouraged Parliaments ldquoto provide live coverage of their proceedings on a dedicated channel andor onlinerdquo in its Recommendations for an Informed Democracy The environment should be made conducive for civil society organizations the public and multiple stakeholders to exchange information with legislators to enable Parliament to effectively discharge its duties of oversight policy making law making representation and recruitment This could be achieved through the establishment of a public information office within Parliament Bills and Acts of Parliament must be published regularly and should be freely available to the public Indeed the CSCE Copenhagen Document notes that ldquolegislation adopted at the end of a public procedure and regulations will be published that being the condition of their applicability Those texts will be accessible to everyonerdquo In its recommendations following a conference on ldquoWhat Parliament and Legislators Can Dordquo the CPA noted that access should be granted ldquoto basic information and documents produced by the parliamentary process such as access to parliamentary libraries the provision of on-line information and the distribution of Parliamentary speeches promptly after delivery in the Houserdquo18 The type of information available to the public and to legislators should include
bull Attendance and voting records bull Registers of membersrsquo interests bull Bills and Acts of Parliament bull Procedural rules bull Codes of Conduct
Legislators should also have access to parliamentary archives as well as all necessary information and data from the government The IPU Guidelines note that ldquolegislators from the majority and the opposition alike are equally entitled to receive in a timely manner the same information from the governmentrdquo
18 Parliament and The Media Building an Effective Relationship 15-18 February 2000 [CPA-Media]
26
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS17 Adequate Facilities Equipment and Technology
Adequate Infrastructure Parliament should have at a minimum the necessary infrastructure and technical assistance including research capacity adequate facilities and equipment to enable it to carry out its basic democratic functions CPA-Rec03 CPA-Rec04 IPU-GD
The working conditions of legislators must be adequate and reflect the importance of Parliament as a key democratic institution Parliament must be housed in one or more buildings with the necessary equipment and office space for legislators and their staff including tables chairs and all other necessary office equipment Adequate resources must be allocated to Parliament andor legislators and support services to maintain and equip their facilities Some of the facilities and services which can be reasonably expected to be available to legislators include
bull Offices bull Secretarial services (general andor individual) bull Library and archive facilities bull Research services (to which requests for information can be submitted) and bull Information technology
In its 2002 Report the CPA Study Group highlights the importance of information technology including ldquoimproved networking between legislators and constituents among legislators between legislators and Parliament and better information sharing and record keepingrdquo Information technology can also facilitate access to information and best practices on the broad range of issues which fall under the purview of parliament including human rights socioeconomic rights and gender issues The use of information technology could include the development of intra-parliament networks and of searchable public databases on parliamentary activity as well as the increased access to outside information for legislators PTAS18 Professional Training for Legislators and Staff
Adequate Training Resources must be allocated to training programs both for new legislators and for the continuing education of sitting legislators These programs must be geared towards developing the skills required by parliamentary functions as well as exposing legislators to substantive issues and developments affecting their legislative oversight and representative functions CLHG CPA-CP
Training should be geared towards providing legislators with the specific skills and knowledge necessary to fulfill their parliamentary functions Legislators just like other professionals need continuing education programs and professional development to keep them updated on emerging democracy and governance trends Equally significant is the need to properly train new or incoming legislators on the constitutional rights and obligations of Parliament internal procedures and order of business ethics etc
27
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS19 Adequately-Compensated Research Library and Committee Staff
Support Staff ldquoParliament should be serviced by professional staff independent of the regular public servicerdquo CLHG IPU-GD
Parliamentary support staff in sufficient numbers and with the appropriate professional skills is crucial for an effective institution Parliamentary staff performs duties such as
bull Assisting in bill drafting bull Tracking the status of bills in the legislative process bull Maintaining and in some cases designing web sites bull Producing and drafting documents about the legislature bull Undertaking accounting and various other clerkship duties
High turnover of parliamentary staff requires more money for attracting new competent staff and providing them with the necessary training It is important to ensure that staff is reasonably well compensated to attract good candidates for the job who will retain their jobs longer When vacancies are not rapidly filled parliamentary work can be undermined resulting in misplacement of documents errors and overall inefficiency Parliamentary staff should be independent from other public service offices Their selection promotion and discipline must be clearly defined and reflect merit-based criteria and transparent processes Professional development opportunities and training should be offered to them The longer support staff stay in Parliament the more it benefits the institution especially as it may provide new legislators with the information and support necessary to adapt to their new functions faster
28
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 1 List of Acronyms
Banjul African Charter on Human and Peoplersquos Rights (1986) CEDAW Convention on the Elimination of All Forms of Discrimination
against Women ICERD Convention on the Elimination of All Forms of Racial
Discrimination CLHP Commonwealth Latimer House Principles on the Accountability and Relationship between the Three Branches of Government (2003) CLHG Commonwealth Latimer House Guidelines (1998) CPA Commonwealth Parliamentary Association CPA-Media Parliament and the Media Building an Effective Relationship
CPA (2000) CPA-CP Capetown Principles for an Informed Democracy CPA (2002) CPA-Rec03 Recommendation for an Informed Democracy CPA (2003) CPA-Rec04 Recommendation for Transparent Governance CPA (2004 CSCE Conference on Security and Cooperation in Europe CSCE-CD Copenhagen Document CSCE (1990) CSCE-MD Moscow Document CSCE (1991) ECHR European Convention on Human Rights and Fundamental
Liberties (1951) ECOWAS-P Protocol ASP11202 on Democracy and Good Governance
ECOWAS (2001) IACHR Inter-American Convention on Human Rights (1978) ICCPR International Covenant on Civil and Political Rights (1966) IPU Inter-Parliamentary Union IPU-DD Universal Declaration on Democracy IPU (1997) IPU-GD Guidelines and Duties for the Opposition in Parliament IPU (1999) IPU-Res03 Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World IPU (2003) UPA Union des Parlementaires Africains [African Parliamentary Union] UPA-Res00 Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence Building between Peoples and their Institutions (2000) UNHCHR United Nations High Commissioner for Human Rights Resolution
200047
29
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 2 Bibliography Governmental Documents
bull Commonwealth Latimer House Standards bull Commonwealth Latimer House Guidelines bull Commonwealth Parliamentary Association (CPA) Parliament and the Media
Building an Effective Relationship bull English Bill of Rights 1689 bull Inter-Parliamentary Union (IPU) Guidelines bull ECOWAS Protocol on Democracy and Good Governance Supplementary to the
Protocol Relating to the Mechanism for Conflict Prevention Management Resolution Peacekeeping and Security
bull Protocol on the Privileges and Immunities of the European Communities bull ECPRD Parliamentary Codes of Conduct in Europe (Compilation by the Council
of Europe Parliamentary Assembly) bull IPU Universal Declaration on Democracy bull International Covenant on Civil and Political Rights (ICCPR) bull The African (Banjul) Charter on Human and Peoplersquos Rights bull The Johannesburg Standards National Security Freedom of Expression and
Access to Information bull Document of the Copenhagen Meeting of the Conference on the Human
Dimension of the CSCE 1990 bull Declaration of Principle on Freedom of Expression in Africa bull Union des Parliamentaires Africains on the Role of Parliaments in the
Consolidation of Democracy and Confidence-Building Between the Peoples and their Institutions 23rd Conference in Addis Ababa 24-25 November 2000
bull The Harare Declaration bull IPU Conference of Presiding Officers of National Parliaments bull International Convention on the Elimination of All Forms of Racial
Discrimination bull Convention on the Elimination of All Forms of Discrimination Against Women bull Report of the Ethics Reform Task Force on H Res 168 105th Congress 1st
Session 17 June 1997 (found at httpwwwhousegovethicsethicsreporttxt ) bull Parliamentary Standards and the Wicks Committee Report Standard Note
SNPC2200 24 June 2003 by Ruth Winstone (found at httpwwwparliamentukcommonslibresearchnotessnpc-02200pdf )
bull Committee on Standards in Public Life First Report Cm 2850 Volume 1 11 May 1995 (found at httpwwwarchiveofficial-documentscoukdocumentcm282850285002pdf )
bull Committee on Standards in Public Life Sixth Report Reinforcing Standards Cm 4557 Volume 1 January 2000 (found at httpwwwpublic-standardsgovuk )
bull Committee on Standards in Public Life Eighth Report Cm 5663 Standards of Conduct in the House of Commons November 2002 (found at httpwww-standardsgovukreports8th_reportreporteighthreportpdf
bull African Union Declarations and Decisions
30
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The African Commission Declaration of Principle on Freedom of Expression in Africa
bull United Nations High Commissioner for Human Rights Resolution 200047
Non-Governmental Documents Transparency and Accountability of the Parliament
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Anti-Corruption Commissions Panacea or Real Medicine to Fight Corruption By John Heilbrunn 2004
bull PREM Notes Public Sector No 74 October 2002 Strengthening Oversight by Legislatures (found at httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull PREM Notes Public Sector No63 March 2002 Strengthening Legislatures Implications from Industrial Countries (found at httpwww1worldbankorgpremPREMNotespremnote63pdf )
bull WBI Working Papers Building a Clean Machine Anti-Corruption Coalitions and Sustainable Reforms by Michael Johnston and Sahr J Kpundeh 2002
bull IFES IFES Parliamentary Toolkit Transparency and Accountability Tools for Civil Society
bull PREM Notes Public Sector No59 October 2001 Features and Functions of Supreme Audit Institutions
bull World Bank Institute Improving Governance and Controlling Corruption Towards a Participatory and Action-oriented Approach Grounded on Empirical Rigor October 2001
bull World Bank Towards Transparency in Finance and Governance by Tara Vishwanath and Daniel Kaufman September 6 1999
bull World Bank Institute Pillars of Integrity The Importance of Supreme Audit Institutions in Curbing Corruption by Kenneth M Dye and Rick Stapenhurst 1998
bull Association of Secretaries General of Parliaments (ASGP) Promoting the Work of Parliament Report by Mr Ian Harris Clerk of the House of Representatives of Australia19 Autumn 2000 (found at httpwwwasgpinfodiscussionshtmstudies)
bull USAID Handbook on Legislative Strengthening httpwwwusaidgovour_workdemocracy_and_governancegovhtml
bull Parliamentary Centre Canada Controlling Corruption A Parliamentarianrsquos Handbook httpwwwparlcentcaindex_ephp
bull Parliamentary Centre Canada Parliamentary Accountability and Good Governance httpwwwparlcentcaindex_ephp
19 This report contains a detailed analysis of the answers from a Questionnaire of how the public is provided information about the operation and work of Parliament The review was launched at the Conference of the Association of Secretaries General of Parliaments which was held in Autumn 2000 in Jakarta
31
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Center for Democracy and Governance February 2000 USAID Handbook on Legislative Strengthening
bull Parliamentary Centre Parliamentary Accountability and Good Governance A Parliamentarianrsquos Handbook
bull Parliamentary Centre Forum on Parliamentary Reform bull NEPAD Library Emerging Legislatures in Emerging African Democracies bull Commonwealth Parliamentary Association and World Bank Institute
Recommendations for Transparent Governance Conclusions of a CPA Study Group on Access to Information Accra Ghana 5-9 July 2004
bull GOPAC Parliamentarians Fighting Corruption A Conceptual Overview PCentrefsPCentreSProjectsParliamentary_RelationsGOPACWBI
bull International IDEA Democracy Assessment Questionnaire wwwideaintideas_work14_statedemocracy_assessmentpdf
bull NDI and UNDP Parliaments and Poverty Series Toolkit No1 Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Strengthening the Accountability Process and Parliamentary Reform A Report on the Parliamentary Roundtable Held in Bhurban Pakistan March 1-2 1997
Independence of the Parliament bull NDI Strengthening Legislative Capacity in Legislative-Executive Relations
Paper 6 httpwwwndiorgglobalpgovgovernanceasp bull Venice Commission Opinion on the Draft Proposal for Rules of Procedure of the
Assembly of the Republic of Macedonia by Georg Nolte July 5 2002 bull Venice Commission Report on the Referral of a Law Back to Parliament by the
Head of State November 15 1996 bull AGSP The Role of the Secretary General in the Administration of Parliament
Report by Mr Ugo Zampetti General Secretary of the Chamber of Deputies (Italy) October 2000 Review no 180
bull AGSP Constitutional and Parliamentary Information The Status of Parliamentary Groups
Parliamentary Immunity
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union Part Three Immunity in the European Parliament June 2001
bull Venice Commission Opinion 11995 Report on the Regime of Parliamentary Immunity CDL ndash INF(1996) 007 6496 (found at httpvenicecoeintsitedynamicsN_Opinion_efaspampL=EampOID=1 )
bull Venice Commission Supplementary Opinion on the Revision of the Constitution of Romania October 18 2002
32
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Venice Commission Draft Report ndash The Regime of Parliamentary Immunity April 29 1996
bull Venice Commission Questionnaire on Parliamentary Immunity prepared by Mr GW Maas-Geesteranus June 19 1995
Freedom of Parliamentary Speech
bull AGSP The Immunities of Members of Parliament Report prepared by Mr Robert Myttenaere September 1998
bull AGSP Position of Witnesses before Parliamentary Committees Report prepared by Mr Demaree JB Raval April 1997
Conflict of Interest amp Ethics
bull Parliamentary Affairs A Journal of Comparative Politics Volume 55 No 4 October 2002 Conduct Unbecoming The Regulation of Legislative Ethics in Britain and the United States by Robert Williams
bull Parliamentary Affairs A Journal of Comparative Politics Volume 52 No 3 July 1999 Parliament in the Age of Internet by S Coleman JA Taylor and W Van de Donk
bull European Centre for Parliamentary Research and Documentation (ECPRD) Parliamentary Codes of Conduct in Europe an Overview November 2001
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union June 2001
bull Research Paper Commissioned on behalf of The Committee on Standards in Public Life May 2002 The Regulation of Parliamentary Standards ndash A Comparative Perspective (found at httpwwwpublic-standardsgovukreports8th_reportreportresearchdoc
bull House of Representatives Resolution 168 on the Report of the Ethics Reform Task Force 18 June 1997
bull NDI Accountability Ethics and Transparency in Government Pakistan Study Mission to South Africa June 3 1997
bull NDI Report on Regional Consultative Workshops ndash Ethics Questionnaire August 1998
bull Council of Europe Steering Committee on Local and Regional Democracy (CDLR) Public Ethics at Local Level Model Initiatives Package November 25 2002
bull NDI Legislative Research Series Paper No 4 ndash Legislative Ethics A Comparative Analysis 1999
bull OECD United States Case Study ndash Ethics and Corruption The Management of Ethics and Conduct in the Public Service by Stuart Gilman December 1995
bull OECD Recommendations of the Council on Guidelines for Managing Conflict of Interest in the Public Service June 2003
33
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Sanction and Removal of Legislators bull Venice Commission Comments on the Draft Law of the Chechen Republic on
Elections to the Parliament of the Chechen Republic As Submitted to Referendum by Mr G Nolte March 23 2003
bull Venice Commission Opinion on the Draft Law on the Public Attorney (Ombudsman) of ldquoThe Former Yugoslav Republic of Macedoniardquo March 15 2003
bull Venice Commission Comments on the Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia by Ms Serra Lopes February 28 2003
bull Venice Commission Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia February 2003
bull WBI PREM Notes Public Sector Number 19 April 1999 Using an Ombudsman to oversee Public Officials
bull AGSP The Office of the Parliamentary Ombudsman March 1994 Salaries and Benefits of Legislators
bull AGSP The Social Protection of Parliamentarians Report by Mrs Helene Ponceau General Secretary of the Senate Quaestorrsquos Office [Havana Senate Treasurerrsquos Department] Review No 181 April 2001
Professional Development and Training
bull SADC Parliamentary Forum MPs Orientation Handbook ndash Professional Performance and Development httpwwwsadcpforgaboutindexasp
The Parliament and the Budget Cycle
bull OECD Development Centre Policy Brief No 22 Strengthening Participation in Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD May 2001 OECD Best Practices for Budget Transparency bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and
Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull ASGP The Administrative and Financial Autonomy of Parliamentary Assemblies Report prepared by Michel Couderc (France) adopted at the Moscow Session (September 1998)
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development The Legislature and the Budget by Frederick Stapenhurst 2004 httpwwwworldbankorgwbigovernanceparliament
34
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull WBI Working Papers Series on Contemporary Issues in Parliamentary
Development Parliaments and the PRSP Process by Scott Hubli and Alicia P Mandaville 2004
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull WBI PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull WBI PREM Notes Public Sector Number 74 October 2002 Strengthening Oversight by Legislatures
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull Commonwealth Parliamentary Association (CPA) The Parliamentarian 2002
Issue Two 179 Parliaments and Poverty by Ms Frannie A Lrsquoeautier bull Parliamentary Centre Canada and WBI and CIDA (with support from the
International Development Research Centre) Handbook on Parliamentarians and Policies to Reduce Poverty May 2001
bull Parliamentary Centre Cambodia Focus Group on Parliamentrsquos Role in the Budget Process Analysis
bull Parliamentary Centre Indicators of Parliamentary Performance in the Budget Process
bull The International Budget Project Legislatures and Budget Oversight httpwwwinternationalbudgetorgthemesLEGindexhtm
bull NDI Legislatures and the Budget Process An International Survey 2003 httpwwwndiorgglobalpgovgovernanceasp
bull NDI Parliaments and Poverty Series Toolkit No1 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Parliaments and Poverty Series Toolkit No2 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives
35
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull NDI Parliaments and Poverty Series Toolkit No3 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative Public Outreach on Poverty Issues
bull UNDP IPU WBI and UNIFEM Parliament The Budget and Gender httpwwwundporgdpapublicationsgovernancehtml
bull IMF Finance amp Development Magazine December 2002 Volume 39 Number 4 A Bigger Role for Legislators
bull Case Study PRSPs and Parliament by Stephen Langdon bull Ministry of Foreign Affairs Netherlands March 2002 Economics and Finance
(b) Budget Impact Assessments (Gender Budgeting) bull Cagatay N M Keklik R Lal and J Lang (2000) ldquoBudgets As if People
Mattered Democratizing Macroeconomic Policiesrdquo SEPED Conference Paper Series Number 4 May
bull Navarro Z (1998) ldquoParticipation Democratizing Practices and the Formulation of a Modern Policy ndash the Case of ldquoParticipatory Budgetingrdquo in Porto Alegre Brazil (1989-1998) Development Sage London Volume 41 number 3 September
Representative and Inclusive Parliament
bull Commonwealth Parliamentary Association (CPA) Commonwealth Women Parliamentarians Into The Democratic Mainstream August 2002
bull CPA EnGendering Development and Democracy May 2004 bull IPU and UNDP Guidelines on the Rights and Duties of the Opposition in
Parliament May 19 1999 (Unanimously adopted by the participants at the Parliamentary Seminar on Relations Between Majority and Minority Parties in African Parliaments Libreville (Gabon) 17-19 May 1999)
bull AWEPA European Parliamentarians for Africa OPS7 Parliamentary Gender Handbook South Africa 2001 (found at httpwwwawepaorgdownloadsOPS07-_Parliamentary_Gender_Handbook-_South_Africapdf
Free Elections of Legislators
bull Venice Commission Opinion 2502003 Report on Electoral Systems - Overview of Available Solutions and Selection Criteria Adopted by the Venice Commission at its 57th Plenary Session CDL ndash AD(2004)003 (found at httpvenicecoeintdocs2004CDL-AD(2004)003-easp )
bull Venice Commission Opinion 2392003 Comments on the Draft Law of the Chechen Republic on Elections to the Parliament of the Chechen Republic CDL (2003)021rev (found at httpvenicecoeintdocs2003CDL(2003)021rev-easp )
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Resolution 1320 (2003) httpassemblycoeintDocumentsAdoptedTextTA03ERES1320htm
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Document 9267 15 October 2001
36
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The United Nations Convention against Corruption (2004) establishes that each State party should develop and implement anti-corruption policies
bull The Inter-American Convention against Corruption (1996) requires in its article VII the adoption by State parties of all ldquonecessary legislative or other measures to establish as criminal offences under their domestic law the acts of corruption described in Article VI(1) and to facilitate cooperation among themselves pursuant to this Conventionrdquo
As guardians of the Constitution legislators have an obligation to protect the human rights of people This obligation is reinforced by the requirement to comply with international and regional human rights treaties This obligation to protect and legislate in support of human rights should lead to increased oversight by Parliament in areas in which the Executive has traditional exercised blanket discretionary powers such as national security There has been a growing consensus on the need to shift focus away from military security to broader factors of ldquohuman securityrdquo such as environmental economic social as well as political13 PTAS11 Transparent Efficient Parliamentary Committees
Parliamentary Committees The legislative and oversight functions of Parliament are actually undertaken by Parliamentary Committees the powers and structures of which differ from country to country It is essential for these committees to be properly structured and well funded to enable them to be effective in discharging Parliamentrsquos legislative and policy making functions CLHG CPA-Media CPA-CP CPA-Rec03 CPA-REc04 IPU-GD
Committee structures may vary depending on the size of Parliament its constitutional mandate and other country-specific factors However all committees should have adequate resources both human and financial and have the power to summon witnesses including ministers as necessary to fulfill their mission Committee meetings should be generally open and allow for public attendance and participation Committee reports should be published and made readily available to both the government and the public PTAS12 Adequate Independent Parliamentary Budget
Parliamentary Budget It is the duty of the State to provide adequate resources to enable Parliament to perform its functions properly CLHG
Parliamentary independence and effectiveness to carry out its functions is eroded when Parliament lacks control over its own budget or has inadequate finances to manage its committees and carry out various other internal administrative duties14 Parliament 13 IPU and the Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born Philipp H Fluri amp Anders B Johnsson page 16 (Found at httpwwwdcafchpublicationse-publicationsHandbook_eng ) 14 Indeed without adequate resources for the training of new members secretarial office library and research facilities drafting assistance for bills etc Parliament is handicapped
22
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
should be able to design its own budget based on its needs and negotiate with the Executive the amount allocated to it from the national budget There should be sufficient autonomy over these finances by Parliament to protect the institutional independence and integrity It has been suggested that an all-party committee of members of Parliament should review and administer the parliamentary budget Moreover the parliamentary budget should not be subject to amendment by the Executive15 It is the Parliamentary budget that inter alia funds training of parliamentary support staff ensures that library and research facilities are properly and adequately equipped guarantees that legislators have the necessary support staff to undertake their functions and funds security services PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
Parliamentary Conduct Legislators are required to exhibit and promote high standards of professional conduct in order to reinforce public confidence in Parliament which is fundamental to its independence and legitimacy in a democratic society ANTICORRUPTION TREATIES CLHG CLHP
The CLHG outline three components for a comprehensive ethical framework applicable to Parliament
bull Conflict of interest rules and codes of conduct requiring disclosure of interests bull Access to ethics advisors and bull Restrictions on lobbying and interest group influence
Ethical professional conduct requires legislators not only to conform to high standards of ethics in practice but also to avoid the appearance of impropriety The need for financial transparency by public officials has increasingly gained acceptance as anti-corruption issues have become global Legislatorsrsquo professional and private conduct must be subject to some system of internal codified rules regulating standards of behavior and making disclosure of personal income and assets mandatory Other professions have codes of ethics regulating membersrsquo behavior for example doctors and lawyers Ethical rules should include conflict of interest rules outlining incompatible professional activities or interests such as holding another governmental office and restricting certain ventures such as participation or shareholding in corporations These rules should also require the submission to an independent oversight authority of disclosures of income assets and interests These disclosures should then be publicized for broader ethical monitoring by the public Disclosure of interests will go a long way in establishing institutional integrity trust and respect by the public and effective discharge of duties on the part of legislators as they are fully conscious of the ethical parameters which govern them as a profession 15 Commonwealth Latimer House Guidelines Number VII6
23
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
Discipline Just as other professionals have quasi-judicial bodies to regulate discipline and even remove members there should also be an internal or external authority to sanction legislators conduct investigations and hearings and adopt findings and conclusions There should also be a clear appeals process available to any member aggrieved by a decision CLHG
ldquoThe Committee recommends
bull The House should appoint a person of independent standing who should have a degree of tenure and not be a career member of the House of Commons staff as Parliamentary Commissioner for Standards
bull The Commissioners should have independent discretion to decide whether or not a complaint merits investigation or to initiate an investigationrdquo Recommendations of Committee on Standards in Public Life First Report16
Just as any other citizen legislators should be bound by the law In cases when legislators commit acts contrary to the laws and regulations they expose themselves to disciplinary action and prosecution Moreover there are special conditions only for the status of being public servants that they must observe such as compliance of high standards of ethics assets disclosure and conflict of interest rules There must be a clear system of sanctions for non-compliance with the laws and regulations The disciplinary process in representative bodies is a very sensitive one It should not be used to punish the opposition or dissidents In this sense the existence of an objective internal or external body to sanction legislators is essential to the proper operation of the system An additional problem represents the immunity that all legislators should have The immunity is a protection to ensure that legislators can perform their duties without interference it should not however be used as an excuse to avoid sanctions for common misconducts or crimes PTAS15 Parliamentary Immunity
Immunity Legislators shall enjoy personal immunity from civil suits and criminal prosecution for acts and omissions in the exercise of their functions CLHG ECOWAS-P IPU-GD
Legislators should enjoy some degree of immunity from prosecution or civil suit for acts and omissions in the exercise of their functions However no one should be exempted from accountability The requirements of parliamentary independence from political institutional and societal forces must be balanced against those of public accountability
16 These recommendations were implemented by the House of Commons England A Standing Order setting up the office of Parliamentary Commissioner for Standards was set up on 6 November 1995
24
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Consequently the immunity regime should be strictly regulated especially through the recognition of
bull Clear limited scope of immunity (for example it should not cover acts performed outside of office nor common crimes) and
bull Possibility of waivers in clearly defined cases and following a transparent procedure
Regarding the scope of parliamentary immunity its historical roots lie with the freedom of speech of legislators as recognized in the British and American Bills of Rights The underlying justification for immunity is that it allows legislators to fulfill their mandate without fear of retaliatory measures on account of their positions or votes Legislators must therefore be protected against arrest and detention or civil and criminal prosecution for any acts performed or words spoken while in office or in the conduct of parliamentary affairs Legislators should not be subject to any form of inquiry detention or legal proceedings in respect of opinions expressed or votes cast by them in the performance of their duties Immunity should not be limited to acts or speech within the parliamentary facilities Rather immunity must be interpreted as broadly as possible For example the members of the European Parliament enjoy immunity in their own States in the territories of other Member States and whilst traveling to and from the place of the meeting of the European Parliament However immunity should not be absolute The immunity regime applicable to legislators should provide for the possibility of waiving this immunity in limited circumstances in the interests of justice Immunity is not a privilege benefiting individual members but rather a guarantee protecting the independence of Parliament and its members in their relations with other governmental and private bodies17 Parliamentary privileges must be clearly defined and established by law These immunities are not meant to place legislators above the law but to protect them from possible groundless proceedings or accusations that may be politically motivated The grounds and terms for lifting of immunity must be clearly specified by law so that this may only occur following a decision taken by a competent body on a non-partisan basis PTAS16 Parliamentary and Public Access to Information
Access to Information Legislators as well as the general public must have access to accurate timely information and data including legislation parliamentary procedures governmental data and relevant research data Banjul CLHG CLHP CPA-Media CPA-CP CPA-Rec03 CPA-Rec04 CSCE-CD ECHR IACHR ICCPR IPU-DD IPU-GD IPU-Res03 UNHCHR
17 ECPRD Parliamentary Codes of Conduct in Europe by Veronica Williams November 2001
25
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
The free flow of information is essential in a democratic society Access to information should not only be viewed in relation to the media and civil societyrsquos right to access governmental documents but also in relation to the legislatorsrsquo right to access relevant research and information from the government and other sources Access to information can be facilitated by the use of databases networks and information technology in general The media should be free to report the activities of Parliament and the public should be able to attend parliamentary meetings and Committee sittings where appropriate The CPA encouraged Parliaments ldquoto provide live coverage of their proceedings on a dedicated channel andor onlinerdquo in its Recommendations for an Informed Democracy The environment should be made conducive for civil society organizations the public and multiple stakeholders to exchange information with legislators to enable Parliament to effectively discharge its duties of oversight policy making law making representation and recruitment This could be achieved through the establishment of a public information office within Parliament Bills and Acts of Parliament must be published regularly and should be freely available to the public Indeed the CSCE Copenhagen Document notes that ldquolegislation adopted at the end of a public procedure and regulations will be published that being the condition of their applicability Those texts will be accessible to everyonerdquo In its recommendations following a conference on ldquoWhat Parliament and Legislators Can Dordquo the CPA noted that access should be granted ldquoto basic information and documents produced by the parliamentary process such as access to parliamentary libraries the provision of on-line information and the distribution of Parliamentary speeches promptly after delivery in the Houserdquo18 The type of information available to the public and to legislators should include
bull Attendance and voting records bull Registers of membersrsquo interests bull Bills and Acts of Parliament bull Procedural rules bull Codes of Conduct
Legislators should also have access to parliamentary archives as well as all necessary information and data from the government The IPU Guidelines note that ldquolegislators from the majority and the opposition alike are equally entitled to receive in a timely manner the same information from the governmentrdquo
18 Parliament and The Media Building an Effective Relationship 15-18 February 2000 [CPA-Media]
26
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS17 Adequate Facilities Equipment and Technology
Adequate Infrastructure Parliament should have at a minimum the necessary infrastructure and technical assistance including research capacity adequate facilities and equipment to enable it to carry out its basic democratic functions CPA-Rec03 CPA-Rec04 IPU-GD
The working conditions of legislators must be adequate and reflect the importance of Parliament as a key democratic institution Parliament must be housed in one or more buildings with the necessary equipment and office space for legislators and their staff including tables chairs and all other necessary office equipment Adequate resources must be allocated to Parliament andor legislators and support services to maintain and equip their facilities Some of the facilities and services which can be reasonably expected to be available to legislators include
bull Offices bull Secretarial services (general andor individual) bull Library and archive facilities bull Research services (to which requests for information can be submitted) and bull Information technology
In its 2002 Report the CPA Study Group highlights the importance of information technology including ldquoimproved networking between legislators and constituents among legislators between legislators and Parliament and better information sharing and record keepingrdquo Information technology can also facilitate access to information and best practices on the broad range of issues which fall under the purview of parliament including human rights socioeconomic rights and gender issues The use of information technology could include the development of intra-parliament networks and of searchable public databases on parliamentary activity as well as the increased access to outside information for legislators PTAS18 Professional Training for Legislators and Staff
Adequate Training Resources must be allocated to training programs both for new legislators and for the continuing education of sitting legislators These programs must be geared towards developing the skills required by parliamentary functions as well as exposing legislators to substantive issues and developments affecting their legislative oversight and representative functions CLHG CPA-CP
Training should be geared towards providing legislators with the specific skills and knowledge necessary to fulfill their parliamentary functions Legislators just like other professionals need continuing education programs and professional development to keep them updated on emerging democracy and governance trends Equally significant is the need to properly train new or incoming legislators on the constitutional rights and obligations of Parliament internal procedures and order of business ethics etc
27
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS19 Adequately-Compensated Research Library and Committee Staff
Support Staff ldquoParliament should be serviced by professional staff independent of the regular public servicerdquo CLHG IPU-GD
Parliamentary support staff in sufficient numbers and with the appropriate professional skills is crucial for an effective institution Parliamentary staff performs duties such as
bull Assisting in bill drafting bull Tracking the status of bills in the legislative process bull Maintaining and in some cases designing web sites bull Producing and drafting documents about the legislature bull Undertaking accounting and various other clerkship duties
High turnover of parliamentary staff requires more money for attracting new competent staff and providing them with the necessary training It is important to ensure that staff is reasonably well compensated to attract good candidates for the job who will retain their jobs longer When vacancies are not rapidly filled parliamentary work can be undermined resulting in misplacement of documents errors and overall inefficiency Parliamentary staff should be independent from other public service offices Their selection promotion and discipline must be clearly defined and reflect merit-based criteria and transparent processes Professional development opportunities and training should be offered to them The longer support staff stay in Parliament the more it benefits the institution especially as it may provide new legislators with the information and support necessary to adapt to their new functions faster
28
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 1 List of Acronyms
Banjul African Charter on Human and Peoplersquos Rights (1986) CEDAW Convention on the Elimination of All Forms of Discrimination
against Women ICERD Convention on the Elimination of All Forms of Racial
Discrimination CLHP Commonwealth Latimer House Principles on the Accountability and Relationship between the Three Branches of Government (2003) CLHG Commonwealth Latimer House Guidelines (1998) CPA Commonwealth Parliamentary Association CPA-Media Parliament and the Media Building an Effective Relationship
CPA (2000) CPA-CP Capetown Principles for an Informed Democracy CPA (2002) CPA-Rec03 Recommendation for an Informed Democracy CPA (2003) CPA-Rec04 Recommendation for Transparent Governance CPA (2004 CSCE Conference on Security and Cooperation in Europe CSCE-CD Copenhagen Document CSCE (1990) CSCE-MD Moscow Document CSCE (1991) ECHR European Convention on Human Rights and Fundamental
Liberties (1951) ECOWAS-P Protocol ASP11202 on Democracy and Good Governance
ECOWAS (2001) IACHR Inter-American Convention on Human Rights (1978) ICCPR International Covenant on Civil and Political Rights (1966) IPU Inter-Parliamentary Union IPU-DD Universal Declaration on Democracy IPU (1997) IPU-GD Guidelines and Duties for the Opposition in Parliament IPU (1999) IPU-Res03 Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World IPU (2003) UPA Union des Parlementaires Africains [African Parliamentary Union] UPA-Res00 Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence Building between Peoples and their Institutions (2000) UNHCHR United Nations High Commissioner for Human Rights Resolution
200047
29
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 2 Bibliography Governmental Documents
bull Commonwealth Latimer House Standards bull Commonwealth Latimer House Guidelines bull Commonwealth Parliamentary Association (CPA) Parliament and the Media
Building an Effective Relationship bull English Bill of Rights 1689 bull Inter-Parliamentary Union (IPU) Guidelines bull ECOWAS Protocol on Democracy and Good Governance Supplementary to the
Protocol Relating to the Mechanism for Conflict Prevention Management Resolution Peacekeeping and Security
bull Protocol on the Privileges and Immunities of the European Communities bull ECPRD Parliamentary Codes of Conduct in Europe (Compilation by the Council
of Europe Parliamentary Assembly) bull IPU Universal Declaration on Democracy bull International Covenant on Civil and Political Rights (ICCPR) bull The African (Banjul) Charter on Human and Peoplersquos Rights bull The Johannesburg Standards National Security Freedom of Expression and
Access to Information bull Document of the Copenhagen Meeting of the Conference on the Human
Dimension of the CSCE 1990 bull Declaration of Principle on Freedom of Expression in Africa bull Union des Parliamentaires Africains on the Role of Parliaments in the
Consolidation of Democracy and Confidence-Building Between the Peoples and their Institutions 23rd Conference in Addis Ababa 24-25 November 2000
bull The Harare Declaration bull IPU Conference of Presiding Officers of National Parliaments bull International Convention on the Elimination of All Forms of Racial
Discrimination bull Convention on the Elimination of All Forms of Discrimination Against Women bull Report of the Ethics Reform Task Force on H Res 168 105th Congress 1st
Session 17 June 1997 (found at httpwwwhousegovethicsethicsreporttxt ) bull Parliamentary Standards and the Wicks Committee Report Standard Note
SNPC2200 24 June 2003 by Ruth Winstone (found at httpwwwparliamentukcommonslibresearchnotessnpc-02200pdf )
bull Committee on Standards in Public Life First Report Cm 2850 Volume 1 11 May 1995 (found at httpwwwarchiveofficial-documentscoukdocumentcm282850285002pdf )
bull Committee on Standards in Public Life Sixth Report Reinforcing Standards Cm 4557 Volume 1 January 2000 (found at httpwwwpublic-standardsgovuk )
bull Committee on Standards in Public Life Eighth Report Cm 5663 Standards of Conduct in the House of Commons November 2002 (found at httpwww-standardsgovukreports8th_reportreporteighthreportpdf
bull African Union Declarations and Decisions
30
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The African Commission Declaration of Principle on Freedom of Expression in Africa
bull United Nations High Commissioner for Human Rights Resolution 200047
Non-Governmental Documents Transparency and Accountability of the Parliament
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Anti-Corruption Commissions Panacea or Real Medicine to Fight Corruption By John Heilbrunn 2004
bull PREM Notes Public Sector No 74 October 2002 Strengthening Oversight by Legislatures (found at httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull PREM Notes Public Sector No63 March 2002 Strengthening Legislatures Implications from Industrial Countries (found at httpwww1worldbankorgpremPREMNotespremnote63pdf )
bull WBI Working Papers Building a Clean Machine Anti-Corruption Coalitions and Sustainable Reforms by Michael Johnston and Sahr J Kpundeh 2002
bull IFES IFES Parliamentary Toolkit Transparency and Accountability Tools for Civil Society
bull PREM Notes Public Sector No59 October 2001 Features and Functions of Supreme Audit Institutions
bull World Bank Institute Improving Governance and Controlling Corruption Towards a Participatory and Action-oriented Approach Grounded on Empirical Rigor October 2001
bull World Bank Towards Transparency in Finance and Governance by Tara Vishwanath and Daniel Kaufman September 6 1999
bull World Bank Institute Pillars of Integrity The Importance of Supreme Audit Institutions in Curbing Corruption by Kenneth M Dye and Rick Stapenhurst 1998
bull Association of Secretaries General of Parliaments (ASGP) Promoting the Work of Parliament Report by Mr Ian Harris Clerk of the House of Representatives of Australia19 Autumn 2000 (found at httpwwwasgpinfodiscussionshtmstudies)
bull USAID Handbook on Legislative Strengthening httpwwwusaidgovour_workdemocracy_and_governancegovhtml
bull Parliamentary Centre Canada Controlling Corruption A Parliamentarianrsquos Handbook httpwwwparlcentcaindex_ephp
bull Parliamentary Centre Canada Parliamentary Accountability and Good Governance httpwwwparlcentcaindex_ephp
19 This report contains a detailed analysis of the answers from a Questionnaire of how the public is provided information about the operation and work of Parliament The review was launched at the Conference of the Association of Secretaries General of Parliaments which was held in Autumn 2000 in Jakarta
31
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Center for Democracy and Governance February 2000 USAID Handbook on Legislative Strengthening
bull Parliamentary Centre Parliamentary Accountability and Good Governance A Parliamentarianrsquos Handbook
bull Parliamentary Centre Forum on Parliamentary Reform bull NEPAD Library Emerging Legislatures in Emerging African Democracies bull Commonwealth Parliamentary Association and World Bank Institute
Recommendations for Transparent Governance Conclusions of a CPA Study Group on Access to Information Accra Ghana 5-9 July 2004
bull GOPAC Parliamentarians Fighting Corruption A Conceptual Overview PCentrefsPCentreSProjectsParliamentary_RelationsGOPACWBI
bull International IDEA Democracy Assessment Questionnaire wwwideaintideas_work14_statedemocracy_assessmentpdf
bull NDI and UNDP Parliaments and Poverty Series Toolkit No1 Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Strengthening the Accountability Process and Parliamentary Reform A Report on the Parliamentary Roundtable Held in Bhurban Pakistan March 1-2 1997
Independence of the Parliament bull NDI Strengthening Legislative Capacity in Legislative-Executive Relations
Paper 6 httpwwwndiorgglobalpgovgovernanceasp bull Venice Commission Opinion on the Draft Proposal for Rules of Procedure of the
Assembly of the Republic of Macedonia by Georg Nolte July 5 2002 bull Venice Commission Report on the Referral of a Law Back to Parliament by the
Head of State November 15 1996 bull AGSP The Role of the Secretary General in the Administration of Parliament
Report by Mr Ugo Zampetti General Secretary of the Chamber of Deputies (Italy) October 2000 Review no 180
bull AGSP Constitutional and Parliamentary Information The Status of Parliamentary Groups
Parliamentary Immunity
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union Part Three Immunity in the European Parliament June 2001
bull Venice Commission Opinion 11995 Report on the Regime of Parliamentary Immunity CDL ndash INF(1996) 007 6496 (found at httpvenicecoeintsitedynamicsN_Opinion_efaspampL=EampOID=1 )
bull Venice Commission Supplementary Opinion on the Revision of the Constitution of Romania October 18 2002
32
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Venice Commission Draft Report ndash The Regime of Parliamentary Immunity April 29 1996
bull Venice Commission Questionnaire on Parliamentary Immunity prepared by Mr GW Maas-Geesteranus June 19 1995
Freedom of Parliamentary Speech
bull AGSP The Immunities of Members of Parliament Report prepared by Mr Robert Myttenaere September 1998
bull AGSP Position of Witnesses before Parliamentary Committees Report prepared by Mr Demaree JB Raval April 1997
Conflict of Interest amp Ethics
bull Parliamentary Affairs A Journal of Comparative Politics Volume 55 No 4 October 2002 Conduct Unbecoming The Regulation of Legislative Ethics in Britain and the United States by Robert Williams
bull Parliamentary Affairs A Journal of Comparative Politics Volume 52 No 3 July 1999 Parliament in the Age of Internet by S Coleman JA Taylor and W Van de Donk
bull European Centre for Parliamentary Research and Documentation (ECPRD) Parliamentary Codes of Conduct in Europe an Overview November 2001
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union June 2001
bull Research Paper Commissioned on behalf of The Committee on Standards in Public Life May 2002 The Regulation of Parliamentary Standards ndash A Comparative Perspective (found at httpwwwpublic-standardsgovukreports8th_reportreportresearchdoc
bull House of Representatives Resolution 168 on the Report of the Ethics Reform Task Force 18 June 1997
bull NDI Accountability Ethics and Transparency in Government Pakistan Study Mission to South Africa June 3 1997
bull NDI Report on Regional Consultative Workshops ndash Ethics Questionnaire August 1998
bull Council of Europe Steering Committee on Local and Regional Democracy (CDLR) Public Ethics at Local Level Model Initiatives Package November 25 2002
bull NDI Legislative Research Series Paper No 4 ndash Legislative Ethics A Comparative Analysis 1999
bull OECD United States Case Study ndash Ethics and Corruption The Management of Ethics and Conduct in the Public Service by Stuart Gilman December 1995
bull OECD Recommendations of the Council on Guidelines for Managing Conflict of Interest in the Public Service June 2003
33
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Sanction and Removal of Legislators bull Venice Commission Comments on the Draft Law of the Chechen Republic on
Elections to the Parliament of the Chechen Republic As Submitted to Referendum by Mr G Nolte March 23 2003
bull Venice Commission Opinion on the Draft Law on the Public Attorney (Ombudsman) of ldquoThe Former Yugoslav Republic of Macedoniardquo March 15 2003
bull Venice Commission Comments on the Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia by Ms Serra Lopes February 28 2003
bull Venice Commission Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia February 2003
bull WBI PREM Notes Public Sector Number 19 April 1999 Using an Ombudsman to oversee Public Officials
bull AGSP The Office of the Parliamentary Ombudsman March 1994 Salaries and Benefits of Legislators
bull AGSP The Social Protection of Parliamentarians Report by Mrs Helene Ponceau General Secretary of the Senate Quaestorrsquos Office [Havana Senate Treasurerrsquos Department] Review No 181 April 2001
Professional Development and Training
bull SADC Parliamentary Forum MPs Orientation Handbook ndash Professional Performance and Development httpwwwsadcpforgaboutindexasp
The Parliament and the Budget Cycle
bull OECD Development Centre Policy Brief No 22 Strengthening Participation in Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD May 2001 OECD Best Practices for Budget Transparency bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and
Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull ASGP The Administrative and Financial Autonomy of Parliamentary Assemblies Report prepared by Michel Couderc (France) adopted at the Moscow Session (September 1998)
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development The Legislature and the Budget by Frederick Stapenhurst 2004 httpwwwworldbankorgwbigovernanceparliament
34
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull WBI Working Papers Series on Contemporary Issues in Parliamentary
Development Parliaments and the PRSP Process by Scott Hubli and Alicia P Mandaville 2004
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull WBI PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull WBI PREM Notes Public Sector Number 74 October 2002 Strengthening Oversight by Legislatures
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull Commonwealth Parliamentary Association (CPA) The Parliamentarian 2002
Issue Two 179 Parliaments and Poverty by Ms Frannie A Lrsquoeautier bull Parliamentary Centre Canada and WBI and CIDA (with support from the
International Development Research Centre) Handbook on Parliamentarians and Policies to Reduce Poverty May 2001
bull Parliamentary Centre Cambodia Focus Group on Parliamentrsquos Role in the Budget Process Analysis
bull Parliamentary Centre Indicators of Parliamentary Performance in the Budget Process
bull The International Budget Project Legislatures and Budget Oversight httpwwwinternationalbudgetorgthemesLEGindexhtm
bull NDI Legislatures and the Budget Process An International Survey 2003 httpwwwndiorgglobalpgovgovernanceasp
bull NDI Parliaments and Poverty Series Toolkit No1 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Parliaments and Poverty Series Toolkit No2 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives
35
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull NDI Parliaments and Poverty Series Toolkit No3 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative Public Outreach on Poverty Issues
bull UNDP IPU WBI and UNIFEM Parliament The Budget and Gender httpwwwundporgdpapublicationsgovernancehtml
bull IMF Finance amp Development Magazine December 2002 Volume 39 Number 4 A Bigger Role for Legislators
bull Case Study PRSPs and Parliament by Stephen Langdon bull Ministry of Foreign Affairs Netherlands March 2002 Economics and Finance
(b) Budget Impact Assessments (Gender Budgeting) bull Cagatay N M Keklik R Lal and J Lang (2000) ldquoBudgets As if People
Mattered Democratizing Macroeconomic Policiesrdquo SEPED Conference Paper Series Number 4 May
bull Navarro Z (1998) ldquoParticipation Democratizing Practices and the Formulation of a Modern Policy ndash the Case of ldquoParticipatory Budgetingrdquo in Porto Alegre Brazil (1989-1998) Development Sage London Volume 41 number 3 September
Representative and Inclusive Parliament
bull Commonwealth Parliamentary Association (CPA) Commonwealth Women Parliamentarians Into The Democratic Mainstream August 2002
bull CPA EnGendering Development and Democracy May 2004 bull IPU and UNDP Guidelines on the Rights and Duties of the Opposition in
Parliament May 19 1999 (Unanimously adopted by the participants at the Parliamentary Seminar on Relations Between Majority and Minority Parties in African Parliaments Libreville (Gabon) 17-19 May 1999)
bull AWEPA European Parliamentarians for Africa OPS7 Parliamentary Gender Handbook South Africa 2001 (found at httpwwwawepaorgdownloadsOPS07-_Parliamentary_Gender_Handbook-_South_Africapdf
Free Elections of Legislators
bull Venice Commission Opinion 2502003 Report on Electoral Systems - Overview of Available Solutions and Selection Criteria Adopted by the Venice Commission at its 57th Plenary Session CDL ndash AD(2004)003 (found at httpvenicecoeintdocs2004CDL-AD(2004)003-easp )
bull Venice Commission Opinion 2392003 Comments on the Draft Law of the Chechen Republic on Elections to the Parliament of the Chechen Republic CDL (2003)021rev (found at httpvenicecoeintdocs2003CDL(2003)021rev-easp )
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Resolution 1320 (2003) httpassemblycoeintDocumentsAdoptedTextTA03ERES1320htm
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Document 9267 15 October 2001
36
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
should be able to design its own budget based on its needs and negotiate with the Executive the amount allocated to it from the national budget There should be sufficient autonomy over these finances by Parliament to protect the institutional independence and integrity It has been suggested that an all-party committee of members of Parliament should review and administer the parliamentary budget Moreover the parliamentary budget should not be subject to amendment by the Executive15 It is the Parliamentary budget that inter alia funds training of parliamentary support staff ensures that library and research facilities are properly and adequately equipped guarantees that legislators have the necessary support staff to undertake their functions and funds security services PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
Parliamentary Conduct Legislators are required to exhibit and promote high standards of professional conduct in order to reinforce public confidence in Parliament which is fundamental to its independence and legitimacy in a democratic society ANTICORRUPTION TREATIES CLHG CLHP
The CLHG outline three components for a comprehensive ethical framework applicable to Parliament
bull Conflict of interest rules and codes of conduct requiring disclosure of interests bull Access to ethics advisors and bull Restrictions on lobbying and interest group influence
Ethical professional conduct requires legislators not only to conform to high standards of ethics in practice but also to avoid the appearance of impropriety The need for financial transparency by public officials has increasingly gained acceptance as anti-corruption issues have become global Legislatorsrsquo professional and private conduct must be subject to some system of internal codified rules regulating standards of behavior and making disclosure of personal income and assets mandatory Other professions have codes of ethics regulating membersrsquo behavior for example doctors and lawyers Ethical rules should include conflict of interest rules outlining incompatible professional activities or interests such as holding another governmental office and restricting certain ventures such as participation or shareholding in corporations These rules should also require the submission to an independent oversight authority of disclosures of income assets and interests These disclosures should then be publicized for broader ethical monitoring by the public Disclosure of interests will go a long way in establishing institutional integrity trust and respect by the public and effective discharge of duties on the part of legislators as they are fully conscious of the ethical parameters which govern them as a profession 15 Commonwealth Latimer House Guidelines Number VII6
23
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
Discipline Just as other professionals have quasi-judicial bodies to regulate discipline and even remove members there should also be an internal or external authority to sanction legislators conduct investigations and hearings and adopt findings and conclusions There should also be a clear appeals process available to any member aggrieved by a decision CLHG
ldquoThe Committee recommends
bull The House should appoint a person of independent standing who should have a degree of tenure and not be a career member of the House of Commons staff as Parliamentary Commissioner for Standards
bull The Commissioners should have independent discretion to decide whether or not a complaint merits investigation or to initiate an investigationrdquo Recommendations of Committee on Standards in Public Life First Report16
Just as any other citizen legislators should be bound by the law In cases when legislators commit acts contrary to the laws and regulations they expose themselves to disciplinary action and prosecution Moreover there are special conditions only for the status of being public servants that they must observe such as compliance of high standards of ethics assets disclosure and conflict of interest rules There must be a clear system of sanctions for non-compliance with the laws and regulations The disciplinary process in representative bodies is a very sensitive one It should not be used to punish the opposition or dissidents In this sense the existence of an objective internal or external body to sanction legislators is essential to the proper operation of the system An additional problem represents the immunity that all legislators should have The immunity is a protection to ensure that legislators can perform their duties without interference it should not however be used as an excuse to avoid sanctions for common misconducts or crimes PTAS15 Parliamentary Immunity
Immunity Legislators shall enjoy personal immunity from civil suits and criminal prosecution for acts and omissions in the exercise of their functions CLHG ECOWAS-P IPU-GD
Legislators should enjoy some degree of immunity from prosecution or civil suit for acts and omissions in the exercise of their functions However no one should be exempted from accountability The requirements of parliamentary independence from political institutional and societal forces must be balanced against those of public accountability
16 These recommendations were implemented by the House of Commons England A Standing Order setting up the office of Parliamentary Commissioner for Standards was set up on 6 November 1995
24
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Consequently the immunity regime should be strictly regulated especially through the recognition of
bull Clear limited scope of immunity (for example it should not cover acts performed outside of office nor common crimes) and
bull Possibility of waivers in clearly defined cases and following a transparent procedure
Regarding the scope of parliamentary immunity its historical roots lie with the freedom of speech of legislators as recognized in the British and American Bills of Rights The underlying justification for immunity is that it allows legislators to fulfill their mandate without fear of retaliatory measures on account of their positions or votes Legislators must therefore be protected against arrest and detention or civil and criminal prosecution for any acts performed or words spoken while in office or in the conduct of parliamentary affairs Legislators should not be subject to any form of inquiry detention or legal proceedings in respect of opinions expressed or votes cast by them in the performance of their duties Immunity should not be limited to acts or speech within the parliamentary facilities Rather immunity must be interpreted as broadly as possible For example the members of the European Parliament enjoy immunity in their own States in the territories of other Member States and whilst traveling to and from the place of the meeting of the European Parliament However immunity should not be absolute The immunity regime applicable to legislators should provide for the possibility of waiving this immunity in limited circumstances in the interests of justice Immunity is not a privilege benefiting individual members but rather a guarantee protecting the independence of Parliament and its members in their relations with other governmental and private bodies17 Parliamentary privileges must be clearly defined and established by law These immunities are not meant to place legislators above the law but to protect them from possible groundless proceedings or accusations that may be politically motivated The grounds and terms for lifting of immunity must be clearly specified by law so that this may only occur following a decision taken by a competent body on a non-partisan basis PTAS16 Parliamentary and Public Access to Information
Access to Information Legislators as well as the general public must have access to accurate timely information and data including legislation parliamentary procedures governmental data and relevant research data Banjul CLHG CLHP CPA-Media CPA-CP CPA-Rec03 CPA-Rec04 CSCE-CD ECHR IACHR ICCPR IPU-DD IPU-GD IPU-Res03 UNHCHR
17 ECPRD Parliamentary Codes of Conduct in Europe by Veronica Williams November 2001
25
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
The free flow of information is essential in a democratic society Access to information should not only be viewed in relation to the media and civil societyrsquos right to access governmental documents but also in relation to the legislatorsrsquo right to access relevant research and information from the government and other sources Access to information can be facilitated by the use of databases networks and information technology in general The media should be free to report the activities of Parliament and the public should be able to attend parliamentary meetings and Committee sittings where appropriate The CPA encouraged Parliaments ldquoto provide live coverage of their proceedings on a dedicated channel andor onlinerdquo in its Recommendations for an Informed Democracy The environment should be made conducive for civil society organizations the public and multiple stakeholders to exchange information with legislators to enable Parliament to effectively discharge its duties of oversight policy making law making representation and recruitment This could be achieved through the establishment of a public information office within Parliament Bills and Acts of Parliament must be published regularly and should be freely available to the public Indeed the CSCE Copenhagen Document notes that ldquolegislation adopted at the end of a public procedure and regulations will be published that being the condition of their applicability Those texts will be accessible to everyonerdquo In its recommendations following a conference on ldquoWhat Parliament and Legislators Can Dordquo the CPA noted that access should be granted ldquoto basic information and documents produced by the parliamentary process such as access to parliamentary libraries the provision of on-line information and the distribution of Parliamentary speeches promptly after delivery in the Houserdquo18 The type of information available to the public and to legislators should include
bull Attendance and voting records bull Registers of membersrsquo interests bull Bills and Acts of Parliament bull Procedural rules bull Codes of Conduct
Legislators should also have access to parliamentary archives as well as all necessary information and data from the government The IPU Guidelines note that ldquolegislators from the majority and the opposition alike are equally entitled to receive in a timely manner the same information from the governmentrdquo
18 Parliament and The Media Building an Effective Relationship 15-18 February 2000 [CPA-Media]
26
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS17 Adequate Facilities Equipment and Technology
Adequate Infrastructure Parliament should have at a minimum the necessary infrastructure and technical assistance including research capacity adequate facilities and equipment to enable it to carry out its basic democratic functions CPA-Rec03 CPA-Rec04 IPU-GD
The working conditions of legislators must be adequate and reflect the importance of Parliament as a key democratic institution Parliament must be housed in one or more buildings with the necessary equipment and office space for legislators and their staff including tables chairs and all other necessary office equipment Adequate resources must be allocated to Parliament andor legislators and support services to maintain and equip their facilities Some of the facilities and services which can be reasonably expected to be available to legislators include
bull Offices bull Secretarial services (general andor individual) bull Library and archive facilities bull Research services (to which requests for information can be submitted) and bull Information technology
In its 2002 Report the CPA Study Group highlights the importance of information technology including ldquoimproved networking between legislators and constituents among legislators between legislators and Parliament and better information sharing and record keepingrdquo Information technology can also facilitate access to information and best practices on the broad range of issues which fall under the purview of parliament including human rights socioeconomic rights and gender issues The use of information technology could include the development of intra-parliament networks and of searchable public databases on parliamentary activity as well as the increased access to outside information for legislators PTAS18 Professional Training for Legislators and Staff
Adequate Training Resources must be allocated to training programs both for new legislators and for the continuing education of sitting legislators These programs must be geared towards developing the skills required by parliamentary functions as well as exposing legislators to substantive issues and developments affecting their legislative oversight and representative functions CLHG CPA-CP
Training should be geared towards providing legislators with the specific skills and knowledge necessary to fulfill their parliamentary functions Legislators just like other professionals need continuing education programs and professional development to keep them updated on emerging democracy and governance trends Equally significant is the need to properly train new or incoming legislators on the constitutional rights and obligations of Parliament internal procedures and order of business ethics etc
27
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS19 Adequately-Compensated Research Library and Committee Staff
Support Staff ldquoParliament should be serviced by professional staff independent of the regular public servicerdquo CLHG IPU-GD
Parliamentary support staff in sufficient numbers and with the appropriate professional skills is crucial for an effective institution Parliamentary staff performs duties such as
bull Assisting in bill drafting bull Tracking the status of bills in the legislative process bull Maintaining and in some cases designing web sites bull Producing and drafting documents about the legislature bull Undertaking accounting and various other clerkship duties
High turnover of parliamentary staff requires more money for attracting new competent staff and providing them with the necessary training It is important to ensure that staff is reasonably well compensated to attract good candidates for the job who will retain their jobs longer When vacancies are not rapidly filled parliamentary work can be undermined resulting in misplacement of documents errors and overall inefficiency Parliamentary staff should be independent from other public service offices Their selection promotion and discipline must be clearly defined and reflect merit-based criteria and transparent processes Professional development opportunities and training should be offered to them The longer support staff stay in Parliament the more it benefits the institution especially as it may provide new legislators with the information and support necessary to adapt to their new functions faster
28
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 1 List of Acronyms
Banjul African Charter on Human and Peoplersquos Rights (1986) CEDAW Convention on the Elimination of All Forms of Discrimination
against Women ICERD Convention on the Elimination of All Forms of Racial
Discrimination CLHP Commonwealth Latimer House Principles on the Accountability and Relationship between the Three Branches of Government (2003) CLHG Commonwealth Latimer House Guidelines (1998) CPA Commonwealth Parliamentary Association CPA-Media Parliament and the Media Building an Effective Relationship
CPA (2000) CPA-CP Capetown Principles for an Informed Democracy CPA (2002) CPA-Rec03 Recommendation for an Informed Democracy CPA (2003) CPA-Rec04 Recommendation for Transparent Governance CPA (2004 CSCE Conference on Security and Cooperation in Europe CSCE-CD Copenhagen Document CSCE (1990) CSCE-MD Moscow Document CSCE (1991) ECHR European Convention on Human Rights and Fundamental
Liberties (1951) ECOWAS-P Protocol ASP11202 on Democracy and Good Governance
ECOWAS (2001) IACHR Inter-American Convention on Human Rights (1978) ICCPR International Covenant on Civil and Political Rights (1966) IPU Inter-Parliamentary Union IPU-DD Universal Declaration on Democracy IPU (1997) IPU-GD Guidelines and Duties for the Opposition in Parliament IPU (1999) IPU-Res03 Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World IPU (2003) UPA Union des Parlementaires Africains [African Parliamentary Union] UPA-Res00 Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence Building between Peoples and their Institutions (2000) UNHCHR United Nations High Commissioner for Human Rights Resolution
200047
29
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 2 Bibliography Governmental Documents
bull Commonwealth Latimer House Standards bull Commonwealth Latimer House Guidelines bull Commonwealth Parliamentary Association (CPA) Parliament and the Media
Building an Effective Relationship bull English Bill of Rights 1689 bull Inter-Parliamentary Union (IPU) Guidelines bull ECOWAS Protocol on Democracy and Good Governance Supplementary to the
Protocol Relating to the Mechanism for Conflict Prevention Management Resolution Peacekeeping and Security
bull Protocol on the Privileges and Immunities of the European Communities bull ECPRD Parliamentary Codes of Conduct in Europe (Compilation by the Council
of Europe Parliamentary Assembly) bull IPU Universal Declaration on Democracy bull International Covenant on Civil and Political Rights (ICCPR) bull The African (Banjul) Charter on Human and Peoplersquos Rights bull The Johannesburg Standards National Security Freedom of Expression and
Access to Information bull Document of the Copenhagen Meeting of the Conference on the Human
Dimension of the CSCE 1990 bull Declaration of Principle on Freedom of Expression in Africa bull Union des Parliamentaires Africains on the Role of Parliaments in the
Consolidation of Democracy and Confidence-Building Between the Peoples and their Institutions 23rd Conference in Addis Ababa 24-25 November 2000
bull The Harare Declaration bull IPU Conference of Presiding Officers of National Parliaments bull International Convention on the Elimination of All Forms of Racial
Discrimination bull Convention on the Elimination of All Forms of Discrimination Against Women bull Report of the Ethics Reform Task Force on H Res 168 105th Congress 1st
Session 17 June 1997 (found at httpwwwhousegovethicsethicsreporttxt ) bull Parliamentary Standards and the Wicks Committee Report Standard Note
SNPC2200 24 June 2003 by Ruth Winstone (found at httpwwwparliamentukcommonslibresearchnotessnpc-02200pdf )
bull Committee on Standards in Public Life First Report Cm 2850 Volume 1 11 May 1995 (found at httpwwwarchiveofficial-documentscoukdocumentcm282850285002pdf )
bull Committee on Standards in Public Life Sixth Report Reinforcing Standards Cm 4557 Volume 1 January 2000 (found at httpwwwpublic-standardsgovuk )
bull Committee on Standards in Public Life Eighth Report Cm 5663 Standards of Conduct in the House of Commons November 2002 (found at httpwww-standardsgovukreports8th_reportreporteighthreportpdf
bull African Union Declarations and Decisions
30
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The African Commission Declaration of Principle on Freedom of Expression in Africa
bull United Nations High Commissioner for Human Rights Resolution 200047
Non-Governmental Documents Transparency and Accountability of the Parliament
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Anti-Corruption Commissions Panacea or Real Medicine to Fight Corruption By John Heilbrunn 2004
bull PREM Notes Public Sector No 74 October 2002 Strengthening Oversight by Legislatures (found at httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull PREM Notes Public Sector No63 March 2002 Strengthening Legislatures Implications from Industrial Countries (found at httpwww1worldbankorgpremPREMNotespremnote63pdf )
bull WBI Working Papers Building a Clean Machine Anti-Corruption Coalitions and Sustainable Reforms by Michael Johnston and Sahr J Kpundeh 2002
bull IFES IFES Parliamentary Toolkit Transparency and Accountability Tools for Civil Society
bull PREM Notes Public Sector No59 October 2001 Features and Functions of Supreme Audit Institutions
bull World Bank Institute Improving Governance and Controlling Corruption Towards a Participatory and Action-oriented Approach Grounded on Empirical Rigor October 2001
bull World Bank Towards Transparency in Finance and Governance by Tara Vishwanath and Daniel Kaufman September 6 1999
bull World Bank Institute Pillars of Integrity The Importance of Supreme Audit Institutions in Curbing Corruption by Kenneth M Dye and Rick Stapenhurst 1998
bull Association of Secretaries General of Parliaments (ASGP) Promoting the Work of Parliament Report by Mr Ian Harris Clerk of the House of Representatives of Australia19 Autumn 2000 (found at httpwwwasgpinfodiscussionshtmstudies)
bull USAID Handbook on Legislative Strengthening httpwwwusaidgovour_workdemocracy_and_governancegovhtml
bull Parliamentary Centre Canada Controlling Corruption A Parliamentarianrsquos Handbook httpwwwparlcentcaindex_ephp
bull Parliamentary Centre Canada Parliamentary Accountability and Good Governance httpwwwparlcentcaindex_ephp
19 This report contains a detailed analysis of the answers from a Questionnaire of how the public is provided information about the operation and work of Parliament The review was launched at the Conference of the Association of Secretaries General of Parliaments which was held in Autumn 2000 in Jakarta
31
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Center for Democracy and Governance February 2000 USAID Handbook on Legislative Strengthening
bull Parliamentary Centre Parliamentary Accountability and Good Governance A Parliamentarianrsquos Handbook
bull Parliamentary Centre Forum on Parliamentary Reform bull NEPAD Library Emerging Legislatures in Emerging African Democracies bull Commonwealth Parliamentary Association and World Bank Institute
Recommendations for Transparent Governance Conclusions of a CPA Study Group on Access to Information Accra Ghana 5-9 July 2004
bull GOPAC Parliamentarians Fighting Corruption A Conceptual Overview PCentrefsPCentreSProjectsParliamentary_RelationsGOPACWBI
bull International IDEA Democracy Assessment Questionnaire wwwideaintideas_work14_statedemocracy_assessmentpdf
bull NDI and UNDP Parliaments and Poverty Series Toolkit No1 Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Strengthening the Accountability Process and Parliamentary Reform A Report on the Parliamentary Roundtable Held in Bhurban Pakistan March 1-2 1997
Independence of the Parliament bull NDI Strengthening Legislative Capacity in Legislative-Executive Relations
Paper 6 httpwwwndiorgglobalpgovgovernanceasp bull Venice Commission Opinion on the Draft Proposal for Rules of Procedure of the
Assembly of the Republic of Macedonia by Georg Nolte July 5 2002 bull Venice Commission Report on the Referral of a Law Back to Parliament by the
Head of State November 15 1996 bull AGSP The Role of the Secretary General in the Administration of Parliament
Report by Mr Ugo Zampetti General Secretary of the Chamber of Deputies (Italy) October 2000 Review no 180
bull AGSP Constitutional and Parliamentary Information The Status of Parliamentary Groups
Parliamentary Immunity
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union Part Three Immunity in the European Parliament June 2001
bull Venice Commission Opinion 11995 Report on the Regime of Parliamentary Immunity CDL ndash INF(1996) 007 6496 (found at httpvenicecoeintsitedynamicsN_Opinion_efaspampL=EampOID=1 )
bull Venice Commission Supplementary Opinion on the Revision of the Constitution of Romania October 18 2002
32
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Venice Commission Draft Report ndash The Regime of Parliamentary Immunity April 29 1996
bull Venice Commission Questionnaire on Parliamentary Immunity prepared by Mr GW Maas-Geesteranus June 19 1995
Freedom of Parliamentary Speech
bull AGSP The Immunities of Members of Parliament Report prepared by Mr Robert Myttenaere September 1998
bull AGSP Position of Witnesses before Parliamentary Committees Report prepared by Mr Demaree JB Raval April 1997
Conflict of Interest amp Ethics
bull Parliamentary Affairs A Journal of Comparative Politics Volume 55 No 4 October 2002 Conduct Unbecoming The Regulation of Legislative Ethics in Britain and the United States by Robert Williams
bull Parliamentary Affairs A Journal of Comparative Politics Volume 52 No 3 July 1999 Parliament in the Age of Internet by S Coleman JA Taylor and W Van de Donk
bull European Centre for Parliamentary Research and Documentation (ECPRD) Parliamentary Codes of Conduct in Europe an Overview November 2001
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union June 2001
bull Research Paper Commissioned on behalf of The Committee on Standards in Public Life May 2002 The Regulation of Parliamentary Standards ndash A Comparative Perspective (found at httpwwwpublic-standardsgovukreports8th_reportreportresearchdoc
bull House of Representatives Resolution 168 on the Report of the Ethics Reform Task Force 18 June 1997
bull NDI Accountability Ethics and Transparency in Government Pakistan Study Mission to South Africa June 3 1997
bull NDI Report on Regional Consultative Workshops ndash Ethics Questionnaire August 1998
bull Council of Europe Steering Committee on Local and Regional Democracy (CDLR) Public Ethics at Local Level Model Initiatives Package November 25 2002
bull NDI Legislative Research Series Paper No 4 ndash Legislative Ethics A Comparative Analysis 1999
bull OECD United States Case Study ndash Ethics and Corruption The Management of Ethics and Conduct in the Public Service by Stuart Gilman December 1995
bull OECD Recommendations of the Council on Guidelines for Managing Conflict of Interest in the Public Service June 2003
33
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Sanction and Removal of Legislators bull Venice Commission Comments on the Draft Law of the Chechen Republic on
Elections to the Parliament of the Chechen Republic As Submitted to Referendum by Mr G Nolte March 23 2003
bull Venice Commission Opinion on the Draft Law on the Public Attorney (Ombudsman) of ldquoThe Former Yugoslav Republic of Macedoniardquo March 15 2003
bull Venice Commission Comments on the Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia by Ms Serra Lopes February 28 2003
bull Venice Commission Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia February 2003
bull WBI PREM Notes Public Sector Number 19 April 1999 Using an Ombudsman to oversee Public Officials
bull AGSP The Office of the Parliamentary Ombudsman March 1994 Salaries and Benefits of Legislators
bull AGSP The Social Protection of Parliamentarians Report by Mrs Helene Ponceau General Secretary of the Senate Quaestorrsquos Office [Havana Senate Treasurerrsquos Department] Review No 181 April 2001
Professional Development and Training
bull SADC Parliamentary Forum MPs Orientation Handbook ndash Professional Performance and Development httpwwwsadcpforgaboutindexasp
The Parliament and the Budget Cycle
bull OECD Development Centre Policy Brief No 22 Strengthening Participation in Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD May 2001 OECD Best Practices for Budget Transparency bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and
Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull ASGP The Administrative and Financial Autonomy of Parliamentary Assemblies Report prepared by Michel Couderc (France) adopted at the Moscow Session (September 1998)
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development The Legislature and the Budget by Frederick Stapenhurst 2004 httpwwwworldbankorgwbigovernanceparliament
34
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull WBI Working Papers Series on Contemporary Issues in Parliamentary
Development Parliaments and the PRSP Process by Scott Hubli and Alicia P Mandaville 2004
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull WBI PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull WBI PREM Notes Public Sector Number 74 October 2002 Strengthening Oversight by Legislatures
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull Commonwealth Parliamentary Association (CPA) The Parliamentarian 2002
Issue Two 179 Parliaments and Poverty by Ms Frannie A Lrsquoeautier bull Parliamentary Centre Canada and WBI and CIDA (with support from the
International Development Research Centre) Handbook on Parliamentarians and Policies to Reduce Poverty May 2001
bull Parliamentary Centre Cambodia Focus Group on Parliamentrsquos Role in the Budget Process Analysis
bull Parliamentary Centre Indicators of Parliamentary Performance in the Budget Process
bull The International Budget Project Legislatures and Budget Oversight httpwwwinternationalbudgetorgthemesLEGindexhtm
bull NDI Legislatures and the Budget Process An International Survey 2003 httpwwwndiorgglobalpgovgovernanceasp
bull NDI Parliaments and Poverty Series Toolkit No1 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Parliaments and Poverty Series Toolkit No2 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives
35
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull NDI Parliaments and Poverty Series Toolkit No3 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative Public Outreach on Poverty Issues
bull UNDP IPU WBI and UNIFEM Parliament The Budget and Gender httpwwwundporgdpapublicationsgovernancehtml
bull IMF Finance amp Development Magazine December 2002 Volume 39 Number 4 A Bigger Role for Legislators
bull Case Study PRSPs and Parliament by Stephen Langdon bull Ministry of Foreign Affairs Netherlands March 2002 Economics and Finance
(b) Budget Impact Assessments (Gender Budgeting) bull Cagatay N M Keklik R Lal and J Lang (2000) ldquoBudgets As if People
Mattered Democratizing Macroeconomic Policiesrdquo SEPED Conference Paper Series Number 4 May
bull Navarro Z (1998) ldquoParticipation Democratizing Practices and the Formulation of a Modern Policy ndash the Case of ldquoParticipatory Budgetingrdquo in Porto Alegre Brazil (1989-1998) Development Sage London Volume 41 number 3 September
Representative and Inclusive Parliament
bull Commonwealth Parliamentary Association (CPA) Commonwealth Women Parliamentarians Into The Democratic Mainstream August 2002
bull CPA EnGendering Development and Democracy May 2004 bull IPU and UNDP Guidelines on the Rights and Duties of the Opposition in
Parliament May 19 1999 (Unanimously adopted by the participants at the Parliamentary Seminar on Relations Between Majority and Minority Parties in African Parliaments Libreville (Gabon) 17-19 May 1999)
bull AWEPA European Parliamentarians for Africa OPS7 Parliamentary Gender Handbook South Africa 2001 (found at httpwwwawepaorgdownloadsOPS07-_Parliamentary_Gender_Handbook-_South_Africapdf
Free Elections of Legislators
bull Venice Commission Opinion 2502003 Report on Electoral Systems - Overview of Available Solutions and Selection Criteria Adopted by the Venice Commission at its 57th Plenary Session CDL ndash AD(2004)003 (found at httpvenicecoeintdocs2004CDL-AD(2004)003-easp )
bull Venice Commission Opinion 2392003 Comments on the Draft Law of the Chechen Republic on Elections to the Parliament of the Chechen Republic CDL (2003)021rev (found at httpvenicecoeintdocs2003CDL(2003)021rev-easp )
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Resolution 1320 (2003) httpassemblycoeintDocumentsAdoptedTextTA03ERES1320htm
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Document 9267 15 October 2001
36
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
Discipline Just as other professionals have quasi-judicial bodies to regulate discipline and even remove members there should also be an internal or external authority to sanction legislators conduct investigations and hearings and adopt findings and conclusions There should also be a clear appeals process available to any member aggrieved by a decision CLHG
ldquoThe Committee recommends
bull The House should appoint a person of independent standing who should have a degree of tenure and not be a career member of the House of Commons staff as Parliamentary Commissioner for Standards
bull The Commissioners should have independent discretion to decide whether or not a complaint merits investigation or to initiate an investigationrdquo Recommendations of Committee on Standards in Public Life First Report16
Just as any other citizen legislators should be bound by the law In cases when legislators commit acts contrary to the laws and regulations they expose themselves to disciplinary action and prosecution Moreover there are special conditions only for the status of being public servants that they must observe such as compliance of high standards of ethics assets disclosure and conflict of interest rules There must be a clear system of sanctions for non-compliance with the laws and regulations The disciplinary process in representative bodies is a very sensitive one It should not be used to punish the opposition or dissidents In this sense the existence of an objective internal or external body to sanction legislators is essential to the proper operation of the system An additional problem represents the immunity that all legislators should have The immunity is a protection to ensure that legislators can perform their duties without interference it should not however be used as an excuse to avoid sanctions for common misconducts or crimes PTAS15 Parliamentary Immunity
Immunity Legislators shall enjoy personal immunity from civil suits and criminal prosecution for acts and omissions in the exercise of their functions CLHG ECOWAS-P IPU-GD
Legislators should enjoy some degree of immunity from prosecution or civil suit for acts and omissions in the exercise of their functions However no one should be exempted from accountability The requirements of parliamentary independence from political institutional and societal forces must be balanced against those of public accountability
16 These recommendations were implemented by the House of Commons England A Standing Order setting up the office of Parliamentary Commissioner for Standards was set up on 6 November 1995
24
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Consequently the immunity regime should be strictly regulated especially through the recognition of
bull Clear limited scope of immunity (for example it should not cover acts performed outside of office nor common crimes) and
bull Possibility of waivers in clearly defined cases and following a transparent procedure
Regarding the scope of parliamentary immunity its historical roots lie with the freedom of speech of legislators as recognized in the British and American Bills of Rights The underlying justification for immunity is that it allows legislators to fulfill their mandate without fear of retaliatory measures on account of their positions or votes Legislators must therefore be protected against arrest and detention or civil and criminal prosecution for any acts performed or words spoken while in office or in the conduct of parliamentary affairs Legislators should not be subject to any form of inquiry detention or legal proceedings in respect of opinions expressed or votes cast by them in the performance of their duties Immunity should not be limited to acts or speech within the parliamentary facilities Rather immunity must be interpreted as broadly as possible For example the members of the European Parliament enjoy immunity in their own States in the territories of other Member States and whilst traveling to and from the place of the meeting of the European Parliament However immunity should not be absolute The immunity regime applicable to legislators should provide for the possibility of waiving this immunity in limited circumstances in the interests of justice Immunity is not a privilege benefiting individual members but rather a guarantee protecting the independence of Parliament and its members in their relations with other governmental and private bodies17 Parliamentary privileges must be clearly defined and established by law These immunities are not meant to place legislators above the law but to protect them from possible groundless proceedings or accusations that may be politically motivated The grounds and terms for lifting of immunity must be clearly specified by law so that this may only occur following a decision taken by a competent body on a non-partisan basis PTAS16 Parliamentary and Public Access to Information
Access to Information Legislators as well as the general public must have access to accurate timely information and data including legislation parliamentary procedures governmental data and relevant research data Banjul CLHG CLHP CPA-Media CPA-CP CPA-Rec03 CPA-Rec04 CSCE-CD ECHR IACHR ICCPR IPU-DD IPU-GD IPU-Res03 UNHCHR
17 ECPRD Parliamentary Codes of Conduct in Europe by Veronica Williams November 2001
25
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
The free flow of information is essential in a democratic society Access to information should not only be viewed in relation to the media and civil societyrsquos right to access governmental documents but also in relation to the legislatorsrsquo right to access relevant research and information from the government and other sources Access to information can be facilitated by the use of databases networks and information technology in general The media should be free to report the activities of Parliament and the public should be able to attend parliamentary meetings and Committee sittings where appropriate The CPA encouraged Parliaments ldquoto provide live coverage of their proceedings on a dedicated channel andor onlinerdquo in its Recommendations for an Informed Democracy The environment should be made conducive for civil society organizations the public and multiple stakeholders to exchange information with legislators to enable Parliament to effectively discharge its duties of oversight policy making law making representation and recruitment This could be achieved through the establishment of a public information office within Parliament Bills and Acts of Parliament must be published regularly and should be freely available to the public Indeed the CSCE Copenhagen Document notes that ldquolegislation adopted at the end of a public procedure and regulations will be published that being the condition of their applicability Those texts will be accessible to everyonerdquo In its recommendations following a conference on ldquoWhat Parliament and Legislators Can Dordquo the CPA noted that access should be granted ldquoto basic information and documents produced by the parliamentary process such as access to parliamentary libraries the provision of on-line information and the distribution of Parliamentary speeches promptly after delivery in the Houserdquo18 The type of information available to the public and to legislators should include
bull Attendance and voting records bull Registers of membersrsquo interests bull Bills and Acts of Parliament bull Procedural rules bull Codes of Conduct
Legislators should also have access to parliamentary archives as well as all necessary information and data from the government The IPU Guidelines note that ldquolegislators from the majority and the opposition alike are equally entitled to receive in a timely manner the same information from the governmentrdquo
18 Parliament and The Media Building an Effective Relationship 15-18 February 2000 [CPA-Media]
26
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS17 Adequate Facilities Equipment and Technology
Adequate Infrastructure Parliament should have at a minimum the necessary infrastructure and technical assistance including research capacity adequate facilities and equipment to enable it to carry out its basic democratic functions CPA-Rec03 CPA-Rec04 IPU-GD
The working conditions of legislators must be adequate and reflect the importance of Parliament as a key democratic institution Parliament must be housed in one or more buildings with the necessary equipment and office space for legislators and their staff including tables chairs and all other necessary office equipment Adequate resources must be allocated to Parliament andor legislators and support services to maintain and equip their facilities Some of the facilities and services which can be reasonably expected to be available to legislators include
bull Offices bull Secretarial services (general andor individual) bull Library and archive facilities bull Research services (to which requests for information can be submitted) and bull Information technology
In its 2002 Report the CPA Study Group highlights the importance of information technology including ldquoimproved networking between legislators and constituents among legislators between legislators and Parliament and better information sharing and record keepingrdquo Information technology can also facilitate access to information and best practices on the broad range of issues which fall under the purview of parliament including human rights socioeconomic rights and gender issues The use of information technology could include the development of intra-parliament networks and of searchable public databases on parliamentary activity as well as the increased access to outside information for legislators PTAS18 Professional Training for Legislators and Staff
Adequate Training Resources must be allocated to training programs both for new legislators and for the continuing education of sitting legislators These programs must be geared towards developing the skills required by parliamentary functions as well as exposing legislators to substantive issues and developments affecting their legislative oversight and representative functions CLHG CPA-CP
Training should be geared towards providing legislators with the specific skills and knowledge necessary to fulfill their parliamentary functions Legislators just like other professionals need continuing education programs and professional development to keep them updated on emerging democracy and governance trends Equally significant is the need to properly train new or incoming legislators on the constitutional rights and obligations of Parliament internal procedures and order of business ethics etc
27
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS19 Adequately-Compensated Research Library and Committee Staff
Support Staff ldquoParliament should be serviced by professional staff independent of the regular public servicerdquo CLHG IPU-GD
Parliamentary support staff in sufficient numbers and with the appropriate professional skills is crucial for an effective institution Parliamentary staff performs duties such as
bull Assisting in bill drafting bull Tracking the status of bills in the legislative process bull Maintaining and in some cases designing web sites bull Producing and drafting documents about the legislature bull Undertaking accounting and various other clerkship duties
High turnover of parliamentary staff requires more money for attracting new competent staff and providing them with the necessary training It is important to ensure that staff is reasonably well compensated to attract good candidates for the job who will retain their jobs longer When vacancies are not rapidly filled parliamentary work can be undermined resulting in misplacement of documents errors and overall inefficiency Parliamentary staff should be independent from other public service offices Their selection promotion and discipline must be clearly defined and reflect merit-based criteria and transparent processes Professional development opportunities and training should be offered to them The longer support staff stay in Parliament the more it benefits the institution especially as it may provide new legislators with the information and support necessary to adapt to their new functions faster
28
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 1 List of Acronyms
Banjul African Charter on Human and Peoplersquos Rights (1986) CEDAW Convention on the Elimination of All Forms of Discrimination
against Women ICERD Convention on the Elimination of All Forms of Racial
Discrimination CLHP Commonwealth Latimer House Principles on the Accountability and Relationship between the Three Branches of Government (2003) CLHG Commonwealth Latimer House Guidelines (1998) CPA Commonwealth Parliamentary Association CPA-Media Parliament and the Media Building an Effective Relationship
CPA (2000) CPA-CP Capetown Principles for an Informed Democracy CPA (2002) CPA-Rec03 Recommendation for an Informed Democracy CPA (2003) CPA-Rec04 Recommendation for Transparent Governance CPA (2004 CSCE Conference on Security and Cooperation in Europe CSCE-CD Copenhagen Document CSCE (1990) CSCE-MD Moscow Document CSCE (1991) ECHR European Convention on Human Rights and Fundamental
Liberties (1951) ECOWAS-P Protocol ASP11202 on Democracy and Good Governance
ECOWAS (2001) IACHR Inter-American Convention on Human Rights (1978) ICCPR International Covenant on Civil and Political Rights (1966) IPU Inter-Parliamentary Union IPU-DD Universal Declaration on Democracy IPU (1997) IPU-GD Guidelines and Duties for the Opposition in Parliament IPU (1999) IPU-Res03 Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World IPU (2003) UPA Union des Parlementaires Africains [African Parliamentary Union] UPA-Res00 Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence Building between Peoples and their Institutions (2000) UNHCHR United Nations High Commissioner for Human Rights Resolution
200047
29
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 2 Bibliography Governmental Documents
bull Commonwealth Latimer House Standards bull Commonwealth Latimer House Guidelines bull Commonwealth Parliamentary Association (CPA) Parliament and the Media
Building an Effective Relationship bull English Bill of Rights 1689 bull Inter-Parliamentary Union (IPU) Guidelines bull ECOWAS Protocol on Democracy and Good Governance Supplementary to the
Protocol Relating to the Mechanism for Conflict Prevention Management Resolution Peacekeeping and Security
bull Protocol on the Privileges and Immunities of the European Communities bull ECPRD Parliamentary Codes of Conduct in Europe (Compilation by the Council
of Europe Parliamentary Assembly) bull IPU Universal Declaration on Democracy bull International Covenant on Civil and Political Rights (ICCPR) bull The African (Banjul) Charter on Human and Peoplersquos Rights bull The Johannesburg Standards National Security Freedom of Expression and
Access to Information bull Document of the Copenhagen Meeting of the Conference on the Human
Dimension of the CSCE 1990 bull Declaration of Principle on Freedom of Expression in Africa bull Union des Parliamentaires Africains on the Role of Parliaments in the
Consolidation of Democracy and Confidence-Building Between the Peoples and their Institutions 23rd Conference in Addis Ababa 24-25 November 2000
bull The Harare Declaration bull IPU Conference of Presiding Officers of National Parliaments bull International Convention on the Elimination of All Forms of Racial
Discrimination bull Convention on the Elimination of All Forms of Discrimination Against Women bull Report of the Ethics Reform Task Force on H Res 168 105th Congress 1st
Session 17 June 1997 (found at httpwwwhousegovethicsethicsreporttxt ) bull Parliamentary Standards and the Wicks Committee Report Standard Note
SNPC2200 24 June 2003 by Ruth Winstone (found at httpwwwparliamentukcommonslibresearchnotessnpc-02200pdf )
bull Committee on Standards in Public Life First Report Cm 2850 Volume 1 11 May 1995 (found at httpwwwarchiveofficial-documentscoukdocumentcm282850285002pdf )
bull Committee on Standards in Public Life Sixth Report Reinforcing Standards Cm 4557 Volume 1 January 2000 (found at httpwwwpublic-standardsgovuk )
bull Committee on Standards in Public Life Eighth Report Cm 5663 Standards of Conduct in the House of Commons November 2002 (found at httpwww-standardsgovukreports8th_reportreporteighthreportpdf
bull African Union Declarations and Decisions
30
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The African Commission Declaration of Principle on Freedom of Expression in Africa
bull United Nations High Commissioner for Human Rights Resolution 200047
Non-Governmental Documents Transparency and Accountability of the Parliament
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Anti-Corruption Commissions Panacea or Real Medicine to Fight Corruption By John Heilbrunn 2004
bull PREM Notes Public Sector No 74 October 2002 Strengthening Oversight by Legislatures (found at httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull PREM Notes Public Sector No63 March 2002 Strengthening Legislatures Implications from Industrial Countries (found at httpwww1worldbankorgpremPREMNotespremnote63pdf )
bull WBI Working Papers Building a Clean Machine Anti-Corruption Coalitions and Sustainable Reforms by Michael Johnston and Sahr J Kpundeh 2002
bull IFES IFES Parliamentary Toolkit Transparency and Accountability Tools for Civil Society
bull PREM Notes Public Sector No59 October 2001 Features and Functions of Supreme Audit Institutions
bull World Bank Institute Improving Governance and Controlling Corruption Towards a Participatory and Action-oriented Approach Grounded on Empirical Rigor October 2001
bull World Bank Towards Transparency in Finance and Governance by Tara Vishwanath and Daniel Kaufman September 6 1999
bull World Bank Institute Pillars of Integrity The Importance of Supreme Audit Institutions in Curbing Corruption by Kenneth M Dye and Rick Stapenhurst 1998
bull Association of Secretaries General of Parliaments (ASGP) Promoting the Work of Parliament Report by Mr Ian Harris Clerk of the House of Representatives of Australia19 Autumn 2000 (found at httpwwwasgpinfodiscussionshtmstudies)
bull USAID Handbook on Legislative Strengthening httpwwwusaidgovour_workdemocracy_and_governancegovhtml
bull Parliamentary Centre Canada Controlling Corruption A Parliamentarianrsquos Handbook httpwwwparlcentcaindex_ephp
bull Parliamentary Centre Canada Parliamentary Accountability and Good Governance httpwwwparlcentcaindex_ephp
19 This report contains a detailed analysis of the answers from a Questionnaire of how the public is provided information about the operation and work of Parliament The review was launched at the Conference of the Association of Secretaries General of Parliaments which was held in Autumn 2000 in Jakarta
31
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Center for Democracy and Governance February 2000 USAID Handbook on Legislative Strengthening
bull Parliamentary Centre Parliamentary Accountability and Good Governance A Parliamentarianrsquos Handbook
bull Parliamentary Centre Forum on Parliamentary Reform bull NEPAD Library Emerging Legislatures in Emerging African Democracies bull Commonwealth Parliamentary Association and World Bank Institute
Recommendations for Transparent Governance Conclusions of a CPA Study Group on Access to Information Accra Ghana 5-9 July 2004
bull GOPAC Parliamentarians Fighting Corruption A Conceptual Overview PCentrefsPCentreSProjectsParliamentary_RelationsGOPACWBI
bull International IDEA Democracy Assessment Questionnaire wwwideaintideas_work14_statedemocracy_assessmentpdf
bull NDI and UNDP Parliaments and Poverty Series Toolkit No1 Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Strengthening the Accountability Process and Parliamentary Reform A Report on the Parliamentary Roundtable Held in Bhurban Pakistan March 1-2 1997
Independence of the Parliament bull NDI Strengthening Legislative Capacity in Legislative-Executive Relations
Paper 6 httpwwwndiorgglobalpgovgovernanceasp bull Venice Commission Opinion on the Draft Proposal for Rules of Procedure of the
Assembly of the Republic of Macedonia by Georg Nolte July 5 2002 bull Venice Commission Report on the Referral of a Law Back to Parliament by the
Head of State November 15 1996 bull AGSP The Role of the Secretary General in the Administration of Parliament
Report by Mr Ugo Zampetti General Secretary of the Chamber of Deputies (Italy) October 2000 Review no 180
bull AGSP Constitutional and Parliamentary Information The Status of Parliamentary Groups
Parliamentary Immunity
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union Part Three Immunity in the European Parliament June 2001
bull Venice Commission Opinion 11995 Report on the Regime of Parliamentary Immunity CDL ndash INF(1996) 007 6496 (found at httpvenicecoeintsitedynamicsN_Opinion_efaspampL=EampOID=1 )
bull Venice Commission Supplementary Opinion on the Revision of the Constitution of Romania October 18 2002
32
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Venice Commission Draft Report ndash The Regime of Parliamentary Immunity April 29 1996
bull Venice Commission Questionnaire on Parliamentary Immunity prepared by Mr GW Maas-Geesteranus June 19 1995
Freedom of Parliamentary Speech
bull AGSP The Immunities of Members of Parliament Report prepared by Mr Robert Myttenaere September 1998
bull AGSP Position of Witnesses before Parliamentary Committees Report prepared by Mr Demaree JB Raval April 1997
Conflict of Interest amp Ethics
bull Parliamentary Affairs A Journal of Comparative Politics Volume 55 No 4 October 2002 Conduct Unbecoming The Regulation of Legislative Ethics in Britain and the United States by Robert Williams
bull Parliamentary Affairs A Journal of Comparative Politics Volume 52 No 3 July 1999 Parliament in the Age of Internet by S Coleman JA Taylor and W Van de Donk
bull European Centre for Parliamentary Research and Documentation (ECPRD) Parliamentary Codes of Conduct in Europe an Overview November 2001
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union June 2001
bull Research Paper Commissioned on behalf of The Committee on Standards in Public Life May 2002 The Regulation of Parliamentary Standards ndash A Comparative Perspective (found at httpwwwpublic-standardsgovukreports8th_reportreportresearchdoc
bull House of Representatives Resolution 168 on the Report of the Ethics Reform Task Force 18 June 1997
bull NDI Accountability Ethics and Transparency in Government Pakistan Study Mission to South Africa June 3 1997
bull NDI Report on Regional Consultative Workshops ndash Ethics Questionnaire August 1998
bull Council of Europe Steering Committee on Local and Regional Democracy (CDLR) Public Ethics at Local Level Model Initiatives Package November 25 2002
bull NDI Legislative Research Series Paper No 4 ndash Legislative Ethics A Comparative Analysis 1999
bull OECD United States Case Study ndash Ethics and Corruption The Management of Ethics and Conduct in the Public Service by Stuart Gilman December 1995
bull OECD Recommendations of the Council on Guidelines for Managing Conflict of Interest in the Public Service June 2003
33
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Sanction and Removal of Legislators bull Venice Commission Comments on the Draft Law of the Chechen Republic on
Elections to the Parliament of the Chechen Republic As Submitted to Referendum by Mr G Nolte March 23 2003
bull Venice Commission Opinion on the Draft Law on the Public Attorney (Ombudsman) of ldquoThe Former Yugoslav Republic of Macedoniardquo March 15 2003
bull Venice Commission Comments on the Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia by Ms Serra Lopes February 28 2003
bull Venice Commission Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia February 2003
bull WBI PREM Notes Public Sector Number 19 April 1999 Using an Ombudsman to oversee Public Officials
bull AGSP The Office of the Parliamentary Ombudsman March 1994 Salaries and Benefits of Legislators
bull AGSP The Social Protection of Parliamentarians Report by Mrs Helene Ponceau General Secretary of the Senate Quaestorrsquos Office [Havana Senate Treasurerrsquos Department] Review No 181 April 2001
Professional Development and Training
bull SADC Parliamentary Forum MPs Orientation Handbook ndash Professional Performance and Development httpwwwsadcpforgaboutindexasp
The Parliament and the Budget Cycle
bull OECD Development Centre Policy Brief No 22 Strengthening Participation in Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD May 2001 OECD Best Practices for Budget Transparency bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and
Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull ASGP The Administrative and Financial Autonomy of Parliamentary Assemblies Report prepared by Michel Couderc (France) adopted at the Moscow Session (September 1998)
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development The Legislature and the Budget by Frederick Stapenhurst 2004 httpwwwworldbankorgwbigovernanceparliament
34
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull WBI Working Papers Series on Contemporary Issues in Parliamentary
Development Parliaments and the PRSP Process by Scott Hubli and Alicia P Mandaville 2004
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull WBI PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull WBI PREM Notes Public Sector Number 74 October 2002 Strengthening Oversight by Legislatures
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull Commonwealth Parliamentary Association (CPA) The Parliamentarian 2002
Issue Two 179 Parliaments and Poverty by Ms Frannie A Lrsquoeautier bull Parliamentary Centre Canada and WBI and CIDA (with support from the
International Development Research Centre) Handbook on Parliamentarians and Policies to Reduce Poverty May 2001
bull Parliamentary Centre Cambodia Focus Group on Parliamentrsquos Role in the Budget Process Analysis
bull Parliamentary Centre Indicators of Parliamentary Performance in the Budget Process
bull The International Budget Project Legislatures and Budget Oversight httpwwwinternationalbudgetorgthemesLEGindexhtm
bull NDI Legislatures and the Budget Process An International Survey 2003 httpwwwndiorgglobalpgovgovernanceasp
bull NDI Parliaments and Poverty Series Toolkit No1 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Parliaments and Poverty Series Toolkit No2 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives
35
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull NDI Parliaments and Poverty Series Toolkit No3 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative Public Outreach on Poverty Issues
bull UNDP IPU WBI and UNIFEM Parliament The Budget and Gender httpwwwundporgdpapublicationsgovernancehtml
bull IMF Finance amp Development Magazine December 2002 Volume 39 Number 4 A Bigger Role for Legislators
bull Case Study PRSPs and Parliament by Stephen Langdon bull Ministry of Foreign Affairs Netherlands March 2002 Economics and Finance
(b) Budget Impact Assessments (Gender Budgeting) bull Cagatay N M Keklik R Lal and J Lang (2000) ldquoBudgets As if People
Mattered Democratizing Macroeconomic Policiesrdquo SEPED Conference Paper Series Number 4 May
bull Navarro Z (1998) ldquoParticipation Democratizing Practices and the Formulation of a Modern Policy ndash the Case of ldquoParticipatory Budgetingrdquo in Porto Alegre Brazil (1989-1998) Development Sage London Volume 41 number 3 September
Representative and Inclusive Parliament
bull Commonwealth Parliamentary Association (CPA) Commonwealth Women Parliamentarians Into The Democratic Mainstream August 2002
bull CPA EnGendering Development and Democracy May 2004 bull IPU and UNDP Guidelines on the Rights and Duties of the Opposition in
Parliament May 19 1999 (Unanimously adopted by the participants at the Parliamentary Seminar on Relations Between Majority and Minority Parties in African Parliaments Libreville (Gabon) 17-19 May 1999)
bull AWEPA European Parliamentarians for Africa OPS7 Parliamentary Gender Handbook South Africa 2001 (found at httpwwwawepaorgdownloadsOPS07-_Parliamentary_Gender_Handbook-_South_Africapdf
Free Elections of Legislators
bull Venice Commission Opinion 2502003 Report on Electoral Systems - Overview of Available Solutions and Selection Criteria Adopted by the Venice Commission at its 57th Plenary Session CDL ndash AD(2004)003 (found at httpvenicecoeintdocs2004CDL-AD(2004)003-easp )
bull Venice Commission Opinion 2392003 Comments on the Draft Law of the Chechen Republic on Elections to the Parliament of the Chechen Republic CDL (2003)021rev (found at httpvenicecoeintdocs2003CDL(2003)021rev-easp )
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Resolution 1320 (2003) httpassemblycoeintDocumentsAdoptedTextTA03ERES1320htm
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Document 9267 15 October 2001
36
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Consequently the immunity regime should be strictly regulated especially through the recognition of
bull Clear limited scope of immunity (for example it should not cover acts performed outside of office nor common crimes) and
bull Possibility of waivers in clearly defined cases and following a transparent procedure
Regarding the scope of parliamentary immunity its historical roots lie with the freedom of speech of legislators as recognized in the British and American Bills of Rights The underlying justification for immunity is that it allows legislators to fulfill their mandate without fear of retaliatory measures on account of their positions or votes Legislators must therefore be protected against arrest and detention or civil and criminal prosecution for any acts performed or words spoken while in office or in the conduct of parliamentary affairs Legislators should not be subject to any form of inquiry detention or legal proceedings in respect of opinions expressed or votes cast by them in the performance of their duties Immunity should not be limited to acts or speech within the parliamentary facilities Rather immunity must be interpreted as broadly as possible For example the members of the European Parliament enjoy immunity in their own States in the territories of other Member States and whilst traveling to and from the place of the meeting of the European Parliament However immunity should not be absolute The immunity regime applicable to legislators should provide for the possibility of waiving this immunity in limited circumstances in the interests of justice Immunity is not a privilege benefiting individual members but rather a guarantee protecting the independence of Parliament and its members in their relations with other governmental and private bodies17 Parliamentary privileges must be clearly defined and established by law These immunities are not meant to place legislators above the law but to protect them from possible groundless proceedings or accusations that may be politically motivated The grounds and terms for lifting of immunity must be clearly specified by law so that this may only occur following a decision taken by a competent body on a non-partisan basis PTAS16 Parliamentary and Public Access to Information
Access to Information Legislators as well as the general public must have access to accurate timely information and data including legislation parliamentary procedures governmental data and relevant research data Banjul CLHG CLHP CPA-Media CPA-CP CPA-Rec03 CPA-Rec04 CSCE-CD ECHR IACHR ICCPR IPU-DD IPU-GD IPU-Res03 UNHCHR
17 ECPRD Parliamentary Codes of Conduct in Europe by Veronica Williams November 2001
25
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
The free flow of information is essential in a democratic society Access to information should not only be viewed in relation to the media and civil societyrsquos right to access governmental documents but also in relation to the legislatorsrsquo right to access relevant research and information from the government and other sources Access to information can be facilitated by the use of databases networks and information technology in general The media should be free to report the activities of Parliament and the public should be able to attend parliamentary meetings and Committee sittings where appropriate The CPA encouraged Parliaments ldquoto provide live coverage of their proceedings on a dedicated channel andor onlinerdquo in its Recommendations for an Informed Democracy The environment should be made conducive for civil society organizations the public and multiple stakeholders to exchange information with legislators to enable Parliament to effectively discharge its duties of oversight policy making law making representation and recruitment This could be achieved through the establishment of a public information office within Parliament Bills and Acts of Parliament must be published regularly and should be freely available to the public Indeed the CSCE Copenhagen Document notes that ldquolegislation adopted at the end of a public procedure and regulations will be published that being the condition of their applicability Those texts will be accessible to everyonerdquo In its recommendations following a conference on ldquoWhat Parliament and Legislators Can Dordquo the CPA noted that access should be granted ldquoto basic information and documents produced by the parliamentary process such as access to parliamentary libraries the provision of on-line information and the distribution of Parliamentary speeches promptly after delivery in the Houserdquo18 The type of information available to the public and to legislators should include
bull Attendance and voting records bull Registers of membersrsquo interests bull Bills and Acts of Parliament bull Procedural rules bull Codes of Conduct
Legislators should also have access to parliamentary archives as well as all necessary information and data from the government The IPU Guidelines note that ldquolegislators from the majority and the opposition alike are equally entitled to receive in a timely manner the same information from the governmentrdquo
18 Parliament and The Media Building an Effective Relationship 15-18 February 2000 [CPA-Media]
26
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS17 Adequate Facilities Equipment and Technology
Adequate Infrastructure Parliament should have at a minimum the necessary infrastructure and technical assistance including research capacity adequate facilities and equipment to enable it to carry out its basic democratic functions CPA-Rec03 CPA-Rec04 IPU-GD
The working conditions of legislators must be adequate and reflect the importance of Parliament as a key democratic institution Parliament must be housed in one or more buildings with the necessary equipment and office space for legislators and their staff including tables chairs and all other necessary office equipment Adequate resources must be allocated to Parliament andor legislators and support services to maintain and equip their facilities Some of the facilities and services which can be reasonably expected to be available to legislators include
bull Offices bull Secretarial services (general andor individual) bull Library and archive facilities bull Research services (to which requests for information can be submitted) and bull Information technology
In its 2002 Report the CPA Study Group highlights the importance of information technology including ldquoimproved networking between legislators and constituents among legislators between legislators and Parliament and better information sharing and record keepingrdquo Information technology can also facilitate access to information and best practices on the broad range of issues which fall under the purview of parliament including human rights socioeconomic rights and gender issues The use of information technology could include the development of intra-parliament networks and of searchable public databases on parliamentary activity as well as the increased access to outside information for legislators PTAS18 Professional Training for Legislators and Staff
Adequate Training Resources must be allocated to training programs both for new legislators and for the continuing education of sitting legislators These programs must be geared towards developing the skills required by parliamentary functions as well as exposing legislators to substantive issues and developments affecting their legislative oversight and representative functions CLHG CPA-CP
Training should be geared towards providing legislators with the specific skills and knowledge necessary to fulfill their parliamentary functions Legislators just like other professionals need continuing education programs and professional development to keep them updated on emerging democracy and governance trends Equally significant is the need to properly train new or incoming legislators on the constitutional rights and obligations of Parliament internal procedures and order of business ethics etc
27
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS19 Adequately-Compensated Research Library and Committee Staff
Support Staff ldquoParliament should be serviced by professional staff independent of the regular public servicerdquo CLHG IPU-GD
Parliamentary support staff in sufficient numbers and with the appropriate professional skills is crucial for an effective institution Parliamentary staff performs duties such as
bull Assisting in bill drafting bull Tracking the status of bills in the legislative process bull Maintaining and in some cases designing web sites bull Producing and drafting documents about the legislature bull Undertaking accounting and various other clerkship duties
High turnover of parliamentary staff requires more money for attracting new competent staff and providing them with the necessary training It is important to ensure that staff is reasonably well compensated to attract good candidates for the job who will retain their jobs longer When vacancies are not rapidly filled parliamentary work can be undermined resulting in misplacement of documents errors and overall inefficiency Parliamentary staff should be independent from other public service offices Their selection promotion and discipline must be clearly defined and reflect merit-based criteria and transparent processes Professional development opportunities and training should be offered to them The longer support staff stay in Parliament the more it benefits the institution especially as it may provide new legislators with the information and support necessary to adapt to their new functions faster
28
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 1 List of Acronyms
Banjul African Charter on Human and Peoplersquos Rights (1986) CEDAW Convention on the Elimination of All Forms of Discrimination
against Women ICERD Convention on the Elimination of All Forms of Racial
Discrimination CLHP Commonwealth Latimer House Principles on the Accountability and Relationship between the Three Branches of Government (2003) CLHG Commonwealth Latimer House Guidelines (1998) CPA Commonwealth Parliamentary Association CPA-Media Parliament and the Media Building an Effective Relationship
CPA (2000) CPA-CP Capetown Principles for an Informed Democracy CPA (2002) CPA-Rec03 Recommendation for an Informed Democracy CPA (2003) CPA-Rec04 Recommendation for Transparent Governance CPA (2004 CSCE Conference on Security and Cooperation in Europe CSCE-CD Copenhagen Document CSCE (1990) CSCE-MD Moscow Document CSCE (1991) ECHR European Convention on Human Rights and Fundamental
Liberties (1951) ECOWAS-P Protocol ASP11202 on Democracy and Good Governance
ECOWAS (2001) IACHR Inter-American Convention on Human Rights (1978) ICCPR International Covenant on Civil and Political Rights (1966) IPU Inter-Parliamentary Union IPU-DD Universal Declaration on Democracy IPU (1997) IPU-GD Guidelines and Duties for the Opposition in Parliament IPU (1999) IPU-Res03 Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World IPU (2003) UPA Union des Parlementaires Africains [African Parliamentary Union] UPA-Res00 Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence Building between Peoples and their Institutions (2000) UNHCHR United Nations High Commissioner for Human Rights Resolution
200047
29
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 2 Bibliography Governmental Documents
bull Commonwealth Latimer House Standards bull Commonwealth Latimer House Guidelines bull Commonwealth Parliamentary Association (CPA) Parliament and the Media
Building an Effective Relationship bull English Bill of Rights 1689 bull Inter-Parliamentary Union (IPU) Guidelines bull ECOWAS Protocol on Democracy and Good Governance Supplementary to the
Protocol Relating to the Mechanism for Conflict Prevention Management Resolution Peacekeeping and Security
bull Protocol on the Privileges and Immunities of the European Communities bull ECPRD Parliamentary Codes of Conduct in Europe (Compilation by the Council
of Europe Parliamentary Assembly) bull IPU Universal Declaration on Democracy bull International Covenant on Civil and Political Rights (ICCPR) bull The African (Banjul) Charter on Human and Peoplersquos Rights bull The Johannesburg Standards National Security Freedom of Expression and
Access to Information bull Document of the Copenhagen Meeting of the Conference on the Human
Dimension of the CSCE 1990 bull Declaration of Principle on Freedom of Expression in Africa bull Union des Parliamentaires Africains on the Role of Parliaments in the
Consolidation of Democracy and Confidence-Building Between the Peoples and their Institutions 23rd Conference in Addis Ababa 24-25 November 2000
bull The Harare Declaration bull IPU Conference of Presiding Officers of National Parliaments bull International Convention on the Elimination of All Forms of Racial
Discrimination bull Convention on the Elimination of All Forms of Discrimination Against Women bull Report of the Ethics Reform Task Force on H Res 168 105th Congress 1st
Session 17 June 1997 (found at httpwwwhousegovethicsethicsreporttxt ) bull Parliamentary Standards and the Wicks Committee Report Standard Note
SNPC2200 24 June 2003 by Ruth Winstone (found at httpwwwparliamentukcommonslibresearchnotessnpc-02200pdf )
bull Committee on Standards in Public Life First Report Cm 2850 Volume 1 11 May 1995 (found at httpwwwarchiveofficial-documentscoukdocumentcm282850285002pdf )
bull Committee on Standards in Public Life Sixth Report Reinforcing Standards Cm 4557 Volume 1 January 2000 (found at httpwwwpublic-standardsgovuk )
bull Committee on Standards in Public Life Eighth Report Cm 5663 Standards of Conduct in the House of Commons November 2002 (found at httpwww-standardsgovukreports8th_reportreporteighthreportpdf
bull African Union Declarations and Decisions
30
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The African Commission Declaration of Principle on Freedom of Expression in Africa
bull United Nations High Commissioner for Human Rights Resolution 200047
Non-Governmental Documents Transparency and Accountability of the Parliament
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Anti-Corruption Commissions Panacea or Real Medicine to Fight Corruption By John Heilbrunn 2004
bull PREM Notes Public Sector No 74 October 2002 Strengthening Oversight by Legislatures (found at httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull PREM Notes Public Sector No63 March 2002 Strengthening Legislatures Implications from Industrial Countries (found at httpwww1worldbankorgpremPREMNotespremnote63pdf )
bull WBI Working Papers Building a Clean Machine Anti-Corruption Coalitions and Sustainable Reforms by Michael Johnston and Sahr J Kpundeh 2002
bull IFES IFES Parliamentary Toolkit Transparency and Accountability Tools for Civil Society
bull PREM Notes Public Sector No59 October 2001 Features and Functions of Supreme Audit Institutions
bull World Bank Institute Improving Governance and Controlling Corruption Towards a Participatory and Action-oriented Approach Grounded on Empirical Rigor October 2001
bull World Bank Towards Transparency in Finance and Governance by Tara Vishwanath and Daniel Kaufman September 6 1999
bull World Bank Institute Pillars of Integrity The Importance of Supreme Audit Institutions in Curbing Corruption by Kenneth M Dye and Rick Stapenhurst 1998
bull Association of Secretaries General of Parliaments (ASGP) Promoting the Work of Parliament Report by Mr Ian Harris Clerk of the House of Representatives of Australia19 Autumn 2000 (found at httpwwwasgpinfodiscussionshtmstudies)
bull USAID Handbook on Legislative Strengthening httpwwwusaidgovour_workdemocracy_and_governancegovhtml
bull Parliamentary Centre Canada Controlling Corruption A Parliamentarianrsquos Handbook httpwwwparlcentcaindex_ephp
bull Parliamentary Centre Canada Parliamentary Accountability and Good Governance httpwwwparlcentcaindex_ephp
19 This report contains a detailed analysis of the answers from a Questionnaire of how the public is provided information about the operation and work of Parliament The review was launched at the Conference of the Association of Secretaries General of Parliaments which was held in Autumn 2000 in Jakarta
31
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Center for Democracy and Governance February 2000 USAID Handbook on Legislative Strengthening
bull Parliamentary Centre Parliamentary Accountability and Good Governance A Parliamentarianrsquos Handbook
bull Parliamentary Centre Forum on Parliamentary Reform bull NEPAD Library Emerging Legislatures in Emerging African Democracies bull Commonwealth Parliamentary Association and World Bank Institute
Recommendations for Transparent Governance Conclusions of a CPA Study Group on Access to Information Accra Ghana 5-9 July 2004
bull GOPAC Parliamentarians Fighting Corruption A Conceptual Overview PCentrefsPCentreSProjectsParliamentary_RelationsGOPACWBI
bull International IDEA Democracy Assessment Questionnaire wwwideaintideas_work14_statedemocracy_assessmentpdf
bull NDI and UNDP Parliaments and Poverty Series Toolkit No1 Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Strengthening the Accountability Process and Parliamentary Reform A Report on the Parliamentary Roundtable Held in Bhurban Pakistan March 1-2 1997
Independence of the Parliament bull NDI Strengthening Legislative Capacity in Legislative-Executive Relations
Paper 6 httpwwwndiorgglobalpgovgovernanceasp bull Venice Commission Opinion on the Draft Proposal for Rules of Procedure of the
Assembly of the Republic of Macedonia by Georg Nolte July 5 2002 bull Venice Commission Report on the Referral of a Law Back to Parliament by the
Head of State November 15 1996 bull AGSP The Role of the Secretary General in the Administration of Parliament
Report by Mr Ugo Zampetti General Secretary of the Chamber of Deputies (Italy) October 2000 Review no 180
bull AGSP Constitutional and Parliamentary Information The Status of Parliamentary Groups
Parliamentary Immunity
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union Part Three Immunity in the European Parliament June 2001
bull Venice Commission Opinion 11995 Report on the Regime of Parliamentary Immunity CDL ndash INF(1996) 007 6496 (found at httpvenicecoeintsitedynamicsN_Opinion_efaspampL=EampOID=1 )
bull Venice Commission Supplementary Opinion on the Revision of the Constitution of Romania October 18 2002
32
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Venice Commission Draft Report ndash The Regime of Parliamentary Immunity April 29 1996
bull Venice Commission Questionnaire on Parliamentary Immunity prepared by Mr GW Maas-Geesteranus June 19 1995
Freedom of Parliamentary Speech
bull AGSP The Immunities of Members of Parliament Report prepared by Mr Robert Myttenaere September 1998
bull AGSP Position of Witnesses before Parliamentary Committees Report prepared by Mr Demaree JB Raval April 1997
Conflict of Interest amp Ethics
bull Parliamentary Affairs A Journal of Comparative Politics Volume 55 No 4 October 2002 Conduct Unbecoming The Regulation of Legislative Ethics in Britain and the United States by Robert Williams
bull Parliamentary Affairs A Journal of Comparative Politics Volume 52 No 3 July 1999 Parliament in the Age of Internet by S Coleman JA Taylor and W Van de Donk
bull European Centre for Parliamentary Research and Documentation (ECPRD) Parliamentary Codes of Conduct in Europe an Overview November 2001
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union June 2001
bull Research Paper Commissioned on behalf of The Committee on Standards in Public Life May 2002 The Regulation of Parliamentary Standards ndash A Comparative Perspective (found at httpwwwpublic-standardsgovukreports8th_reportreportresearchdoc
bull House of Representatives Resolution 168 on the Report of the Ethics Reform Task Force 18 June 1997
bull NDI Accountability Ethics and Transparency in Government Pakistan Study Mission to South Africa June 3 1997
bull NDI Report on Regional Consultative Workshops ndash Ethics Questionnaire August 1998
bull Council of Europe Steering Committee on Local and Regional Democracy (CDLR) Public Ethics at Local Level Model Initiatives Package November 25 2002
bull NDI Legislative Research Series Paper No 4 ndash Legislative Ethics A Comparative Analysis 1999
bull OECD United States Case Study ndash Ethics and Corruption The Management of Ethics and Conduct in the Public Service by Stuart Gilman December 1995
bull OECD Recommendations of the Council on Guidelines for Managing Conflict of Interest in the Public Service June 2003
33
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Sanction and Removal of Legislators bull Venice Commission Comments on the Draft Law of the Chechen Republic on
Elections to the Parliament of the Chechen Republic As Submitted to Referendum by Mr G Nolte March 23 2003
bull Venice Commission Opinion on the Draft Law on the Public Attorney (Ombudsman) of ldquoThe Former Yugoslav Republic of Macedoniardquo March 15 2003
bull Venice Commission Comments on the Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia by Ms Serra Lopes February 28 2003
bull Venice Commission Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia February 2003
bull WBI PREM Notes Public Sector Number 19 April 1999 Using an Ombudsman to oversee Public Officials
bull AGSP The Office of the Parliamentary Ombudsman March 1994 Salaries and Benefits of Legislators
bull AGSP The Social Protection of Parliamentarians Report by Mrs Helene Ponceau General Secretary of the Senate Quaestorrsquos Office [Havana Senate Treasurerrsquos Department] Review No 181 April 2001
Professional Development and Training
bull SADC Parliamentary Forum MPs Orientation Handbook ndash Professional Performance and Development httpwwwsadcpforgaboutindexasp
The Parliament and the Budget Cycle
bull OECD Development Centre Policy Brief No 22 Strengthening Participation in Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD May 2001 OECD Best Practices for Budget Transparency bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and
Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull ASGP The Administrative and Financial Autonomy of Parliamentary Assemblies Report prepared by Michel Couderc (France) adopted at the Moscow Session (September 1998)
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development The Legislature and the Budget by Frederick Stapenhurst 2004 httpwwwworldbankorgwbigovernanceparliament
34
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull WBI Working Papers Series on Contemporary Issues in Parliamentary
Development Parliaments and the PRSP Process by Scott Hubli and Alicia P Mandaville 2004
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull WBI PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull WBI PREM Notes Public Sector Number 74 October 2002 Strengthening Oversight by Legislatures
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull Commonwealth Parliamentary Association (CPA) The Parliamentarian 2002
Issue Two 179 Parliaments and Poverty by Ms Frannie A Lrsquoeautier bull Parliamentary Centre Canada and WBI and CIDA (with support from the
International Development Research Centre) Handbook on Parliamentarians and Policies to Reduce Poverty May 2001
bull Parliamentary Centre Cambodia Focus Group on Parliamentrsquos Role in the Budget Process Analysis
bull Parliamentary Centre Indicators of Parliamentary Performance in the Budget Process
bull The International Budget Project Legislatures and Budget Oversight httpwwwinternationalbudgetorgthemesLEGindexhtm
bull NDI Legislatures and the Budget Process An International Survey 2003 httpwwwndiorgglobalpgovgovernanceasp
bull NDI Parliaments and Poverty Series Toolkit No1 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Parliaments and Poverty Series Toolkit No2 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives
35
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull NDI Parliaments and Poverty Series Toolkit No3 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative Public Outreach on Poverty Issues
bull UNDP IPU WBI and UNIFEM Parliament The Budget and Gender httpwwwundporgdpapublicationsgovernancehtml
bull IMF Finance amp Development Magazine December 2002 Volume 39 Number 4 A Bigger Role for Legislators
bull Case Study PRSPs and Parliament by Stephen Langdon bull Ministry of Foreign Affairs Netherlands March 2002 Economics and Finance
(b) Budget Impact Assessments (Gender Budgeting) bull Cagatay N M Keklik R Lal and J Lang (2000) ldquoBudgets As if People
Mattered Democratizing Macroeconomic Policiesrdquo SEPED Conference Paper Series Number 4 May
bull Navarro Z (1998) ldquoParticipation Democratizing Practices and the Formulation of a Modern Policy ndash the Case of ldquoParticipatory Budgetingrdquo in Porto Alegre Brazil (1989-1998) Development Sage London Volume 41 number 3 September
Representative and Inclusive Parliament
bull Commonwealth Parliamentary Association (CPA) Commonwealth Women Parliamentarians Into The Democratic Mainstream August 2002
bull CPA EnGendering Development and Democracy May 2004 bull IPU and UNDP Guidelines on the Rights and Duties of the Opposition in
Parliament May 19 1999 (Unanimously adopted by the participants at the Parliamentary Seminar on Relations Between Majority and Minority Parties in African Parliaments Libreville (Gabon) 17-19 May 1999)
bull AWEPA European Parliamentarians for Africa OPS7 Parliamentary Gender Handbook South Africa 2001 (found at httpwwwawepaorgdownloadsOPS07-_Parliamentary_Gender_Handbook-_South_Africapdf
Free Elections of Legislators
bull Venice Commission Opinion 2502003 Report on Electoral Systems - Overview of Available Solutions and Selection Criteria Adopted by the Venice Commission at its 57th Plenary Session CDL ndash AD(2004)003 (found at httpvenicecoeintdocs2004CDL-AD(2004)003-easp )
bull Venice Commission Opinion 2392003 Comments on the Draft Law of the Chechen Republic on Elections to the Parliament of the Chechen Republic CDL (2003)021rev (found at httpvenicecoeintdocs2003CDL(2003)021rev-easp )
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Resolution 1320 (2003) httpassemblycoeintDocumentsAdoptedTextTA03ERES1320htm
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Document 9267 15 October 2001
36
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
The free flow of information is essential in a democratic society Access to information should not only be viewed in relation to the media and civil societyrsquos right to access governmental documents but also in relation to the legislatorsrsquo right to access relevant research and information from the government and other sources Access to information can be facilitated by the use of databases networks and information technology in general The media should be free to report the activities of Parliament and the public should be able to attend parliamentary meetings and Committee sittings where appropriate The CPA encouraged Parliaments ldquoto provide live coverage of their proceedings on a dedicated channel andor onlinerdquo in its Recommendations for an Informed Democracy The environment should be made conducive for civil society organizations the public and multiple stakeholders to exchange information with legislators to enable Parliament to effectively discharge its duties of oversight policy making law making representation and recruitment This could be achieved through the establishment of a public information office within Parliament Bills and Acts of Parliament must be published regularly and should be freely available to the public Indeed the CSCE Copenhagen Document notes that ldquolegislation adopted at the end of a public procedure and regulations will be published that being the condition of their applicability Those texts will be accessible to everyonerdquo In its recommendations following a conference on ldquoWhat Parliament and Legislators Can Dordquo the CPA noted that access should be granted ldquoto basic information and documents produced by the parliamentary process such as access to parliamentary libraries the provision of on-line information and the distribution of Parliamentary speeches promptly after delivery in the Houserdquo18 The type of information available to the public and to legislators should include
bull Attendance and voting records bull Registers of membersrsquo interests bull Bills and Acts of Parliament bull Procedural rules bull Codes of Conduct
Legislators should also have access to parliamentary archives as well as all necessary information and data from the government The IPU Guidelines note that ldquolegislators from the majority and the opposition alike are equally entitled to receive in a timely manner the same information from the governmentrdquo
18 Parliament and The Media Building an Effective Relationship 15-18 February 2000 [CPA-Media]
26
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS17 Adequate Facilities Equipment and Technology
Adequate Infrastructure Parliament should have at a minimum the necessary infrastructure and technical assistance including research capacity adequate facilities and equipment to enable it to carry out its basic democratic functions CPA-Rec03 CPA-Rec04 IPU-GD
The working conditions of legislators must be adequate and reflect the importance of Parliament as a key democratic institution Parliament must be housed in one or more buildings with the necessary equipment and office space for legislators and their staff including tables chairs and all other necessary office equipment Adequate resources must be allocated to Parliament andor legislators and support services to maintain and equip their facilities Some of the facilities and services which can be reasonably expected to be available to legislators include
bull Offices bull Secretarial services (general andor individual) bull Library and archive facilities bull Research services (to which requests for information can be submitted) and bull Information technology
In its 2002 Report the CPA Study Group highlights the importance of information technology including ldquoimproved networking between legislators and constituents among legislators between legislators and Parliament and better information sharing and record keepingrdquo Information technology can also facilitate access to information and best practices on the broad range of issues which fall under the purview of parliament including human rights socioeconomic rights and gender issues The use of information technology could include the development of intra-parliament networks and of searchable public databases on parliamentary activity as well as the increased access to outside information for legislators PTAS18 Professional Training for Legislators and Staff
Adequate Training Resources must be allocated to training programs both for new legislators and for the continuing education of sitting legislators These programs must be geared towards developing the skills required by parliamentary functions as well as exposing legislators to substantive issues and developments affecting their legislative oversight and representative functions CLHG CPA-CP
Training should be geared towards providing legislators with the specific skills and knowledge necessary to fulfill their parliamentary functions Legislators just like other professionals need continuing education programs and professional development to keep them updated on emerging democracy and governance trends Equally significant is the need to properly train new or incoming legislators on the constitutional rights and obligations of Parliament internal procedures and order of business ethics etc
27
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS19 Adequately-Compensated Research Library and Committee Staff
Support Staff ldquoParliament should be serviced by professional staff independent of the regular public servicerdquo CLHG IPU-GD
Parliamentary support staff in sufficient numbers and with the appropriate professional skills is crucial for an effective institution Parliamentary staff performs duties such as
bull Assisting in bill drafting bull Tracking the status of bills in the legislative process bull Maintaining and in some cases designing web sites bull Producing and drafting documents about the legislature bull Undertaking accounting and various other clerkship duties
High turnover of parliamentary staff requires more money for attracting new competent staff and providing them with the necessary training It is important to ensure that staff is reasonably well compensated to attract good candidates for the job who will retain their jobs longer When vacancies are not rapidly filled parliamentary work can be undermined resulting in misplacement of documents errors and overall inefficiency Parliamentary staff should be independent from other public service offices Their selection promotion and discipline must be clearly defined and reflect merit-based criteria and transparent processes Professional development opportunities and training should be offered to them The longer support staff stay in Parliament the more it benefits the institution especially as it may provide new legislators with the information and support necessary to adapt to their new functions faster
28
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 1 List of Acronyms
Banjul African Charter on Human and Peoplersquos Rights (1986) CEDAW Convention on the Elimination of All Forms of Discrimination
against Women ICERD Convention on the Elimination of All Forms of Racial
Discrimination CLHP Commonwealth Latimer House Principles on the Accountability and Relationship between the Three Branches of Government (2003) CLHG Commonwealth Latimer House Guidelines (1998) CPA Commonwealth Parliamentary Association CPA-Media Parliament and the Media Building an Effective Relationship
CPA (2000) CPA-CP Capetown Principles for an Informed Democracy CPA (2002) CPA-Rec03 Recommendation for an Informed Democracy CPA (2003) CPA-Rec04 Recommendation for Transparent Governance CPA (2004 CSCE Conference on Security and Cooperation in Europe CSCE-CD Copenhagen Document CSCE (1990) CSCE-MD Moscow Document CSCE (1991) ECHR European Convention on Human Rights and Fundamental
Liberties (1951) ECOWAS-P Protocol ASP11202 on Democracy and Good Governance
ECOWAS (2001) IACHR Inter-American Convention on Human Rights (1978) ICCPR International Covenant on Civil and Political Rights (1966) IPU Inter-Parliamentary Union IPU-DD Universal Declaration on Democracy IPU (1997) IPU-GD Guidelines and Duties for the Opposition in Parliament IPU (1999) IPU-Res03 Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World IPU (2003) UPA Union des Parlementaires Africains [African Parliamentary Union] UPA-Res00 Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence Building between Peoples and their Institutions (2000) UNHCHR United Nations High Commissioner for Human Rights Resolution
200047
29
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 2 Bibliography Governmental Documents
bull Commonwealth Latimer House Standards bull Commonwealth Latimer House Guidelines bull Commonwealth Parliamentary Association (CPA) Parliament and the Media
Building an Effective Relationship bull English Bill of Rights 1689 bull Inter-Parliamentary Union (IPU) Guidelines bull ECOWAS Protocol on Democracy and Good Governance Supplementary to the
Protocol Relating to the Mechanism for Conflict Prevention Management Resolution Peacekeeping and Security
bull Protocol on the Privileges and Immunities of the European Communities bull ECPRD Parliamentary Codes of Conduct in Europe (Compilation by the Council
of Europe Parliamentary Assembly) bull IPU Universal Declaration on Democracy bull International Covenant on Civil and Political Rights (ICCPR) bull The African (Banjul) Charter on Human and Peoplersquos Rights bull The Johannesburg Standards National Security Freedom of Expression and
Access to Information bull Document of the Copenhagen Meeting of the Conference on the Human
Dimension of the CSCE 1990 bull Declaration of Principle on Freedom of Expression in Africa bull Union des Parliamentaires Africains on the Role of Parliaments in the
Consolidation of Democracy and Confidence-Building Between the Peoples and their Institutions 23rd Conference in Addis Ababa 24-25 November 2000
bull The Harare Declaration bull IPU Conference of Presiding Officers of National Parliaments bull International Convention on the Elimination of All Forms of Racial
Discrimination bull Convention on the Elimination of All Forms of Discrimination Against Women bull Report of the Ethics Reform Task Force on H Res 168 105th Congress 1st
Session 17 June 1997 (found at httpwwwhousegovethicsethicsreporttxt ) bull Parliamentary Standards and the Wicks Committee Report Standard Note
SNPC2200 24 June 2003 by Ruth Winstone (found at httpwwwparliamentukcommonslibresearchnotessnpc-02200pdf )
bull Committee on Standards in Public Life First Report Cm 2850 Volume 1 11 May 1995 (found at httpwwwarchiveofficial-documentscoukdocumentcm282850285002pdf )
bull Committee on Standards in Public Life Sixth Report Reinforcing Standards Cm 4557 Volume 1 January 2000 (found at httpwwwpublic-standardsgovuk )
bull Committee on Standards in Public Life Eighth Report Cm 5663 Standards of Conduct in the House of Commons November 2002 (found at httpwww-standardsgovukreports8th_reportreporteighthreportpdf
bull African Union Declarations and Decisions
30
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The African Commission Declaration of Principle on Freedom of Expression in Africa
bull United Nations High Commissioner for Human Rights Resolution 200047
Non-Governmental Documents Transparency and Accountability of the Parliament
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Anti-Corruption Commissions Panacea or Real Medicine to Fight Corruption By John Heilbrunn 2004
bull PREM Notes Public Sector No 74 October 2002 Strengthening Oversight by Legislatures (found at httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull PREM Notes Public Sector No63 March 2002 Strengthening Legislatures Implications from Industrial Countries (found at httpwww1worldbankorgpremPREMNotespremnote63pdf )
bull WBI Working Papers Building a Clean Machine Anti-Corruption Coalitions and Sustainable Reforms by Michael Johnston and Sahr J Kpundeh 2002
bull IFES IFES Parliamentary Toolkit Transparency and Accountability Tools for Civil Society
bull PREM Notes Public Sector No59 October 2001 Features and Functions of Supreme Audit Institutions
bull World Bank Institute Improving Governance and Controlling Corruption Towards a Participatory and Action-oriented Approach Grounded on Empirical Rigor October 2001
bull World Bank Towards Transparency in Finance and Governance by Tara Vishwanath and Daniel Kaufman September 6 1999
bull World Bank Institute Pillars of Integrity The Importance of Supreme Audit Institutions in Curbing Corruption by Kenneth M Dye and Rick Stapenhurst 1998
bull Association of Secretaries General of Parliaments (ASGP) Promoting the Work of Parliament Report by Mr Ian Harris Clerk of the House of Representatives of Australia19 Autumn 2000 (found at httpwwwasgpinfodiscussionshtmstudies)
bull USAID Handbook on Legislative Strengthening httpwwwusaidgovour_workdemocracy_and_governancegovhtml
bull Parliamentary Centre Canada Controlling Corruption A Parliamentarianrsquos Handbook httpwwwparlcentcaindex_ephp
bull Parliamentary Centre Canada Parliamentary Accountability and Good Governance httpwwwparlcentcaindex_ephp
19 This report contains a detailed analysis of the answers from a Questionnaire of how the public is provided information about the operation and work of Parliament The review was launched at the Conference of the Association of Secretaries General of Parliaments which was held in Autumn 2000 in Jakarta
31
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Center for Democracy and Governance February 2000 USAID Handbook on Legislative Strengthening
bull Parliamentary Centre Parliamentary Accountability and Good Governance A Parliamentarianrsquos Handbook
bull Parliamentary Centre Forum on Parliamentary Reform bull NEPAD Library Emerging Legislatures in Emerging African Democracies bull Commonwealth Parliamentary Association and World Bank Institute
Recommendations for Transparent Governance Conclusions of a CPA Study Group on Access to Information Accra Ghana 5-9 July 2004
bull GOPAC Parliamentarians Fighting Corruption A Conceptual Overview PCentrefsPCentreSProjectsParliamentary_RelationsGOPACWBI
bull International IDEA Democracy Assessment Questionnaire wwwideaintideas_work14_statedemocracy_assessmentpdf
bull NDI and UNDP Parliaments and Poverty Series Toolkit No1 Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Strengthening the Accountability Process and Parliamentary Reform A Report on the Parliamentary Roundtable Held in Bhurban Pakistan March 1-2 1997
Independence of the Parliament bull NDI Strengthening Legislative Capacity in Legislative-Executive Relations
Paper 6 httpwwwndiorgglobalpgovgovernanceasp bull Venice Commission Opinion on the Draft Proposal for Rules of Procedure of the
Assembly of the Republic of Macedonia by Georg Nolte July 5 2002 bull Venice Commission Report on the Referral of a Law Back to Parliament by the
Head of State November 15 1996 bull AGSP The Role of the Secretary General in the Administration of Parliament
Report by Mr Ugo Zampetti General Secretary of the Chamber of Deputies (Italy) October 2000 Review no 180
bull AGSP Constitutional and Parliamentary Information The Status of Parliamentary Groups
Parliamentary Immunity
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union Part Three Immunity in the European Parliament June 2001
bull Venice Commission Opinion 11995 Report on the Regime of Parliamentary Immunity CDL ndash INF(1996) 007 6496 (found at httpvenicecoeintsitedynamicsN_Opinion_efaspampL=EampOID=1 )
bull Venice Commission Supplementary Opinion on the Revision of the Constitution of Romania October 18 2002
32
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Venice Commission Draft Report ndash The Regime of Parliamentary Immunity April 29 1996
bull Venice Commission Questionnaire on Parliamentary Immunity prepared by Mr GW Maas-Geesteranus June 19 1995
Freedom of Parliamentary Speech
bull AGSP The Immunities of Members of Parliament Report prepared by Mr Robert Myttenaere September 1998
bull AGSP Position of Witnesses before Parliamentary Committees Report prepared by Mr Demaree JB Raval April 1997
Conflict of Interest amp Ethics
bull Parliamentary Affairs A Journal of Comparative Politics Volume 55 No 4 October 2002 Conduct Unbecoming The Regulation of Legislative Ethics in Britain and the United States by Robert Williams
bull Parliamentary Affairs A Journal of Comparative Politics Volume 52 No 3 July 1999 Parliament in the Age of Internet by S Coleman JA Taylor and W Van de Donk
bull European Centre for Parliamentary Research and Documentation (ECPRD) Parliamentary Codes of Conduct in Europe an Overview November 2001
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union June 2001
bull Research Paper Commissioned on behalf of The Committee on Standards in Public Life May 2002 The Regulation of Parliamentary Standards ndash A Comparative Perspective (found at httpwwwpublic-standardsgovukreports8th_reportreportresearchdoc
bull House of Representatives Resolution 168 on the Report of the Ethics Reform Task Force 18 June 1997
bull NDI Accountability Ethics and Transparency in Government Pakistan Study Mission to South Africa June 3 1997
bull NDI Report on Regional Consultative Workshops ndash Ethics Questionnaire August 1998
bull Council of Europe Steering Committee on Local and Regional Democracy (CDLR) Public Ethics at Local Level Model Initiatives Package November 25 2002
bull NDI Legislative Research Series Paper No 4 ndash Legislative Ethics A Comparative Analysis 1999
bull OECD United States Case Study ndash Ethics and Corruption The Management of Ethics and Conduct in the Public Service by Stuart Gilman December 1995
bull OECD Recommendations of the Council on Guidelines for Managing Conflict of Interest in the Public Service June 2003
33
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Sanction and Removal of Legislators bull Venice Commission Comments on the Draft Law of the Chechen Republic on
Elections to the Parliament of the Chechen Republic As Submitted to Referendum by Mr G Nolte March 23 2003
bull Venice Commission Opinion on the Draft Law on the Public Attorney (Ombudsman) of ldquoThe Former Yugoslav Republic of Macedoniardquo March 15 2003
bull Venice Commission Comments on the Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia by Ms Serra Lopes February 28 2003
bull Venice Commission Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia February 2003
bull WBI PREM Notes Public Sector Number 19 April 1999 Using an Ombudsman to oversee Public Officials
bull AGSP The Office of the Parliamentary Ombudsman March 1994 Salaries and Benefits of Legislators
bull AGSP The Social Protection of Parliamentarians Report by Mrs Helene Ponceau General Secretary of the Senate Quaestorrsquos Office [Havana Senate Treasurerrsquos Department] Review No 181 April 2001
Professional Development and Training
bull SADC Parliamentary Forum MPs Orientation Handbook ndash Professional Performance and Development httpwwwsadcpforgaboutindexasp
The Parliament and the Budget Cycle
bull OECD Development Centre Policy Brief No 22 Strengthening Participation in Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD May 2001 OECD Best Practices for Budget Transparency bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and
Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull ASGP The Administrative and Financial Autonomy of Parliamentary Assemblies Report prepared by Michel Couderc (France) adopted at the Moscow Session (September 1998)
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development The Legislature and the Budget by Frederick Stapenhurst 2004 httpwwwworldbankorgwbigovernanceparliament
34
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull WBI Working Papers Series on Contemporary Issues in Parliamentary
Development Parliaments and the PRSP Process by Scott Hubli and Alicia P Mandaville 2004
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull WBI PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull WBI PREM Notes Public Sector Number 74 October 2002 Strengthening Oversight by Legislatures
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull Commonwealth Parliamentary Association (CPA) The Parliamentarian 2002
Issue Two 179 Parliaments and Poverty by Ms Frannie A Lrsquoeautier bull Parliamentary Centre Canada and WBI and CIDA (with support from the
International Development Research Centre) Handbook on Parliamentarians and Policies to Reduce Poverty May 2001
bull Parliamentary Centre Cambodia Focus Group on Parliamentrsquos Role in the Budget Process Analysis
bull Parliamentary Centre Indicators of Parliamentary Performance in the Budget Process
bull The International Budget Project Legislatures and Budget Oversight httpwwwinternationalbudgetorgthemesLEGindexhtm
bull NDI Legislatures and the Budget Process An International Survey 2003 httpwwwndiorgglobalpgovgovernanceasp
bull NDI Parliaments and Poverty Series Toolkit No1 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Parliaments and Poverty Series Toolkit No2 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives
35
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull NDI Parliaments and Poverty Series Toolkit No3 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative Public Outreach on Poverty Issues
bull UNDP IPU WBI and UNIFEM Parliament The Budget and Gender httpwwwundporgdpapublicationsgovernancehtml
bull IMF Finance amp Development Magazine December 2002 Volume 39 Number 4 A Bigger Role for Legislators
bull Case Study PRSPs and Parliament by Stephen Langdon bull Ministry of Foreign Affairs Netherlands March 2002 Economics and Finance
(b) Budget Impact Assessments (Gender Budgeting) bull Cagatay N M Keklik R Lal and J Lang (2000) ldquoBudgets As if People
Mattered Democratizing Macroeconomic Policiesrdquo SEPED Conference Paper Series Number 4 May
bull Navarro Z (1998) ldquoParticipation Democratizing Practices and the Formulation of a Modern Policy ndash the Case of ldquoParticipatory Budgetingrdquo in Porto Alegre Brazil (1989-1998) Development Sage London Volume 41 number 3 September
Representative and Inclusive Parliament
bull Commonwealth Parliamentary Association (CPA) Commonwealth Women Parliamentarians Into The Democratic Mainstream August 2002
bull CPA EnGendering Development and Democracy May 2004 bull IPU and UNDP Guidelines on the Rights and Duties of the Opposition in
Parliament May 19 1999 (Unanimously adopted by the participants at the Parliamentary Seminar on Relations Between Majority and Minority Parties in African Parliaments Libreville (Gabon) 17-19 May 1999)
bull AWEPA European Parliamentarians for Africa OPS7 Parliamentary Gender Handbook South Africa 2001 (found at httpwwwawepaorgdownloadsOPS07-_Parliamentary_Gender_Handbook-_South_Africapdf
Free Elections of Legislators
bull Venice Commission Opinion 2502003 Report on Electoral Systems - Overview of Available Solutions and Selection Criteria Adopted by the Venice Commission at its 57th Plenary Session CDL ndash AD(2004)003 (found at httpvenicecoeintdocs2004CDL-AD(2004)003-easp )
bull Venice Commission Opinion 2392003 Comments on the Draft Law of the Chechen Republic on Elections to the Parliament of the Chechen Republic CDL (2003)021rev (found at httpvenicecoeintdocs2003CDL(2003)021rev-easp )
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Resolution 1320 (2003) httpassemblycoeintDocumentsAdoptedTextTA03ERES1320htm
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Document 9267 15 October 2001
36
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS17 Adequate Facilities Equipment and Technology
Adequate Infrastructure Parliament should have at a minimum the necessary infrastructure and technical assistance including research capacity adequate facilities and equipment to enable it to carry out its basic democratic functions CPA-Rec03 CPA-Rec04 IPU-GD
The working conditions of legislators must be adequate and reflect the importance of Parliament as a key democratic institution Parliament must be housed in one or more buildings with the necessary equipment and office space for legislators and their staff including tables chairs and all other necessary office equipment Adequate resources must be allocated to Parliament andor legislators and support services to maintain and equip their facilities Some of the facilities and services which can be reasonably expected to be available to legislators include
bull Offices bull Secretarial services (general andor individual) bull Library and archive facilities bull Research services (to which requests for information can be submitted) and bull Information technology
In its 2002 Report the CPA Study Group highlights the importance of information technology including ldquoimproved networking between legislators and constituents among legislators between legislators and Parliament and better information sharing and record keepingrdquo Information technology can also facilitate access to information and best practices on the broad range of issues which fall under the purview of parliament including human rights socioeconomic rights and gender issues The use of information technology could include the development of intra-parliament networks and of searchable public databases on parliamentary activity as well as the increased access to outside information for legislators PTAS18 Professional Training for Legislators and Staff
Adequate Training Resources must be allocated to training programs both for new legislators and for the continuing education of sitting legislators These programs must be geared towards developing the skills required by parliamentary functions as well as exposing legislators to substantive issues and developments affecting their legislative oversight and representative functions CLHG CPA-CP
Training should be geared towards providing legislators with the specific skills and knowledge necessary to fulfill their parliamentary functions Legislators just like other professionals need continuing education programs and professional development to keep them updated on emerging democracy and governance trends Equally significant is the need to properly train new or incoming legislators on the constitutional rights and obligations of Parliament internal procedures and order of business ethics etc
27
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS19 Adequately-Compensated Research Library and Committee Staff
Support Staff ldquoParliament should be serviced by professional staff independent of the regular public servicerdquo CLHG IPU-GD
Parliamentary support staff in sufficient numbers and with the appropriate professional skills is crucial for an effective institution Parliamentary staff performs duties such as
bull Assisting in bill drafting bull Tracking the status of bills in the legislative process bull Maintaining and in some cases designing web sites bull Producing and drafting documents about the legislature bull Undertaking accounting and various other clerkship duties
High turnover of parliamentary staff requires more money for attracting new competent staff and providing them with the necessary training It is important to ensure that staff is reasonably well compensated to attract good candidates for the job who will retain their jobs longer When vacancies are not rapidly filled parliamentary work can be undermined resulting in misplacement of documents errors and overall inefficiency Parliamentary staff should be independent from other public service offices Their selection promotion and discipline must be clearly defined and reflect merit-based criteria and transparent processes Professional development opportunities and training should be offered to them The longer support staff stay in Parliament the more it benefits the institution especially as it may provide new legislators with the information and support necessary to adapt to their new functions faster
28
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 1 List of Acronyms
Banjul African Charter on Human and Peoplersquos Rights (1986) CEDAW Convention on the Elimination of All Forms of Discrimination
against Women ICERD Convention on the Elimination of All Forms of Racial
Discrimination CLHP Commonwealth Latimer House Principles on the Accountability and Relationship between the Three Branches of Government (2003) CLHG Commonwealth Latimer House Guidelines (1998) CPA Commonwealth Parliamentary Association CPA-Media Parliament and the Media Building an Effective Relationship
CPA (2000) CPA-CP Capetown Principles for an Informed Democracy CPA (2002) CPA-Rec03 Recommendation for an Informed Democracy CPA (2003) CPA-Rec04 Recommendation for Transparent Governance CPA (2004 CSCE Conference on Security and Cooperation in Europe CSCE-CD Copenhagen Document CSCE (1990) CSCE-MD Moscow Document CSCE (1991) ECHR European Convention on Human Rights and Fundamental
Liberties (1951) ECOWAS-P Protocol ASP11202 on Democracy and Good Governance
ECOWAS (2001) IACHR Inter-American Convention on Human Rights (1978) ICCPR International Covenant on Civil and Political Rights (1966) IPU Inter-Parliamentary Union IPU-DD Universal Declaration on Democracy IPU (1997) IPU-GD Guidelines and Duties for the Opposition in Parliament IPU (1999) IPU-Res03 Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World IPU (2003) UPA Union des Parlementaires Africains [African Parliamentary Union] UPA-Res00 Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence Building between Peoples and their Institutions (2000) UNHCHR United Nations High Commissioner for Human Rights Resolution
200047
29
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 2 Bibliography Governmental Documents
bull Commonwealth Latimer House Standards bull Commonwealth Latimer House Guidelines bull Commonwealth Parliamentary Association (CPA) Parliament and the Media
Building an Effective Relationship bull English Bill of Rights 1689 bull Inter-Parliamentary Union (IPU) Guidelines bull ECOWAS Protocol on Democracy and Good Governance Supplementary to the
Protocol Relating to the Mechanism for Conflict Prevention Management Resolution Peacekeeping and Security
bull Protocol on the Privileges and Immunities of the European Communities bull ECPRD Parliamentary Codes of Conduct in Europe (Compilation by the Council
of Europe Parliamentary Assembly) bull IPU Universal Declaration on Democracy bull International Covenant on Civil and Political Rights (ICCPR) bull The African (Banjul) Charter on Human and Peoplersquos Rights bull The Johannesburg Standards National Security Freedom of Expression and
Access to Information bull Document of the Copenhagen Meeting of the Conference on the Human
Dimension of the CSCE 1990 bull Declaration of Principle on Freedom of Expression in Africa bull Union des Parliamentaires Africains on the Role of Parliaments in the
Consolidation of Democracy and Confidence-Building Between the Peoples and their Institutions 23rd Conference in Addis Ababa 24-25 November 2000
bull The Harare Declaration bull IPU Conference of Presiding Officers of National Parliaments bull International Convention on the Elimination of All Forms of Racial
Discrimination bull Convention on the Elimination of All Forms of Discrimination Against Women bull Report of the Ethics Reform Task Force on H Res 168 105th Congress 1st
Session 17 June 1997 (found at httpwwwhousegovethicsethicsreporttxt ) bull Parliamentary Standards and the Wicks Committee Report Standard Note
SNPC2200 24 June 2003 by Ruth Winstone (found at httpwwwparliamentukcommonslibresearchnotessnpc-02200pdf )
bull Committee on Standards in Public Life First Report Cm 2850 Volume 1 11 May 1995 (found at httpwwwarchiveofficial-documentscoukdocumentcm282850285002pdf )
bull Committee on Standards in Public Life Sixth Report Reinforcing Standards Cm 4557 Volume 1 January 2000 (found at httpwwwpublic-standardsgovuk )
bull Committee on Standards in Public Life Eighth Report Cm 5663 Standards of Conduct in the House of Commons November 2002 (found at httpwww-standardsgovukreports8th_reportreporteighthreportpdf
bull African Union Declarations and Decisions
30
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The African Commission Declaration of Principle on Freedom of Expression in Africa
bull United Nations High Commissioner for Human Rights Resolution 200047
Non-Governmental Documents Transparency and Accountability of the Parliament
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Anti-Corruption Commissions Panacea or Real Medicine to Fight Corruption By John Heilbrunn 2004
bull PREM Notes Public Sector No 74 October 2002 Strengthening Oversight by Legislatures (found at httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull PREM Notes Public Sector No63 March 2002 Strengthening Legislatures Implications from Industrial Countries (found at httpwww1worldbankorgpremPREMNotespremnote63pdf )
bull WBI Working Papers Building a Clean Machine Anti-Corruption Coalitions and Sustainable Reforms by Michael Johnston and Sahr J Kpundeh 2002
bull IFES IFES Parliamentary Toolkit Transparency and Accountability Tools for Civil Society
bull PREM Notes Public Sector No59 October 2001 Features and Functions of Supreme Audit Institutions
bull World Bank Institute Improving Governance and Controlling Corruption Towards a Participatory and Action-oriented Approach Grounded on Empirical Rigor October 2001
bull World Bank Towards Transparency in Finance and Governance by Tara Vishwanath and Daniel Kaufman September 6 1999
bull World Bank Institute Pillars of Integrity The Importance of Supreme Audit Institutions in Curbing Corruption by Kenneth M Dye and Rick Stapenhurst 1998
bull Association of Secretaries General of Parliaments (ASGP) Promoting the Work of Parliament Report by Mr Ian Harris Clerk of the House of Representatives of Australia19 Autumn 2000 (found at httpwwwasgpinfodiscussionshtmstudies)
bull USAID Handbook on Legislative Strengthening httpwwwusaidgovour_workdemocracy_and_governancegovhtml
bull Parliamentary Centre Canada Controlling Corruption A Parliamentarianrsquos Handbook httpwwwparlcentcaindex_ephp
bull Parliamentary Centre Canada Parliamentary Accountability and Good Governance httpwwwparlcentcaindex_ephp
19 This report contains a detailed analysis of the answers from a Questionnaire of how the public is provided information about the operation and work of Parliament The review was launched at the Conference of the Association of Secretaries General of Parliaments which was held in Autumn 2000 in Jakarta
31
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Center for Democracy and Governance February 2000 USAID Handbook on Legislative Strengthening
bull Parliamentary Centre Parliamentary Accountability and Good Governance A Parliamentarianrsquos Handbook
bull Parliamentary Centre Forum on Parliamentary Reform bull NEPAD Library Emerging Legislatures in Emerging African Democracies bull Commonwealth Parliamentary Association and World Bank Institute
Recommendations for Transparent Governance Conclusions of a CPA Study Group on Access to Information Accra Ghana 5-9 July 2004
bull GOPAC Parliamentarians Fighting Corruption A Conceptual Overview PCentrefsPCentreSProjectsParliamentary_RelationsGOPACWBI
bull International IDEA Democracy Assessment Questionnaire wwwideaintideas_work14_statedemocracy_assessmentpdf
bull NDI and UNDP Parliaments and Poverty Series Toolkit No1 Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Strengthening the Accountability Process and Parliamentary Reform A Report on the Parliamentary Roundtable Held in Bhurban Pakistan March 1-2 1997
Independence of the Parliament bull NDI Strengthening Legislative Capacity in Legislative-Executive Relations
Paper 6 httpwwwndiorgglobalpgovgovernanceasp bull Venice Commission Opinion on the Draft Proposal for Rules of Procedure of the
Assembly of the Republic of Macedonia by Georg Nolte July 5 2002 bull Venice Commission Report on the Referral of a Law Back to Parliament by the
Head of State November 15 1996 bull AGSP The Role of the Secretary General in the Administration of Parliament
Report by Mr Ugo Zampetti General Secretary of the Chamber of Deputies (Italy) October 2000 Review no 180
bull AGSP Constitutional and Parliamentary Information The Status of Parliamentary Groups
Parliamentary Immunity
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union Part Three Immunity in the European Parliament June 2001
bull Venice Commission Opinion 11995 Report on the Regime of Parliamentary Immunity CDL ndash INF(1996) 007 6496 (found at httpvenicecoeintsitedynamicsN_Opinion_efaspampL=EampOID=1 )
bull Venice Commission Supplementary Opinion on the Revision of the Constitution of Romania October 18 2002
32
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Venice Commission Draft Report ndash The Regime of Parliamentary Immunity April 29 1996
bull Venice Commission Questionnaire on Parliamentary Immunity prepared by Mr GW Maas-Geesteranus June 19 1995
Freedom of Parliamentary Speech
bull AGSP The Immunities of Members of Parliament Report prepared by Mr Robert Myttenaere September 1998
bull AGSP Position of Witnesses before Parliamentary Committees Report prepared by Mr Demaree JB Raval April 1997
Conflict of Interest amp Ethics
bull Parliamentary Affairs A Journal of Comparative Politics Volume 55 No 4 October 2002 Conduct Unbecoming The Regulation of Legislative Ethics in Britain and the United States by Robert Williams
bull Parliamentary Affairs A Journal of Comparative Politics Volume 52 No 3 July 1999 Parliament in the Age of Internet by S Coleman JA Taylor and W Van de Donk
bull European Centre for Parliamentary Research and Documentation (ECPRD) Parliamentary Codes of Conduct in Europe an Overview November 2001
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union June 2001
bull Research Paper Commissioned on behalf of The Committee on Standards in Public Life May 2002 The Regulation of Parliamentary Standards ndash A Comparative Perspective (found at httpwwwpublic-standardsgovukreports8th_reportreportresearchdoc
bull House of Representatives Resolution 168 on the Report of the Ethics Reform Task Force 18 June 1997
bull NDI Accountability Ethics and Transparency in Government Pakistan Study Mission to South Africa June 3 1997
bull NDI Report on Regional Consultative Workshops ndash Ethics Questionnaire August 1998
bull Council of Europe Steering Committee on Local and Regional Democracy (CDLR) Public Ethics at Local Level Model Initiatives Package November 25 2002
bull NDI Legislative Research Series Paper No 4 ndash Legislative Ethics A Comparative Analysis 1999
bull OECD United States Case Study ndash Ethics and Corruption The Management of Ethics and Conduct in the Public Service by Stuart Gilman December 1995
bull OECD Recommendations of the Council on Guidelines for Managing Conflict of Interest in the Public Service June 2003
33
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Sanction and Removal of Legislators bull Venice Commission Comments on the Draft Law of the Chechen Republic on
Elections to the Parliament of the Chechen Republic As Submitted to Referendum by Mr G Nolte March 23 2003
bull Venice Commission Opinion on the Draft Law on the Public Attorney (Ombudsman) of ldquoThe Former Yugoslav Republic of Macedoniardquo March 15 2003
bull Venice Commission Comments on the Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia by Ms Serra Lopes February 28 2003
bull Venice Commission Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia February 2003
bull WBI PREM Notes Public Sector Number 19 April 1999 Using an Ombudsman to oversee Public Officials
bull AGSP The Office of the Parliamentary Ombudsman March 1994 Salaries and Benefits of Legislators
bull AGSP The Social Protection of Parliamentarians Report by Mrs Helene Ponceau General Secretary of the Senate Quaestorrsquos Office [Havana Senate Treasurerrsquos Department] Review No 181 April 2001
Professional Development and Training
bull SADC Parliamentary Forum MPs Orientation Handbook ndash Professional Performance and Development httpwwwsadcpforgaboutindexasp
The Parliament and the Budget Cycle
bull OECD Development Centre Policy Brief No 22 Strengthening Participation in Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD May 2001 OECD Best Practices for Budget Transparency bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and
Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull ASGP The Administrative and Financial Autonomy of Parliamentary Assemblies Report prepared by Michel Couderc (France) adopted at the Moscow Session (September 1998)
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development The Legislature and the Budget by Frederick Stapenhurst 2004 httpwwwworldbankorgwbigovernanceparliament
34
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull WBI Working Papers Series on Contemporary Issues in Parliamentary
Development Parliaments and the PRSP Process by Scott Hubli and Alicia P Mandaville 2004
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull WBI PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull WBI PREM Notes Public Sector Number 74 October 2002 Strengthening Oversight by Legislatures
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull Commonwealth Parliamentary Association (CPA) The Parliamentarian 2002
Issue Two 179 Parliaments and Poverty by Ms Frannie A Lrsquoeautier bull Parliamentary Centre Canada and WBI and CIDA (with support from the
International Development Research Centre) Handbook on Parliamentarians and Policies to Reduce Poverty May 2001
bull Parliamentary Centre Cambodia Focus Group on Parliamentrsquos Role in the Budget Process Analysis
bull Parliamentary Centre Indicators of Parliamentary Performance in the Budget Process
bull The International Budget Project Legislatures and Budget Oversight httpwwwinternationalbudgetorgthemesLEGindexhtm
bull NDI Legislatures and the Budget Process An International Survey 2003 httpwwwndiorgglobalpgovgovernanceasp
bull NDI Parliaments and Poverty Series Toolkit No1 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Parliaments and Poverty Series Toolkit No2 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives
35
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull NDI Parliaments and Poverty Series Toolkit No3 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative Public Outreach on Poverty Issues
bull UNDP IPU WBI and UNIFEM Parliament The Budget and Gender httpwwwundporgdpapublicationsgovernancehtml
bull IMF Finance amp Development Magazine December 2002 Volume 39 Number 4 A Bigger Role for Legislators
bull Case Study PRSPs and Parliament by Stephen Langdon bull Ministry of Foreign Affairs Netherlands March 2002 Economics and Finance
(b) Budget Impact Assessments (Gender Budgeting) bull Cagatay N M Keklik R Lal and J Lang (2000) ldquoBudgets As if People
Mattered Democratizing Macroeconomic Policiesrdquo SEPED Conference Paper Series Number 4 May
bull Navarro Z (1998) ldquoParticipation Democratizing Practices and the Formulation of a Modern Policy ndash the Case of ldquoParticipatory Budgetingrdquo in Porto Alegre Brazil (1989-1998) Development Sage London Volume 41 number 3 September
Representative and Inclusive Parliament
bull Commonwealth Parliamentary Association (CPA) Commonwealth Women Parliamentarians Into The Democratic Mainstream August 2002
bull CPA EnGendering Development and Democracy May 2004 bull IPU and UNDP Guidelines on the Rights and Duties of the Opposition in
Parliament May 19 1999 (Unanimously adopted by the participants at the Parliamentary Seminar on Relations Between Majority and Minority Parties in African Parliaments Libreville (Gabon) 17-19 May 1999)
bull AWEPA European Parliamentarians for Africa OPS7 Parliamentary Gender Handbook South Africa 2001 (found at httpwwwawepaorgdownloadsOPS07-_Parliamentary_Gender_Handbook-_South_Africapdf
Free Elections of Legislators
bull Venice Commission Opinion 2502003 Report on Electoral Systems - Overview of Available Solutions and Selection Criteria Adopted by the Venice Commission at its 57th Plenary Session CDL ndash AD(2004)003 (found at httpvenicecoeintdocs2004CDL-AD(2004)003-easp )
bull Venice Commission Opinion 2392003 Comments on the Draft Law of the Chechen Republic on Elections to the Parliament of the Chechen Republic CDL (2003)021rev (found at httpvenicecoeintdocs2003CDL(2003)021rev-easp )
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Resolution 1320 (2003) httpassemblycoeintDocumentsAdoptedTextTA03ERES1320htm
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Document 9267 15 October 2001
36
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS19 Adequately-Compensated Research Library and Committee Staff
Support Staff ldquoParliament should be serviced by professional staff independent of the regular public servicerdquo CLHG IPU-GD
Parliamentary support staff in sufficient numbers and with the appropriate professional skills is crucial for an effective institution Parliamentary staff performs duties such as
bull Assisting in bill drafting bull Tracking the status of bills in the legislative process bull Maintaining and in some cases designing web sites bull Producing and drafting documents about the legislature bull Undertaking accounting and various other clerkship duties
High turnover of parliamentary staff requires more money for attracting new competent staff and providing them with the necessary training It is important to ensure that staff is reasonably well compensated to attract good candidates for the job who will retain their jobs longer When vacancies are not rapidly filled parliamentary work can be undermined resulting in misplacement of documents errors and overall inefficiency Parliamentary staff should be independent from other public service offices Their selection promotion and discipline must be clearly defined and reflect merit-based criteria and transparent processes Professional development opportunities and training should be offered to them The longer support staff stay in Parliament the more it benefits the institution especially as it may provide new legislators with the information and support necessary to adapt to their new functions faster
28
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 1 List of Acronyms
Banjul African Charter on Human and Peoplersquos Rights (1986) CEDAW Convention on the Elimination of All Forms of Discrimination
against Women ICERD Convention on the Elimination of All Forms of Racial
Discrimination CLHP Commonwealth Latimer House Principles on the Accountability and Relationship between the Three Branches of Government (2003) CLHG Commonwealth Latimer House Guidelines (1998) CPA Commonwealth Parliamentary Association CPA-Media Parliament and the Media Building an Effective Relationship
CPA (2000) CPA-CP Capetown Principles for an Informed Democracy CPA (2002) CPA-Rec03 Recommendation for an Informed Democracy CPA (2003) CPA-Rec04 Recommendation for Transparent Governance CPA (2004 CSCE Conference on Security and Cooperation in Europe CSCE-CD Copenhagen Document CSCE (1990) CSCE-MD Moscow Document CSCE (1991) ECHR European Convention on Human Rights and Fundamental
Liberties (1951) ECOWAS-P Protocol ASP11202 on Democracy and Good Governance
ECOWAS (2001) IACHR Inter-American Convention on Human Rights (1978) ICCPR International Covenant on Civil and Political Rights (1966) IPU Inter-Parliamentary Union IPU-DD Universal Declaration on Democracy IPU (1997) IPU-GD Guidelines and Duties for the Opposition in Parliament IPU (1999) IPU-Res03 Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World IPU (2003) UPA Union des Parlementaires Africains [African Parliamentary Union] UPA-Res00 Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence Building between Peoples and their Institutions (2000) UNHCHR United Nations High Commissioner for Human Rights Resolution
200047
29
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 2 Bibliography Governmental Documents
bull Commonwealth Latimer House Standards bull Commonwealth Latimer House Guidelines bull Commonwealth Parliamentary Association (CPA) Parliament and the Media
Building an Effective Relationship bull English Bill of Rights 1689 bull Inter-Parliamentary Union (IPU) Guidelines bull ECOWAS Protocol on Democracy and Good Governance Supplementary to the
Protocol Relating to the Mechanism for Conflict Prevention Management Resolution Peacekeeping and Security
bull Protocol on the Privileges and Immunities of the European Communities bull ECPRD Parliamentary Codes of Conduct in Europe (Compilation by the Council
of Europe Parliamentary Assembly) bull IPU Universal Declaration on Democracy bull International Covenant on Civil and Political Rights (ICCPR) bull The African (Banjul) Charter on Human and Peoplersquos Rights bull The Johannesburg Standards National Security Freedom of Expression and
Access to Information bull Document of the Copenhagen Meeting of the Conference on the Human
Dimension of the CSCE 1990 bull Declaration of Principle on Freedom of Expression in Africa bull Union des Parliamentaires Africains on the Role of Parliaments in the
Consolidation of Democracy and Confidence-Building Between the Peoples and their Institutions 23rd Conference in Addis Ababa 24-25 November 2000
bull The Harare Declaration bull IPU Conference of Presiding Officers of National Parliaments bull International Convention on the Elimination of All Forms of Racial
Discrimination bull Convention on the Elimination of All Forms of Discrimination Against Women bull Report of the Ethics Reform Task Force on H Res 168 105th Congress 1st
Session 17 June 1997 (found at httpwwwhousegovethicsethicsreporttxt ) bull Parliamentary Standards and the Wicks Committee Report Standard Note
SNPC2200 24 June 2003 by Ruth Winstone (found at httpwwwparliamentukcommonslibresearchnotessnpc-02200pdf )
bull Committee on Standards in Public Life First Report Cm 2850 Volume 1 11 May 1995 (found at httpwwwarchiveofficial-documentscoukdocumentcm282850285002pdf )
bull Committee on Standards in Public Life Sixth Report Reinforcing Standards Cm 4557 Volume 1 January 2000 (found at httpwwwpublic-standardsgovuk )
bull Committee on Standards in Public Life Eighth Report Cm 5663 Standards of Conduct in the House of Commons November 2002 (found at httpwww-standardsgovukreports8th_reportreporteighthreportpdf
bull African Union Declarations and Decisions
30
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The African Commission Declaration of Principle on Freedom of Expression in Africa
bull United Nations High Commissioner for Human Rights Resolution 200047
Non-Governmental Documents Transparency and Accountability of the Parliament
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Anti-Corruption Commissions Panacea or Real Medicine to Fight Corruption By John Heilbrunn 2004
bull PREM Notes Public Sector No 74 October 2002 Strengthening Oversight by Legislatures (found at httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull PREM Notes Public Sector No63 March 2002 Strengthening Legislatures Implications from Industrial Countries (found at httpwww1worldbankorgpremPREMNotespremnote63pdf )
bull WBI Working Papers Building a Clean Machine Anti-Corruption Coalitions and Sustainable Reforms by Michael Johnston and Sahr J Kpundeh 2002
bull IFES IFES Parliamentary Toolkit Transparency and Accountability Tools for Civil Society
bull PREM Notes Public Sector No59 October 2001 Features and Functions of Supreme Audit Institutions
bull World Bank Institute Improving Governance and Controlling Corruption Towards a Participatory and Action-oriented Approach Grounded on Empirical Rigor October 2001
bull World Bank Towards Transparency in Finance and Governance by Tara Vishwanath and Daniel Kaufman September 6 1999
bull World Bank Institute Pillars of Integrity The Importance of Supreme Audit Institutions in Curbing Corruption by Kenneth M Dye and Rick Stapenhurst 1998
bull Association of Secretaries General of Parliaments (ASGP) Promoting the Work of Parliament Report by Mr Ian Harris Clerk of the House of Representatives of Australia19 Autumn 2000 (found at httpwwwasgpinfodiscussionshtmstudies)
bull USAID Handbook on Legislative Strengthening httpwwwusaidgovour_workdemocracy_and_governancegovhtml
bull Parliamentary Centre Canada Controlling Corruption A Parliamentarianrsquos Handbook httpwwwparlcentcaindex_ephp
bull Parliamentary Centre Canada Parliamentary Accountability and Good Governance httpwwwparlcentcaindex_ephp
19 This report contains a detailed analysis of the answers from a Questionnaire of how the public is provided information about the operation and work of Parliament The review was launched at the Conference of the Association of Secretaries General of Parliaments which was held in Autumn 2000 in Jakarta
31
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Center for Democracy and Governance February 2000 USAID Handbook on Legislative Strengthening
bull Parliamentary Centre Parliamentary Accountability and Good Governance A Parliamentarianrsquos Handbook
bull Parliamentary Centre Forum on Parliamentary Reform bull NEPAD Library Emerging Legislatures in Emerging African Democracies bull Commonwealth Parliamentary Association and World Bank Institute
Recommendations for Transparent Governance Conclusions of a CPA Study Group on Access to Information Accra Ghana 5-9 July 2004
bull GOPAC Parliamentarians Fighting Corruption A Conceptual Overview PCentrefsPCentreSProjectsParliamentary_RelationsGOPACWBI
bull International IDEA Democracy Assessment Questionnaire wwwideaintideas_work14_statedemocracy_assessmentpdf
bull NDI and UNDP Parliaments and Poverty Series Toolkit No1 Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Strengthening the Accountability Process and Parliamentary Reform A Report on the Parliamentary Roundtable Held in Bhurban Pakistan March 1-2 1997
Independence of the Parliament bull NDI Strengthening Legislative Capacity in Legislative-Executive Relations
Paper 6 httpwwwndiorgglobalpgovgovernanceasp bull Venice Commission Opinion on the Draft Proposal for Rules of Procedure of the
Assembly of the Republic of Macedonia by Georg Nolte July 5 2002 bull Venice Commission Report on the Referral of a Law Back to Parliament by the
Head of State November 15 1996 bull AGSP The Role of the Secretary General in the Administration of Parliament
Report by Mr Ugo Zampetti General Secretary of the Chamber of Deputies (Italy) October 2000 Review no 180
bull AGSP Constitutional and Parliamentary Information The Status of Parliamentary Groups
Parliamentary Immunity
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union Part Three Immunity in the European Parliament June 2001
bull Venice Commission Opinion 11995 Report on the Regime of Parliamentary Immunity CDL ndash INF(1996) 007 6496 (found at httpvenicecoeintsitedynamicsN_Opinion_efaspampL=EampOID=1 )
bull Venice Commission Supplementary Opinion on the Revision of the Constitution of Romania October 18 2002
32
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Venice Commission Draft Report ndash The Regime of Parliamentary Immunity April 29 1996
bull Venice Commission Questionnaire on Parliamentary Immunity prepared by Mr GW Maas-Geesteranus June 19 1995
Freedom of Parliamentary Speech
bull AGSP The Immunities of Members of Parliament Report prepared by Mr Robert Myttenaere September 1998
bull AGSP Position of Witnesses before Parliamentary Committees Report prepared by Mr Demaree JB Raval April 1997
Conflict of Interest amp Ethics
bull Parliamentary Affairs A Journal of Comparative Politics Volume 55 No 4 October 2002 Conduct Unbecoming The Regulation of Legislative Ethics in Britain and the United States by Robert Williams
bull Parliamentary Affairs A Journal of Comparative Politics Volume 52 No 3 July 1999 Parliament in the Age of Internet by S Coleman JA Taylor and W Van de Donk
bull European Centre for Parliamentary Research and Documentation (ECPRD) Parliamentary Codes of Conduct in Europe an Overview November 2001
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union June 2001
bull Research Paper Commissioned on behalf of The Committee on Standards in Public Life May 2002 The Regulation of Parliamentary Standards ndash A Comparative Perspective (found at httpwwwpublic-standardsgovukreports8th_reportreportresearchdoc
bull House of Representatives Resolution 168 on the Report of the Ethics Reform Task Force 18 June 1997
bull NDI Accountability Ethics and Transparency in Government Pakistan Study Mission to South Africa June 3 1997
bull NDI Report on Regional Consultative Workshops ndash Ethics Questionnaire August 1998
bull Council of Europe Steering Committee on Local and Regional Democracy (CDLR) Public Ethics at Local Level Model Initiatives Package November 25 2002
bull NDI Legislative Research Series Paper No 4 ndash Legislative Ethics A Comparative Analysis 1999
bull OECD United States Case Study ndash Ethics and Corruption The Management of Ethics and Conduct in the Public Service by Stuart Gilman December 1995
bull OECD Recommendations of the Council on Guidelines for Managing Conflict of Interest in the Public Service June 2003
33
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Sanction and Removal of Legislators bull Venice Commission Comments on the Draft Law of the Chechen Republic on
Elections to the Parliament of the Chechen Republic As Submitted to Referendum by Mr G Nolte March 23 2003
bull Venice Commission Opinion on the Draft Law on the Public Attorney (Ombudsman) of ldquoThe Former Yugoslav Republic of Macedoniardquo March 15 2003
bull Venice Commission Comments on the Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia by Ms Serra Lopes February 28 2003
bull Venice Commission Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia February 2003
bull WBI PREM Notes Public Sector Number 19 April 1999 Using an Ombudsman to oversee Public Officials
bull AGSP The Office of the Parliamentary Ombudsman March 1994 Salaries and Benefits of Legislators
bull AGSP The Social Protection of Parliamentarians Report by Mrs Helene Ponceau General Secretary of the Senate Quaestorrsquos Office [Havana Senate Treasurerrsquos Department] Review No 181 April 2001
Professional Development and Training
bull SADC Parliamentary Forum MPs Orientation Handbook ndash Professional Performance and Development httpwwwsadcpforgaboutindexasp
The Parliament and the Budget Cycle
bull OECD Development Centre Policy Brief No 22 Strengthening Participation in Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD May 2001 OECD Best Practices for Budget Transparency bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and
Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull ASGP The Administrative and Financial Autonomy of Parliamentary Assemblies Report prepared by Michel Couderc (France) adopted at the Moscow Session (September 1998)
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development The Legislature and the Budget by Frederick Stapenhurst 2004 httpwwwworldbankorgwbigovernanceparliament
34
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull WBI Working Papers Series on Contemporary Issues in Parliamentary
Development Parliaments and the PRSP Process by Scott Hubli and Alicia P Mandaville 2004
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull WBI PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull WBI PREM Notes Public Sector Number 74 October 2002 Strengthening Oversight by Legislatures
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull Commonwealth Parliamentary Association (CPA) The Parliamentarian 2002
Issue Two 179 Parliaments and Poverty by Ms Frannie A Lrsquoeautier bull Parliamentary Centre Canada and WBI and CIDA (with support from the
International Development Research Centre) Handbook on Parliamentarians and Policies to Reduce Poverty May 2001
bull Parliamentary Centre Cambodia Focus Group on Parliamentrsquos Role in the Budget Process Analysis
bull Parliamentary Centre Indicators of Parliamentary Performance in the Budget Process
bull The International Budget Project Legislatures and Budget Oversight httpwwwinternationalbudgetorgthemesLEGindexhtm
bull NDI Legislatures and the Budget Process An International Survey 2003 httpwwwndiorgglobalpgovgovernanceasp
bull NDI Parliaments and Poverty Series Toolkit No1 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Parliaments and Poverty Series Toolkit No2 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives
35
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull NDI Parliaments and Poverty Series Toolkit No3 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative Public Outreach on Poverty Issues
bull UNDP IPU WBI and UNIFEM Parliament The Budget and Gender httpwwwundporgdpapublicationsgovernancehtml
bull IMF Finance amp Development Magazine December 2002 Volume 39 Number 4 A Bigger Role for Legislators
bull Case Study PRSPs and Parliament by Stephen Langdon bull Ministry of Foreign Affairs Netherlands March 2002 Economics and Finance
(b) Budget Impact Assessments (Gender Budgeting) bull Cagatay N M Keklik R Lal and J Lang (2000) ldquoBudgets As if People
Mattered Democratizing Macroeconomic Policiesrdquo SEPED Conference Paper Series Number 4 May
bull Navarro Z (1998) ldquoParticipation Democratizing Practices and the Formulation of a Modern Policy ndash the Case of ldquoParticipatory Budgetingrdquo in Porto Alegre Brazil (1989-1998) Development Sage London Volume 41 number 3 September
Representative and Inclusive Parliament
bull Commonwealth Parliamentary Association (CPA) Commonwealth Women Parliamentarians Into The Democratic Mainstream August 2002
bull CPA EnGendering Development and Democracy May 2004 bull IPU and UNDP Guidelines on the Rights and Duties of the Opposition in
Parliament May 19 1999 (Unanimously adopted by the participants at the Parliamentary Seminar on Relations Between Majority and Minority Parties in African Parliaments Libreville (Gabon) 17-19 May 1999)
bull AWEPA European Parliamentarians for Africa OPS7 Parliamentary Gender Handbook South Africa 2001 (found at httpwwwawepaorgdownloadsOPS07-_Parliamentary_Gender_Handbook-_South_Africapdf
Free Elections of Legislators
bull Venice Commission Opinion 2502003 Report on Electoral Systems - Overview of Available Solutions and Selection Criteria Adopted by the Venice Commission at its 57th Plenary Session CDL ndash AD(2004)003 (found at httpvenicecoeintdocs2004CDL-AD(2004)003-easp )
bull Venice Commission Opinion 2392003 Comments on the Draft Law of the Chechen Republic on Elections to the Parliament of the Chechen Republic CDL (2003)021rev (found at httpvenicecoeintdocs2003CDL(2003)021rev-easp )
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Resolution 1320 (2003) httpassemblycoeintDocumentsAdoptedTextTA03ERES1320htm
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Document 9267 15 October 2001
36
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 1 List of Acronyms
Banjul African Charter on Human and Peoplersquos Rights (1986) CEDAW Convention on the Elimination of All Forms of Discrimination
against Women ICERD Convention on the Elimination of All Forms of Racial
Discrimination CLHP Commonwealth Latimer House Principles on the Accountability and Relationship between the Three Branches of Government (2003) CLHG Commonwealth Latimer House Guidelines (1998) CPA Commonwealth Parliamentary Association CPA-Media Parliament and the Media Building an Effective Relationship
CPA (2000) CPA-CP Capetown Principles for an Informed Democracy CPA (2002) CPA-Rec03 Recommendation for an Informed Democracy CPA (2003) CPA-Rec04 Recommendation for Transparent Governance CPA (2004 CSCE Conference on Security and Cooperation in Europe CSCE-CD Copenhagen Document CSCE (1990) CSCE-MD Moscow Document CSCE (1991) ECHR European Convention on Human Rights and Fundamental
Liberties (1951) ECOWAS-P Protocol ASP11202 on Democracy and Good Governance
ECOWAS (2001) IACHR Inter-American Convention on Human Rights (1978) ICCPR International Covenant on Civil and Political Rights (1966) IPU Inter-Parliamentary Union IPU-DD Universal Declaration on Democracy IPU (1997) IPU-GD Guidelines and Duties for the Opposition in Parliament IPU (1999) IPU-Res03 Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World IPU (2003) UPA Union des Parlementaires Africains [African Parliamentary Union] UPA-Res00 Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence Building between Peoples and their Institutions (2000) UNHCHR United Nations High Commissioner for Human Rights Resolution
200047
29
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 2 Bibliography Governmental Documents
bull Commonwealth Latimer House Standards bull Commonwealth Latimer House Guidelines bull Commonwealth Parliamentary Association (CPA) Parliament and the Media
Building an Effective Relationship bull English Bill of Rights 1689 bull Inter-Parliamentary Union (IPU) Guidelines bull ECOWAS Protocol on Democracy and Good Governance Supplementary to the
Protocol Relating to the Mechanism for Conflict Prevention Management Resolution Peacekeeping and Security
bull Protocol on the Privileges and Immunities of the European Communities bull ECPRD Parliamentary Codes of Conduct in Europe (Compilation by the Council
of Europe Parliamentary Assembly) bull IPU Universal Declaration on Democracy bull International Covenant on Civil and Political Rights (ICCPR) bull The African (Banjul) Charter on Human and Peoplersquos Rights bull The Johannesburg Standards National Security Freedom of Expression and
Access to Information bull Document of the Copenhagen Meeting of the Conference on the Human
Dimension of the CSCE 1990 bull Declaration of Principle on Freedom of Expression in Africa bull Union des Parliamentaires Africains on the Role of Parliaments in the
Consolidation of Democracy and Confidence-Building Between the Peoples and their Institutions 23rd Conference in Addis Ababa 24-25 November 2000
bull The Harare Declaration bull IPU Conference of Presiding Officers of National Parliaments bull International Convention on the Elimination of All Forms of Racial
Discrimination bull Convention on the Elimination of All Forms of Discrimination Against Women bull Report of the Ethics Reform Task Force on H Res 168 105th Congress 1st
Session 17 June 1997 (found at httpwwwhousegovethicsethicsreporttxt ) bull Parliamentary Standards and the Wicks Committee Report Standard Note
SNPC2200 24 June 2003 by Ruth Winstone (found at httpwwwparliamentukcommonslibresearchnotessnpc-02200pdf )
bull Committee on Standards in Public Life First Report Cm 2850 Volume 1 11 May 1995 (found at httpwwwarchiveofficial-documentscoukdocumentcm282850285002pdf )
bull Committee on Standards in Public Life Sixth Report Reinforcing Standards Cm 4557 Volume 1 January 2000 (found at httpwwwpublic-standardsgovuk )
bull Committee on Standards in Public Life Eighth Report Cm 5663 Standards of Conduct in the House of Commons November 2002 (found at httpwww-standardsgovukreports8th_reportreporteighthreportpdf
bull African Union Declarations and Decisions
30
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The African Commission Declaration of Principle on Freedom of Expression in Africa
bull United Nations High Commissioner for Human Rights Resolution 200047
Non-Governmental Documents Transparency and Accountability of the Parliament
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Anti-Corruption Commissions Panacea or Real Medicine to Fight Corruption By John Heilbrunn 2004
bull PREM Notes Public Sector No 74 October 2002 Strengthening Oversight by Legislatures (found at httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull PREM Notes Public Sector No63 March 2002 Strengthening Legislatures Implications from Industrial Countries (found at httpwww1worldbankorgpremPREMNotespremnote63pdf )
bull WBI Working Papers Building a Clean Machine Anti-Corruption Coalitions and Sustainable Reforms by Michael Johnston and Sahr J Kpundeh 2002
bull IFES IFES Parliamentary Toolkit Transparency and Accountability Tools for Civil Society
bull PREM Notes Public Sector No59 October 2001 Features and Functions of Supreme Audit Institutions
bull World Bank Institute Improving Governance and Controlling Corruption Towards a Participatory and Action-oriented Approach Grounded on Empirical Rigor October 2001
bull World Bank Towards Transparency in Finance and Governance by Tara Vishwanath and Daniel Kaufman September 6 1999
bull World Bank Institute Pillars of Integrity The Importance of Supreme Audit Institutions in Curbing Corruption by Kenneth M Dye and Rick Stapenhurst 1998
bull Association of Secretaries General of Parliaments (ASGP) Promoting the Work of Parliament Report by Mr Ian Harris Clerk of the House of Representatives of Australia19 Autumn 2000 (found at httpwwwasgpinfodiscussionshtmstudies)
bull USAID Handbook on Legislative Strengthening httpwwwusaidgovour_workdemocracy_and_governancegovhtml
bull Parliamentary Centre Canada Controlling Corruption A Parliamentarianrsquos Handbook httpwwwparlcentcaindex_ephp
bull Parliamentary Centre Canada Parliamentary Accountability and Good Governance httpwwwparlcentcaindex_ephp
19 This report contains a detailed analysis of the answers from a Questionnaire of how the public is provided information about the operation and work of Parliament The review was launched at the Conference of the Association of Secretaries General of Parliaments which was held in Autumn 2000 in Jakarta
31
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Center for Democracy and Governance February 2000 USAID Handbook on Legislative Strengthening
bull Parliamentary Centre Parliamentary Accountability and Good Governance A Parliamentarianrsquos Handbook
bull Parliamentary Centre Forum on Parliamentary Reform bull NEPAD Library Emerging Legislatures in Emerging African Democracies bull Commonwealth Parliamentary Association and World Bank Institute
Recommendations for Transparent Governance Conclusions of a CPA Study Group on Access to Information Accra Ghana 5-9 July 2004
bull GOPAC Parliamentarians Fighting Corruption A Conceptual Overview PCentrefsPCentreSProjectsParliamentary_RelationsGOPACWBI
bull International IDEA Democracy Assessment Questionnaire wwwideaintideas_work14_statedemocracy_assessmentpdf
bull NDI and UNDP Parliaments and Poverty Series Toolkit No1 Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Strengthening the Accountability Process and Parliamentary Reform A Report on the Parliamentary Roundtable Held in Bhurban Pakistan March 1-2 1997
Independence of the Parliament bull NDI Strengthening Legislative Capacity in Legislative-Executive Relations
Paper 6 httpwwwndiorgglobalpgovgovernanceasp bull Venice Commission Opinion on the Draft Proposal for Rules of Procedure of the
Assembly of the Republic of Macedonia by Georg Nolte July 5 2002 bull Venice Commission Report on the Referral of a Law Back to Parliament by the
Head of State November 15 1996 bull AGSP The Role of the Secretary General in the Administration of Parliament
Report by Mr Ugo Zampetti General Secretary of the Chamber of Deputies (Italy) October 2000 Review no 180
bull AGSP Constitutional and Parliamentary Information The Status of Parliamentary Groups
Parliamentary Immunity
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union Part Three Immunity in the European Parliament June 2001
bull Venice Commission Opinion 11995 Report on the Regime of Parliamentary Immunity CDL ndash INF(1996) 007 6496 (found at httpvenicecoeintsitedynamicsN_Opinion_efaspampL=EampOID=1 )
bull Venice Commission Supplementary Opinion on the Revision of the Constitution of Romania October 18 2002
32
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Venice Commission Draft Report ndash The Regime of Parliamentary Immunity April 29 1996
bull Venice Commission Questionnaire on Parliamentary Immunity prepared by Mr GW Maas-Geesteranus June 19 1995
Freedom of Parliamentary Speech
bull AGSP The Immunities of Members of Parliament Report prepared by Mr Robert Myttenaere September 1998
bull AGSP Position of Witnesses before Parliamentary Committees Report prepared by Mr Demaree JB Raval April 1997
Conflict of Interest amp Ethics
bull Parliamentary Affairs A Journal of Comparative Politics Volume 55 No 4 October 2002 Conduct Unbecoming The Regulation of Legislative Ethics in Britain and the United States by Robert Williams
bull Parliamentary Affairs A Journal of Comparative Politics Volume 52 No 3 July 1999 Parliament in the Age of Internet by S Coleman JA Taylor and W Van de Donk
bull European Centre for Parliamentary Research and Documentation (ECPRD) Parliamentary Codes of Conduct in Europe an Overview November 2001
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union June 2001
bull Research Paper Commissioned on behalf of The Committee on Standards in Public Life May 2002 The Regulation of Parliamentary Standards ndash A Comparative Perspective (found at httpwwwpublic-standardsgovukreports8th_reportreportresearchdoc
bull House of Representatives Resolution 168 on the Report of the Ethics Reform Task Force 18 June 1997
bull NDI Accountability Ethics and Transparency in Government Pakistan Study Mission to South Africa June 3 1997
bull NDI Report on Regional Consultative Workshops ndash Ethics Questionnaire August 1998
bull Council of Europe Steering Committee on Local and Regional Democracy (CDLR) Public Ethics at Local Level Model Initiatives Package November 25 2002
bull NDI Legislative Research Series Paper No 4 ndash Legislative Ethics A Comparative Analysis 1999
bull OECD United States Case Study ndash Ethics and Corruption The Management of Ethics and Conduct in the Public Service by Stuart Gilman December 1995
bull OECD Recommendations of the Council on Guidelines for Managing Conflict of Interest in the Public Service June 2003
33
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Sanction and Removal of Legislators bull Venice Commission Comments on the Draft Law of the Chechen Republic on
Elections to the Parliament of the Chechen Republic As Submitted to Referendum by Mr G Nolte March 23 2003
bull Venice Commission Opinion on the Draft Law on the Public Attorney (Ombudsman) of ldquoThe Former Yugoslav Republic of Macedoniardquo March 15 2003
bull Venice Commission Comments on the Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia by Ms Serra Lopes February 28 2003
bull Venice Commission Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia February 2003
bull WBI PREM Notes Public Sector Number 19 April 1999 Using an Ombudsman to oversee Public Officials
bull AGSP The Office of the Parliamentary Ombudsman March 1994 Salaries and Benefits of Legislators
bull AGSP The Social Protection of Parliamentarians Report by Mrs Helene Ponceau General Secretary of the Senate Quaestorrsquos Office [Havana Senate Treasurerrsquos Department] Review No 181 April 2001
Professional Development and Training
bull SADC Parliamentary Forum MPs Orientation Handbook ndash Professional Performance and Development httpwwwsadcpforgaboutindexasp
The Parliament and the Budget Cycle
bull OECD Development Centre Policy Brief No 22 Strengthening Participation in Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD May 2001 OECD Best Practices for Budget Transparency bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and
Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull ASGP The Administrative and Financial Autonomy of Parliamentary Assemblies Report prepared by Michel Couderc (France) adopted at the Moscow Session (September 1998)
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development The Legislature and the Budget by Frederick Stapenhurst 2004 httpwwwworldbankorgwbigovernanceparliament
34
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull WBI Working Papers Series on Contemporary Issues in Parliamentary
Development Parliaments and the PRSP Process by Scott Hubli and Alicia P Mandaville 2004
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull WBI PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull WBI PREM Notes Public Sector Number 74 October 2002 Strengthening Oversight by Legislatures
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull Commonwealth Parliamentary Association (CPA) The Parliamentarian 2002
Issue Two 179 Parliaments and Poverty by Ms Frannie A Lrsquoeautier bull Parliamentary Centre Canada and WBI and CIDA (with support from the
International Development Research Centre) Handbook on Parliamentarians and Policies to Reduce Poverty May 2001
bull Parliamentary Centre Cambodia Focus Group on Parliamentrsquos Role in the Budget Process Analysis
bull Parliamentary Centre Indicators of Parliamentary Performance in the Budget Process
bull The International Budget Project Legislatures and Budget Oversight httpwwwinternationalbudgetorgthemesLEGindexhtm
bull NDI Legislatures and the Budget Process An International Survey 2003 httpwwwndiorgglobalpgovgovernanceasp
bull NDI Parliaments and Poverty Series Toolkit No1 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Parliaments and Poverty Series Toolkit No2 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives
35
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull NDI Parliaments and Poverty Series Toolkit No3 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative Public Outreach on Poverty Issues
bull UNDP IPU WBI and UNIFEM Parliament The Budget and Gender httpwwwundporgdpapublicationsgovernancehtml
bull IMF Finance amp Development Magazine December 2002 Volume 39 Number 4 A Bigger Role for Legislators
bull Case Study PRSPs and Parliament by Stephen Langdon bull Ministry of Foreign Affairs Netherlands March 2002 Economics and Finance
(b) Budget Impact Assessments (Gender Budgeting) bull Cagatay N M Keklik R Lal and J Lang (2000) ldquoBudgets As if People
Mattered Democratizing Macroeconomic Policiesrdquo SEPED Conference Paper Series Number 4 May
bull Navarro Z (1998) ldquoParticipation Democratizing Practices and the Formulation of a Modern Policy ndash the Case of ldquoParticipatory Budgetingrdquo in Porto Alegre Brazil (1989-1998) Development Sage London Volume 41 number 3 September
Representative and Inclusive Parliament
bull Commonwealth Parliamentary Association (CPA) Commonwealth Women Parliamentarians Into The Democratic Mainstream August 2002
bull CPA EnGendering Development and Democracy May 2004 bull IPU and UNDP Guidelines on the Rights and Duties of the Opposition in
Parliament May 19 1999 (Unanimously adopted by the participants at the Parliamentary Seminar on Relations Between Majority and Minority Parties in African Parliaments Libreville (Gabon) 17-19 May 1999)
bull AWEPA European Parliamentarians for Africa OPS7 Parliamentary Gender Handbook South Africa 2001 (found at httpwwwawepaorgdownloadsOPS07-_Parliamentary_Gender_Handbook-_South_Africapdf
Free Elections of Legislators
bull Venice Commission Opinion 2502003 Report on Electoral Systems - Overview of Available Solutions and Selection Criteria Adopted by the Venice Commission at its 57th Plenary Session CDL ndash AD(2004)003 (found at httpvenicecoeintdocs2004CDL-AD(2004)003-easp )
bull Venice Commission Opinion 2392003 Comments on the Draft Law of the Chechen Republic on Elections to the Parliament of the Chechen Republic CDL (2003)021rev (found at httpvenicecoeintdocs2003CDL(2003)021rev-easp )
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Resolution 1320 (2003) httpassemblycoeintDocumentsAdoptedTextTA03ERES1320htm
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Document 9267 15 October 2001
36
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
ANNEX 2 Bibliography Governmental Documents
bull Commonwealth Latimer House Standards bull Commonwealth Latimer House Guidelines bull Commonwealth Parliamentary Association (CPA) Parliament and the Media
Building an Effective Relationship bull English Bill of Rights 1689 bull Inter-Parliamentary Union (IPU) Guidelines bull ECOWAS Protocol on Democracy and Good Governance Supplementary to the
Protocol Relating to the Mechanism for Conflict Prevention Management Resolution Peacekeeping and Security
bull Protocol on the Privileges and Immunities of the European Communities bull ECPRD Parliamentary Codes of Conduct in Europe (Compilation by the Council
of Europe Parliamentary Assembly) bull IPU Universal Declaration on Democracy bull International Covenant on Civil and Political Rights (ICCPR) bull The African (Banjul) Charter on Human and Peoplersquos Rights bull The Johannesburg Standards National Security Freedom of Expression and
Access to Information bull Document of the Copenhagen Meeting of the Conference on the Human
Dimension of the CSCE 1990 bull Declaration of Principle on Freedom of Expression in Africa bull Union des Parliamentaires Africains on the Role of Parliaments in the
Consolidation of Democracy and Confidence-Building Between the Peoples and their Institutions 23rd Conference in Addis Ababa 24-25 November 2000
bull The Harare Declaration bull IPU Conference of Presiding Officers of National Parliaments bull International Convention on the Elimination of All Forms of Racial
Discrimination bull Convention on the Elimination of All Forms of Discrimination Against Women bull Report of the Ethics Reform Task Force on H Res 168 105th Congress 1st
Session 17 June 1997 (found at httpwwwhousegovethicsethicsreporttxt ) bull Parliamentary Standards and the Wicks Committee Report Standard Note
SNPC2200 24 June 2003 by Ruth Winstone (found at httpwwwparliamentukcommonslibresearchnotessnpc-02200pdf )
bull Committee on Standards in Public Life First Report Cm 2850 Volume 1 11 May 1995 (found at httpwwwarchiveofficial-documentscoukdocumentcm282850285002pdf )
bull Committee on Standards in Public Life Sixth Report Reinforcing Standards Cm 4557 Volume 1 January 2000 (found at httpwwwpublic-standardsgovuk )
bull Committee on Standards in Public Life Eighth Report Cm 5663 Standards of Conduct in the House of Commons November 2002 (found at httpwww-standardsgovukreports8th_reportreporteighthreportpdf
bull African Union Declarations and Decisions
30
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The African Commission Declaration of Principle on Freedom of Expression in Africa
bull United Nations High Commissioner for Human Rights Resolution 200047
Non-Governmental Documents Transparency and Accountability of the Parliament
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Anti-Corruption Commissions Panacea or Real Medicine to Fight Corruption By John Heilbrunn 2004
bull PREM Notes Public Sector No 74 October 2002 Strengthening Oversight by Legislatures (found at httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull PREM Notes Public Sector No63 March 2002 Strengthening Legislatures Implications from Industrial Countries (found at httpwww1worldbankorgpremPREMNotespremnote63pdf )
bull WBI Working Papers Building a Clean Machine Anti-Corruption Coalitions and Sustainable Reforms by Michael Johnston and Sahr J Kpundeh 2002
bull IFES IFES Parliamentary Toolkit Transparency and Accountability Tools for Civil Society
bull PREM Notes Public Sector No59 October 2001 Features and Functions of Supreme Audit Institutions
bull World Bank Institute Improving Governance and Controlling Corruption Towards a Participatory and Action-oriented Approach Grounded on Empirical Rigor October 2001
bull World Bank Towards Transparency in Finance and Governance by Tara Vishwanath and Daniel Kaufman September 6 1999
bull World Bank Institute Pillars of Integrity The Importance of Supreme Audit Institutions in Curbing Corruption by Kenneth M Dye and Rick Stapenhurst 1998
bull Association of Secretaries General of Parliaments (ASGP) Promoting the Work of Parliament Report by Mr Ian Harris Clerk of the House of Representatives of Australia19 Autumn 2000 (found at httpwwwasgpinfodiscussionshtmstudies)
bull USAID Handbook on Legislative Strengthening httpwwwusaidgovour_workdemocracy_and_governancegovhtml
bull Parliamentary Centre Canada Controlling Corruption A Parliamentarianrsquos Handbook httpwwwparlcentcaindex_ephp
bull Parliamentary Centre Canada Parliamentary Accountability and Good Governance httpwwwparlcentcaindex_ephp
19 This report contains a detailed analysis of the answers from a Questionnaire of how the public is provided information about the operation and work of Parliament The review was launched at the Conference of the Association of Secretaries General of Parliaments which was held in Autumn 2000 in Jakarta
31
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Center for Democracy and Governance February 2000 USAID Handbook on Legislative Strengthening
bull Parliamentary Centre Parliamentary Accountability and Good Governance A Parliamentarianrsquos Handbook
bull Parliamentary Centre Forum on Parliamentary Reform bull NEPAD Library Emerging Legislatures in Emerging African Democracies bull Commonwealth Parliamentary Association and World Bank Institute
Recommendations for Transparent Governance Conclusions of a CPA Study Group on Access to Information Accra Ghana 5-9 July 2004
bull GOPAC Parliamentarians Fighting Corruption A Conceptual Overview PCentrefsPCentreSProjectsParliamentary_RelationsGOPACWBI
bull International IDEA Democracy Assessment Questionnaire wwwideaintideas_work14_statedemocracy_assessmentpdf
bull NDI and UNDP Parliaments and Poverty Series Toolkit No1 Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Strengthening the Accountability Process and Parliamentary Reform A Report on the Parliamentary Roundtable Held in Bhurban Pakistan March 1-2 1997
Independence of the Parliament bull NDI Strengthening Legislative Capacity in Legislative-Executive Relations
Paper 6 httpwwwndiorgglobalpgovgovernanceasp bull Venice Commission Opinion on the Draft Proposal for Rules of Procedure of the
Assembly of the Republic of Macedonia by Georg Nolte July 5 2002 bull Venice Commission Report on the Referral of a Law Back to Parliament by the
Head of State November 15 1996 bull AGSP The Role of the Secretary General in the Administration of Parliament
Report by Mr Ugo Zampetti General Secretary of the Chamber of Deputies (Italy) October 2000 Review no 180
bull AGSP Constitutional and Parliamentary Information The Status of Parliamentary Groups
Parliamentary Immunity
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union Part Three Immunity in the European Parliament June 2001
bull Venice Commission Opinion 11995 Report on the Regime of Parliamentary Immunity CDL ndash INF(1996) 007 6496 (found at httpvenicecoeintsitedynamicsN_Opinion_efaspampL=EampOID=1 )
bull Venice Commission Supplementary Opinion on the Revision of the Constitution of Romania October 18 2002
32
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Venice Commission Draft Report ndash The Regime of Parliamentary Immunity April 29 1996
bull Venice Commission Questionnaire on Parliamentary Immunity prepared by Mr GW Maas-Geesteranus June 19 1995
Freedom of Parliamentary Speech
bull AGSP The Immunities of Members of Parliament Report prepared by Mr Robert Myttenaere September 1998
bull AGSP Position of Witnesses before Parliamentary Committees Report prepared by Mr Demaree JB Raval April 1997
Conflict of Interest amp Ethics
bull Parliamentary Affairs A Journal of Comparative Politics Volume 55 No 4 October 2002 Conduct Unbecoming The Regulation of Legislative Ethics in Britain and the United States by Robert Williams
bull Parliamentary Affairs A Journal of Comparative Politics Volume 52 No 3 July 1999 Parliament in the Age of Internet by S Coleman JA Taylor and W Van de Donk
bull European Centre for Parliamentary Research and Documentation (ECPRD) Parliamentary Codes of Conduct in Europe an Overview November 2001
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union June 2001
bull Research Paper Commissioned on behalf of The Committee on Standards in Public Life May 2002 The Regulation of Parliamentary Standards ndash A Comparative Perspective (found at httpwwwpublic-standardsgovukreports8th_reportreportresearchdoc
bull House of Representatives Resolution 168 on the Report of the Ethics Reform Task Force 18 June 1997
bull NDI Accountability Ethics and Transparency in Government Pakistan Study Mission to South Africa June 3 1997
bull NDI Report on Regional Consultative Workshops ndash Ethics Questionnaire August 1998
bull Council of Europe Steering Committee on Local and Regional Democracy (CDLR) Public Ethics at Local Level Model Initiatives Package November 25 2002
bull NDI Legislative Research Series Paper No 4 ndash Legislative Ethics A Comparative Analysis 1999
bull OECD United States Case Study ndash Ethics and Corruption The Management of Ethics and Conduct in the Public Service by Stuart Gilman December 1995
bull OECD Recommendations of the Council on Guidelines for Managing Conflict of Interest in the Public Service June 2003
33
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Sanction and Removal of Legislators bull Venice Commission Comments on the Draft Law of the Chechen Republic on
Elections to the Parliament of the Chechen Republic As Submitted to Referendum by Mr G Nolte March 23 2003
bull Venice Commission Opinion on the Draft Law on the Public Attorney (Ombudsman) of ldquoThe Former Yugoslav Republic of Macedoniardquo March 15 2003
bull Venice Commission Comments on the Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia by Ms Serra Lopes February 28 2003
bull Venice Commission Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia February 2003
bull WBI PREM Notes Public Sector Number 19 April 1999 Using an Ombudsman to oversee Public Officials
bull AGSP The Office of the Parliamentary Ombudsman March 1994 Salaries and Benefits of Legislators
bull AGSP The Social Protection of Parliamentarians Report by Mrs Helene Ponceau General Secretary of the Senate Quaestorrsquos Office [Havana Senate Treasurerrsquos Department] Review No 181 April 2001
Professional Development and Training
bull SADC Parliamentary Forum MPs Orientation Handbook ndash Professional Performance and Development httpwwwsadcpforgaboutindexasp
The Parliament and the Budget Cycle
bull OECD Development Centre Policy Brief No 22 Strengthening Participation in Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD May 2001 OECD Best Practices for Budget Transparency bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and
Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull ASGP The Administrative and Financial Autonomy of Parliamentary Assemblies Report prepared by Michel Couderc (France) adopted at the Moscow Session (September 1998)
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development The Legislature and the Budget by Frederick Stapenhurst 2004 httpwwwworldbankorgwbigovernanceparliament
34
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull WBI Working Papers Series on Contemporary Issues in Parliamentary
Development Parliaments and the PRSP Process by Scott Hubli and Alicia P Mandaville 2004
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull WBI PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull WBI PREM Notes Public Sector Number 74 October 2002 Strengthening Oversight by Legislatures
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull Commonwealth Parliamentary Association (CPA) The Parliamentarian 2002
Issue Two 179 Parliaments and Poverty by Ms Frannie A Lrsquoeautier bull Parliamentary Centre Canada and WBI and CIDA (with support from the
International Development Research Centre) Handbook on Parliamentarians and Policies to Reduce Poverty May 2001
bull Parliamentary Centre Cambodia Focus Group on Parliamentrsquos Role in the Budget Process Analysis
bull Parliamentary Centre Indicators of Parliamentary Performance in the Budget Process
bull The International Budget Project Legislatures and Budget Oversight httpwwwinternationalbudgetorgthemesLEGindexhtm
bull NDI Legislatures and the Budget Process An International Survey 2003 httpwwwndiorgglobalpgovgovernanceasp
bull NDI Parliaments and Poverty Series Toolkit No1 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Parliaments and Poverty Series Toolkit No2 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives
35
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull NDI Parliaments and Poverty Series Toolkit No3 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative Public Outreach on Poverty Issues
bull UNDP IPU WBI and UNIFEM Parliament The Budget and Gender httpwwwundporgdpapublicationsgovernancehtml
bull IMF Finance amp Development Magazine December 2002 Volume 39 Number 4 A Bigger Role for Legislators
bull Case Study PRSPs and Parliament by Stephen Langdon bull Ministry of Foreign Affairs Netherlands March 2002 Economics and Finance
(b) Budget Impact Assessments (Gender Budgeting) bull Cagatay N M Keklik R Lal and J Lang (2000) ldquoBudgets As if People
Mattered Democratizing Macroeconomic Policiesrdquo SEPED Conference Paper Series Number 4 May
bull Navarro Z (1998) ldquoParticipation Democratizing Practices and the Formulation of a Modern Policy ndash the Case of ldquoParticipatory Budgetingrdquo in Porto Alegre Brazil (1989-1998) Development Sage London Volume 41 number 3 September
Representative and Inclusive Parliament
bull Commonwealth Parliamentary Association (CPA) Commonwealth Women Parliamentarians Into The Democratic Mainstream August 2002
bull CPA EnGendering Development and Democracy May 2004 bull IPU and UNDP Guidelines on the Rights and Duties of the Opposition in
Parliament May 19 1999 (Unanimously adopted by the participants at the Parliamentary Seminar on Relations Between Majority and Minority Parties in African Parliaments Libreville (Gabon) 17-19 May 1999)
bull AWEPA European Parliamentarians for Africa OPS7 Parliamentary Gender Handbook South Africa 2001 (found at httpwwwawepaorgdownloadsOPS07-_Parliamentary_Gender_Handbook-_South_Africapdf
Free Elections of Legislators
bull Venice Commission Opinion 2502003 Report on Electoral Systems - Overview of Available Solutions and Selection Criteria Adopted by the Venice Commission at its 57th Plenary Session CDL ndash AD(2004)003 (found at httpvenicecoeintdocs2004CDL-AD(2004)003-easp )
bull Venice Commission Opinion 2392003 Comments on the Draft Law of the Chechen Republic on Elections to the Parliament of the Chechen Republic CDL (2003)021rev (found at httpvenicecoeintdocs2003CDL(2003)021rev-easp )
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Resolution 1320 (2003) httpassemblycoeintDocumentsAdoptedTextTA03ERES1320htm
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Document 9267 15 October 2001
36
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull The African Commission Declaration of Principle on Freedom of Expression in Africa
bull United Nations High Commissioner for Human Rights Resolution 200047
Non-Governmental Documents Transparency and Accountability of the Parliament
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Anti-Corruption Commissions Panacea or Real Medicine to Fight Corruption By John Heilbrunn 2004
bull PREM Notes Public Sector No 74 October 2002 Strengthening Oversight by Legislatures (found at httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull PREM Notes Public Sector No63 March 2002 Strengthening Legislatures Implications from Industrial Countries (found at httpwww1worldbankorgpremPREMNotespremnote63pdf )
bull WBI Working Papers Building a Clean Machine Anti-Corruption Coalitions and Sustainable Reforms by Michael Johnston and Sahr J Kpundeh 2002
bull IFES IFES Parliamentary Toolkit Transparency and Accountability Tools for Civil Society
bull PREM Notes Public Sector No59 October 2001 Features and Functions of Supreme Audit Institutions
bull World Bank Institute Improving Governance and Controlling Corruption Towards a Participatory and Action-oriented Approach Grounded on Empirical Rigor October 2001
bull World Bank Towards Transparency in Finance and Governance by Tara Vishwanath and Daniel Kaufman September 6 1999
bull World Bank Institute Pillars of Integrity The Importance of Supreme Audit Institutions in Curbing Corruption by Kenneth M Dye and Rick Stapenhurst 1998
bull Association of Secretaries General of Parliaments (ASGP) Promoting the Work of Parliament Report by Mr Ian Harris Clerk of the House of Representatives of Australia19 Autumn 2000 (found at httpwwwasgpinfodiscussionshtmstudies)
bull USAID Handbook on Legislative Strengthening httpwwwusaidgovour_workdemocracy_and_governancegovhtml
bull Parliamentary Centre Canada Controlling Corruption A Parliamentarianrsquos Handbook httpwwwparlcentcaindex_ephp
bull Parliamentary Centre Canada Parliamentary Accountability and Good Governance httpwwwparlcentcaindex_ephp
19 This report contains a detailed analysis of the answers from a Questionnaire of how the public is provided information about the operation and work of Parliament The review was launched at the Conference of the Association of Secretaries General of Parliaments which was held in Autumn 2000 in Jakarta
31
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Center for Democracy and Governance February 2000 USAID Handbook on Legislative Strengthening
bull Parliamentary Centre Parliamentary Accountability and Good Governance A Parliamentarianrsquos Handbook
bull Parliamentary Centre Forum on Parliamentary Reform bull NEPAD Library Emerging Legislatures in Emerging African Democracies bull Commonwealth Parliamentary Association and World Bank Institute
Recommendations for Transparent Governance Conclusions of a CPA Study Group on Access to Information Accra Ghana 5-9 July 2004
bull GOPAC Parliamentarians Fighting Corruption A Conceptual Overview PCentrefsPCentreSProjectsParliamentary_RelationsGOPACWBI
bull International IDEA Democracy Assessment Questionnaire wwwideaintideas_work14_statedemocracy_assessmentpdf
bull NDI and UNDP Parliaments and Poverty Series Toolkit No1 Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Strengthening the Accountability Process and Parliamentary Reform A Report on the Parliamentary Roundtable Held in Bhurban Pakistan March 1-2 1997
Independence of the Parliament bull NDI Strengthening Legislative Capacity in Legislative-Executive Relations
Paper 6 httpwwwndiorgglobalpgovgovernanceasp bull Venice Commission Opinion on the Draft Proposal for Rules of Procedure of the
Assembly of the Republic of Macedonia by Georg Nolte July 5 2002 bull Venice Commission Report on the Referral of a Law Back to Parliament by the
Head of State November 15 1996 bull AGSP The Role of the Secretary General in the Administration of Parliament
Report by Mr Ugo Zampetti General Secretary of the Chamber of Deputies (Italy) October 2000 Review no 180
bull AGSP Constitutional and Parliamentary Information The Status of Parliamentary Groups
Parliamentary Immunity
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union Part Three Immunity in the European Parliament June 2001
bull Venice Commission Opinion 11995 Report on the Regime of Parliamentary Immunity CDL ndash INF(1996) 007 6496 (found at httpvenicecoeintsitedynamicsN_Opinion_efaspampL=EampOID=1 )
bull Venice Commission Supplementary Opinion on the Revision of the Constitution of Romania October 18 2002
32
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Venice Commission Draft Report ndash The Regime of Parliamentary Immunity April 29 1996
bull Venice Commission Questionnaire on Parliamentary Immunity prepared by Mr GW Maas-Geesteranus June 19 1995
Freedom of Parliamentary Speech
bull AGSP The Immunities of Members of Parliament Report prepared by Mr Robert Myttenaere September 1998
bull AGSP Position of Witnesses before Parliamentary Committees Report prepared by Mr Demaree JB Raval April 1997
Conflict of Interest amp Ethics
bull Parliamentary Affairs A Journal of Comparative Politics Volume 55 No 4 October 2002 Conduct Unbecoming The Regulation of Legislative Ethics in Britain and the United States by Robert Williams
bull Parliamentary Affairs A Journal of Comparative Politics Volume 52 No 3 July 1999 Parliament in the Age of Internet by S Coleman JA Taylor and W Van de Donk
bull European Centre for Parliamentary Research and Documentation (ECPRD) Parliamentary Codes of Conduct in Europe an Overview November 2001
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union June 2001
bull Research Paper Commissioned on behalf of The Committee on Standards in Public Life May 2002 The Regulation of Parliamentary Standards ndash A Comparative Perspective (found at httpwwwpublic-standardsgovukreports8th_reportreportresearchdoc
bull House of Representatives Resolution 168 on the Report of the Ethics Reform Task Force 18 June 1997
bull NDI Accountability Ethics and Transparency in Government Pakistan Study Mission to South Africa June 3 1997
bull NDI Report on Regional Consultative Workshops ndash Ethics Questionnaire August 1998
bull Council of Europe Steering Committee on Local and Regional Democracy (CDLR) Public Ethics at Local Level Model Initiatives Package November 25 2002
bull NDI Legislative Research Series Paper No 4 ndash Legislative Ethics A Comparative Analysis 1999
bull OECD United States Case Study ndash Ethics and Corruption The Management of Ethics and Conduct in the Public Service by Stuart Gilman December 1995
bull OECD Recommendations of the Council on Guidelines for Managing Conflict of Interest in the Public Service June 2003
33
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Sanction and Removal of Legislators bull Venice Commission Comments on the Draft Law of the Chechen Republic on
Elections to the Parliament of the Chechen Republic As Submitted to Referendum by Mr G Nolte March 23 2003
bull Venice Commission Opinion on the Draft Law on the Public Attorney (Ombudsman) of ldquoThe Former Yugoslav Republic of Macedoniardquo March 15 2003
bull Venice Commission Comments on the Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia by Ms Serra Lopes February 28 2003
bull Venice Commission Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia February 2003
bull WBI PREM Notes Public Sector Number 19 April 1999 Using an Ombudsman to oversee Public Officials
bull AGSP The Office of the Parliamentary Ombudsman March 1994 Salaries and Benefits of Legislators
bull AGSP The Social Protection of Parliamentarians Report by Mrs Helene Ponceau General Secretary of the Senate Quaestorrsquos Office [Havana Senate Treasurerrsquos Department] Review No 181 April 2001
Professional Development and Training
bull SADC Parliamentary Forum MPs Orientation Handbook ndash Professional Performance and Development httpwwwsadcpforgaboutindexasp
The Parliament and the Budget Cycle
bull OECD Development Centre Policy Brief No 22 Strengthening Participation in Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD May 2001 OECD Best Practices for Budget Transparency bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and
Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull ASGP The Administrative and Financial Autonomy of Parliamentary Assemblies Report prepared by Michel Couderc (France) adopted at the Moscow Session (September 1998)
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development The Legislature and the Budget by Frederick Stapenhurst 2004 httpwwwworldbankorgwbigovernanceparliament
34
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull WBI Working Papers Series on Contemporary Issues in Parliamentary
Development Parliaments and the PRSP Process by Scott Hubli and Alicia P Mandaville 2004
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull WBI PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull WBI PREM Notes Public Sector Number 74 October 2002 Strengthening Oversight by Legislatures
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull Commonwealth Parliamentary Association (CPA) The Parliamentarian 2002
Issue Two 179 Parliaments and Poverty by Ms Frannie A Lrsquoeautier bull Parliamentary Centre Canada and WBI and CIDA (with support from the
International Development Research Centre) Handbook on Parliamentarians and Policies to Reduce Poverty May 2001
bull Parliamentary Centre Cambodia Focus Group on Parliamentrsquos Role in the Budget Process Analysis
bull Parliamentary Centre Indicators of Parliamentary Performance in the Budget Process
bull The International Budget Project Legislatures and Budget Oversight httpwwwinternationalbudgetorgthemesLEGindexhtm
bull NDI Legislatures and the Budget Process An International Survey 2003 httpwwwndiorgglobalpgovgovernanceasp
bull NDI Parliaments and Poverty Series Toolkit No1 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Parliaments and Poverty Series Toolkit No2 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives
35
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull NDI Parliaments and Poverty Series Toolkit No3 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative Public Outreach on Poverty Issues
bull UNDP IPU WBI and UNIFEM Parliament The Budget and Gender httpwwwundporgdpapublicationsgovernancehtml
bull IMF Finance amp Development Magazine December 2002 Volume 39 Number 4 A Bigger Role for Legislators
bull Case Study PRSPs and Parliament by Stephen Langdon bull Ministry of Foreign Affairs Netherlands March 2002 Economics and Finance
(b) Budget Impact Assessments (Gender Budgeting) bull Cagatay N M Keklik R Lal and J Lang (2000) ldquoBudgets As if People
Mattered Democratizing Macroeconomic Policiesrdquo SEPED Conference Paper Series Number 4 May
bull Navarro Z (1998) ldquoParticipation Democratizing Practices and the Formulation of a Modern Policy ndash the Case of ldquoParticipatory Budgetingrdquo in Porto Alegre Brazil (1989-1998) Development Sage London Volume 41 number 3 September
Representative and Inclusive Parliament
bull Commonwealth Parliamentary Association (CPA) Commonwealth Women Parliamentarians Into The Democratic Mainstream August 2002
bull CPA EnGendering Development and Democracy May 2004 bull IPU and UNDP Guidelines on the Rights and Duties of the Opposition in
Parliament May 19 1999 (Unanimously adopted by the participants at the Parliamentary Seminar on Relations Between Majority and Minority Parties in African Parliaments Libreville (Gabon) 17-19 May 1999)
bull AWEPA European Parliamentarians for Africa OPS7 Parliamentary Gender Handbook South Africa 2001 (found at httpwwwawepaorgdownloadsOPS07-_Parliamentary_Gender_Handbook-_South_Africapdf
Free Elections of Legislators
bull Venice Commission Opinion 2502003 Report on Electoral Systems - Overview of Available Solutions and Selection Criteria Adopted by the Venice Commission at its 57th Plenary Session CDL ndash AD(2004)003 (found at httpvenicecoeintdocs2004CDL-AD(2004)003-easp )
bull Venice Commission Opinion 2392003 Comments on the Draft Law of the Chechen Republic on Elections to the Parliament of the Chechen Republic CDL (2003)021rev (found at httpvenicecoeintdocs2003CDL(2003)021rev-easp )
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Resolution 1320 (2003) httpassemblycoeintDocumentsAdoptedTextTA03ERES1320htm
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Document 9267 15 October 2001
36
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Center for Democracy and Governance February 2000 USAID Handbook on Legislative Strengthening
bull Parliamentary Centre Parliamentary Accountability and Good Governance A Parliamentarianrsquos Handbook
bull Parliamentary Centre Forum on Parliamentary Reform bull NEPAD Library Emerging Legislatures in Emerging African Democracies bull Commonwealth Parliamentary Association and World Bank Institute
Recommendations for Transparent Governance Conclusions of a CPA Study Group on Access to Information Accra Ghana 5-9 July 2004
bull GOPAC Parliamentarians Fighting Corruption A Conceptual Overview PCentrefsPCentreSProjectsParliamentary_RelationsGOPACWBI
bull International IDEA Democracy Assessment Questionnaire wwwideaintideas_work14_statedemocracy_assessmentpdf
bull NDI and UNDP Parliaments and Poverty Series Toolkit No1 Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Strengthening the Accountability Process and Parliamentary Reform A Report on the Parliamentary Roundtable Held in Bhurban Pakistan March 1-2 1997
Independence of the Parliament bull NDI Strengthening Legislative Capacity in Legislative-Executive Relations
Paper 6 httpwwwndiorgglobalpgovgovernanceasp bull Venice Commission Opinion on the Draft Proposal for Rules of Procedure of the
Assembly of the Republic of Macedonia by Georg Nolte July 5 2002 bull Venice Commission Report on the Referral of a Law Back to Parliament by the
Head of State November 15 1996 bull AGSP The Role of the Secretary General in the Administration of Parliament
Report by Mr Ugo Zampetti General Secretary of the Chamber of Deputies (Italy) October 2000 Review no 180
bull AGSP Constitutional and Parliamentary Information The Status of Parliamentary Groups
Parliamentary Immunity
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union Part Three Immunity in the European Parliament June 2001
bull Venice Commission Opinion 11995 Report on the Regime of Parliamentary Immunity CDL ndash INF(1996) 007 6496 (found at httpvenicecoeintsitedynamicsN_Opinion_efaspampL=EampOID=1 )
bull Venice Commission Supplementary Opinion on the Revision of the Constitution of Romania October 18 2002
32
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Venice Commission Draft Report ndash The Regime of Parliamentary Immunity April 29 1996
bull Venice Commission Questionnaire on Parliamentary Immunity prepared by Mr GW Maas-Geesteranus June 19 1995
Freedom of Parliamentary Speech
bull AGSP The Immunities of Members of Parliament Report prepared by Mr Robert Myttenaere September 1998
bull AGSP Position of Witnesses before Parliamentary Committees Report prepared by Mr Demaree JB Raval April 1997
Conflict of Interest amp Ethics
bull Parliamentary Affairs A Journal of Comparative Politics Volume 55 No 4 October 2002 Conduct Unbecoming The Regulation of Legislative Ethics in Britain and the United States by Robert Williams
bull Parliamentary Affairs A Journal of Comparative Politics Volume 52 No 3 July 1999 Parliament in the Age of Internet by S Coleman JA Taylor and W Van de Donk
bull European Centre for Parliamentary Research and Documentation (ECPRD) Parliamentary Codes of Conduct in Europe an Overview November 2001
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union June 2001
bull Research Paper Commissioned on behalf of The Committee on Standards in Public Life May 2002 The Regulation of Parliamentary Standards ndash A Comparative Perspective (found at httpwwwpublic-standardsgovukreports8th_reportreportresearchdoc
bull House of Representatives Resolution 168 on the Report of the Ethics Reform Task Force 18 June 1997
bull NDI Accountability Ethics and Transparency in Government Pakistan Study Mission to South Africa June 3 1997
bull NDI Report on Regional Consultative Workshops ndash Ethics Questionnaire August 1998
bull Council of Europe Steering Committee on Local and Regional Democracy (CDLR) Public Ethics at Local Level Model Initiatives Package November 25 2002
bull NDI Legislative Research Series Paper No 4 ndash Legislative Ethics A Comparative Analysis 1999
bull OECD United States Case Study ndash Ethics and Corruption The Management of Ethics and Conduct in the Public Service by Stuart Gilman December 1995
bull OECD Recommendations of the Council on Guidelines for Managing Conflict of Interest in the Public Service June 2003
33
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Sanction and Removal of Legislators bull Venice Commission Comments on the Draft Law of the Chechen Republic on
Elections to the Parliament of the Chechen Republic As Submitted to Referendum by Mr G Nolte March 23 2003
bull Venice Commission Opinion on the Draft Law on the Public Attorney (Ombudsman) of ldquoThe Former Yugoslav Republic of Macedoniardquo March 15 2003
bull Venice Commission Comments on the Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia by Ms Serra Lopes February 28 2003
bull Venice Commission Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia February 2003
bull WBI PREM Notes Public Sector Number 19 April 1999 Using an Ombudsman to oversee Public Officials
bull AGSP The Office of the Parliamentary Ombudsman March 1994 Salaries and Benefits of Legislators
bull AGSP The Social Protection of Parliamentarians Report by Mrs Helene Ponceau General Secretary of the Senate Quaestorrsquos Office [Havana Senate Treasurerrsquos Department] Review No 181 April 2001
Professional Development and Training
bull SADC Parliamentary Forum MPs Orientation Handbook ndash Professional Performance and Development httpwwwsadcpforgaboutindexasp
The Parliament and the Budget Cycle
bull OECD Development Centre Policy Brief No 22 Strengthening Participation in Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD May 2001 OECD Best Practices for Budget Transparency bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and
Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull ASGP The Administrative and Financial Autonomy of Parliamentary Assemblies Report prepared by Michel Couderc (France) adopted at the Moscow Session (September 1998)
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development The Legislature and the Budget by Frederick Stapenhurst 2004 httpwwwworldbankorgwbigovernanceparliament
34
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull WBI Working Papers Series on Contemporary Issues in Parliamentary
Development Parliaments and the PRSP Process by Scott Hubli and Alicia P Mandaville 2004
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull WBI PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull WBI PREM Notes Public Sector Number 74 October 2002 Strengthening Oversight by Legislatures
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull Commonwealth Parliamentary Association (CPA) The Parliamentarian 2002
Issue Two 179 Parliaments and Poverty by Ms Frannie A Lrsquoeautier bull Parliamentary Centre Canada and WBI and CIDA (with support from the
International Development Research Centre) Handbook on Parliamentarians and Policies to Reduce Poverty May 2001
bull Parliamentary Centre Cambodia Focus Group on Parliamentrsquos Role in the Budget Process Analysis
bull Parliamentary Centre Indicators of Parliamentary Performance in the Budget Process
bull The International Budget Project Legislatures and Budget Oversight httpwwwinternationalbudgetorgthemesLEGindexhtm
bull NDI Legislatures and the Budget Process An International Survey 2003 httpwwwndiorgglobalpgovgovernanceasp
bull NDI Parliaments and Poverty Series Toolkit No1 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Parliaments and Poverty Series Toolkit No2 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives
35
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull NDI Parliaments and Poverty Series Toolkit No3 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative Public Outreach on Poverty Issues
bull UNDP IPU WBI and UNIFEM Parliament The Budget and Gender httpwwwundporgdpapublicationsgovernancehtml
bull IMF Finance amp Development Magazine December 2002 Volume 39 Number 4 A Bigger Role for Legislators
bull Case Study PRSPs and Parliament by Stephen Langdon bull Ministry of Foreign Affairs Netherlands March 2002 Economics and Finance
(b) Budget Impact Assessments (Gender Budgeting) bull Cagatay N M Keklik R Lal and J Lang (2000) ldquoBudgets As if People
Mattered Democratizing Macroeconomic Policiesrdquo SEPED Conference Paper Series Number 4 May
bull Navarro Z (1998) ldquoParticipation Democratizing Practices and the Formulation of a Modern Policy ndash the Case of ldquoParticipatory Budgetingrdquo in Porto Alegre Brazil (1989-1998) Development Sage London Volume 41 number 3 September
Representative and Inclusive Parliament
bull Commonwealth Parliamentary Association (CPA) Commonwealth Women Parliamentarians Into The Democratic Mainstream August 2002
bull CPA EnGendering Development and Democracy May 2004 bull IPU and UNDP Guidelines on the Rights and Duties of the Opposition in
Parliament May 19 1999 (Unanimously adopted by the participants at the Parliamentary Seminar on Relations Between Majority and Minority Parties in African Parliaments Libreville (Gabon) 17-19 May 1999)
bull AWEPA European Parliamentarians for Africa OPS7 Parliamentary Gender Handbook South Africa 2001 (found at httpwwwawepaorgdownloadsOPS07-_Parliamentary_Gender_Handbook-_South_Africapdf
Free Elections of Legislators
bull Venice Commission Opinion 2502003 Report on Electoral Systems - Overview of Available Solutions and Selection Criteria Adopted by the Venice Commission at its 57th Plenary Session CDL ndash AD(2004)003 (found at httpvenicecoeintdocs2004CDL-AD(2004)003-easp )
bull Venice Commission Opinion 2392003 Comments on the Draft Law of the Chechen Republic on Elections to the Parliament of the Chechen Republic CDL (2003)021rev (found at httpvenicecoeintdocs2003CDL(2003)021rev-easp )
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Resolution 1320 (2003) httpassemblycoeintDocumentsAdoptedTextTA03ERES1320htm
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Document 9267 15 October 2001
36
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Venice Commission Draft Report ndash The Regime of Parliamentary Immunity April 29 1996
bull Venice Commission Questionnaire on Parliamentary Immunity prepared by Mr GW Maas-Geesteranus June 19 1995
Freedom of Parliamentary Speech
bull AGSP The Immunities of Members of Parliament Report prepared by Mr Robert Myttenaere September 1998
bull AGSP Position of Witnesses before Parliamentary Committees Report prepared by Mr Demaree JB Raval April 1997
Conflict of Interest amp Ethics
bull Parliamentary Affairs A Journal of Comparative Politics Volume 55 No 4 October 2002 Conduct Unbecoming The Regulation of Legislative Ethics in Britain and the United States by Robert Williams
bull Parliamentary Affairs A Journal of Comparative Politics Volume 52 No 3 July 1999 Parliament in the Age of Internet by S Coleman JA Taylor and W Van de Donk
bull European Centre for Parliamentary Research and Documentation (ECPRD) Parliamentary Codes of Conduct in Europe an Overview November 2001
bull European Centre for Parliamentary Research and Documentation (ECPRD) Rules on Parliamentary Immunity in the European Parliament and the Member States of the European Union June 2001
bull Research Paper Commissioned on behalf of The Committee on Standards in Public Life May 2002 The Regulation of Parliamentary Standards ndash A Comparative Perspective (found at httpwwwpublic-standardsgovukreports8th_reportreportresearchdoc
bull House of Representatives Resolution 168 on the Report of the Ethics Reform Task Force 18 June 1997
bull NDI Accountability Ethics and Transparency in Government Pakistan Study Mission to South Africa June 3 1997
bull NDI Report on Regional Consultative Workshops ndash Ethics Questionnaire August 1998
bull Council of Europe Steering Committee on Local and Regional Democracy (CDLR) Public Ethics at Local Level Model Initiatives Package November 25 2002
bull NDI Legislative Research Series Paper No 4 ndash Legislative Ethics A Comparative Analysis 1999
bull OECD United States Case Study ndash Ethics and Corruption The Management of Ethics and Conduct in the Public Service by Stuart Gilman December 1995
bull OECD Recommendations of the Council on Guidelines for Managing Conflict of Interest in the Public Service June 2003
33
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Sanction and Removal of Legislators bull Venice Commission Comments on the Draft Law of the Chechen Republic on
Elections to the Parliament of the Chechen Republic As Submitted to Referendum by Mr G Nolte March 23 2003
bull Venice Commission Opinion on the Draft Law on the Public Attorney (Ombudsman) of ldquoThe Former Yugoslav Republic of Macedoniardquo March 15 2003
bull Venice Commission Comments on the Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia by Ms Serra Lopes February 28 2003
bull Venice Commission Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia February 2003
bull WBI PREM Notes Public Sector Number 19 April 1999 Using an Ombudsman to oversee Public Officials
bull AGSP The Office of the Parliamentary Ombudsman March 1994 Salaries and Benefits of Legislators
bull AGSP The Social Protection of Parliamentarians Report by Mrs Helene Ponceau General Secretary of the Senate Quaestorrsquos Office [Havana Senate Treasurerrsquos Department] Review No 181 April 2001
Professional Development and Training
bull SADC Parliamentary Forum MPs Orientation Handbook ndash Professional Performance and Development httpwwwsadcpforgaboutindexasp
The Parliament and the Budget Cycle
bull OECD Development Centre Policy Brief No 22 Strengthening Participation in Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD May 2001 OECD Best Practices for Budget Transparency bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and
Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull ASGP The Administrative and Financial Autonomy of Parliamentary Assemblies Report prepared by Michel Couderc (France) adopted at the Moscow Session (September 1998)
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development The Legislature and the Budget by Frederick Stapenhurst 2004 httpwwwworldbankorgwbigovernanceparliament
34
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull WBI Working Papers Series on Contemporary Issues in Parliamentary
Development Parliaments and the PRSP Process by Scott Hubli and Alicia P Mandaville 2004
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull WBI PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull WBI PREM Notes Public Sector Number 74 October 2002 Strengthening Oversight by Legislatures
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull Commonwealth Parliamentary Association (CPA) The Parliamentarian 2002
Issue Two 179 Parliaments and Poverty by Ms Frannie A Lrsquoeautier bull Parliamentary Centre Canada and WBI and CIDA (with support from the
International Development Research Centre) Handbook on Parliamentarians and Policies to Reduce Poverty May 2001
bull Parliamentary Centre Cambodia Focus Group on Parliamentrsquos Role in the Budget Process Analysis
bull Parliamentary Centre Indicators of Parliamentary Performance in the Budget Process
bull The International Budget Project Legislatures and Budget Oversight httpwwwinternationalbudgetorgthemesLEGindexhtm
bull NDI Legislatures and the Budget Process An International Survey 2003 httpwwwndiorgglobalpgovgovernanceasp
bull NDI Parliaments and Poverty Series Toolkit No1 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Parliaments and Poverty Series Toolkit No2 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives
35
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull NDI Parliaments and Poverty Series Toolkit No3 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative Public Outreach on Poverty Issues
bull UNDP IPU WBI and UNIFEM Parliament The Budget and Gender httpwwwundporgdpapublicationsgovernancehtml
bull IMF Finance amp Development Magazine December 2002 Volume 39 Number 4 A Bigger Role for Legislators
bull Case Study PRSPs and Parliament by Stephen Langdon bull Ministry of Foreign Affairs Netherlands March 2002 Economics and Finance
(b) Budget Impact Assessments (Gender Budgeting) bull Cagatay N M Keklik R Lal and J Lang (2000) ldquoBudgets As if People
Mattered Democratizing Macroeconomic Policiesrdquo SEPED Conference Paper Series Number 4 May
bull Navarro Z (1998) ldquoParticipation Democratizing Practices and the Formulation of a Modern Policy ndash the Case of ldquoParticipatory Budgetingrdquo in Porto Alegre Brazil (1989-1998) Development Sage London Volume 41 number 3 September
Representative and Inclusive Parliament
bull Commonwealth Parliamentary Association (CPA) Commonwealth Women Parliamentarians Into The Democratic Mainstream August 2002
bull CPA EnGendering Development and Democracy May 2004 bull IPU and UNDP Guidelines on the Rights and Duties of the Opposition in
Parliament May 19 1999 (Unanimously adopted by the participants at the Parliamentary Seminar on Relations Between Majority and Minority Parties in African Parliaments Libreville (Gabon) 17-19 May 1999)
bull AWEPA European Parliamentarians for Africa OPS7 Parliamentary Gender Handbook South Africa 2001 (found at httpwwwawepaorgdownloadsOPS07-_Parliamentary_Gender_Handbook-_South_Africapdf
Free Elections of Legislators
bull Venice Commission Opinion 2502003 Report on Electoral Systems - Overview of Available Solutions and Selection Criteria Adopted by the Venice Commission at its 57th Plenary Session CDL ndash AD(2004)003 (found at httpvenicecoeintdocs2004CDL-AD(2004)003-easp )
bull Venice Commission Opinion 2392003 Comments on the Draft Law of the Chechen Republic on Elections to the Parliament of the Chechen Republic CDL (2003)021rev (found at httpvenicecoeintdocs2003CDL(2003)021rev-easp )
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Resolution 1320 (2003) httpassemblycoeintDocumentsAdoptedTextTA03ERES1320htm
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Document 9267 15 October 2001
36
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Sanction and Removal of Legislators bull Venice Commission Comments on the Draft Law of the Chechen Republic on
Elections to the Parliament of the Chechen Republic As Submitted to Referendum by Mr G Nolte March 23 2003
bull Venice Commission Opinion on the Draft Law on the Public Attorney (Ombudsman) of ldquoThe Former Yugoslav Republic of Macedoniardquo March 15 2003
bull Venice Commission Comments on the Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia by Ms Serra Lopes February 28 2003
bull Venice Commission Draft Law on the Public Attorney (Ombudsman) of the Former Yugoslav Republic of Macedonia February 2003
bull WBI PREM Notes Public Sector Number 19 April 1999 Using an Ombudsman to oversee Public Officials
bull AGSP The Office of the Parliamentary Ombudsman March 1994 Salaries and Benefits of Legislators
bull AGSP The Social Protection of Parliamentarians Report by Mrs Helene Ponceau General Secretary of the Senate Quaestorrsquos Office [Havana Senate Treasurerrsquos Department] Review No 181 April 2001
Professional Development and Training
bull SADC Parliamentary Forum MPs Orientation Handbook ndash Professional Performance and Development httpwwwsadcpforgaboutindexasp
The Parliament and the Budget Cycle
bull OECD Development Centre Policy Brief No 22 Strengthening Participation in Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD May 2001 OECD Best Practices for Budget Transparency bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and
Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull AWEPA European Parliamentarians for Africa OPS5 The Budget Process and Good Governance 1999 (found at httpwwwawepaorgdownloadsOPS05-_The_Budget_Process_and_Good_Governancepdf )
bull ASGP The Administrative and Financial Autonomy of Parliamentary Assemblies Report prepared by Michel Couderc (France) adopted at the Moscow Session (September 1998)
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development The Legislature and the Budget by Frederick Stapenhurst 2004 httpwwwworldbankorgwbigovernanceparliament
34
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull WBI Working Papers Series on Contemporary Issues in Parliamentary
Development Parliaments and the PRSP Process by Scott Hubli and Alicia P Mandaville 2004
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull WBI PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull WBI PREM Notes Public Sector Number 74 October 2002 Strengthening Oversight by Legislatures
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull Commonwealth Parliamentary Association (CPA) The Parliamentarian 2002
Issue Two 179 Parliaments and Poverty by Ms Frannie A Lrsquoeautier bull Parliamentary Centre Canada and WBI and CIDA (with support from the
International Development Research Centre) Handbook on Parliamentarians and Policies to Reduce Poverty May 2001
bull Parliamentary Centre Cambodia Focus Group on Parliamentrsquos Role in the Budget Process Analysis
bull Parliamentary Centre Indicators of Parliamentary Performance in the Budget Process
bull The International Budget Project Legislatures and Budget Oversight httpwwwinternationalbudgetorgthemesLEGindexhtm
bull NDI Legislatures and the Budget Process An International Survey 2003 httpwwwndiorgglobalpgovgovernanceasp
bull NDI Parliaments and Poverty Series Toolkit No1 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Parliaments and Poverty Series Toolkit No2 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives
35
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull NDI Parliaments and Poverty Series Toolkit No3 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative Public Outreach on Poverty Issues
bull UNDP IPU WBI and UNIFEM Parliament The Budget and Gender httpwwwundporgdpapublicationsgovernancehtml
bull IMF Finance amp Development Magazine December 2002 Volume 39 Number 4 A Bigger Role for Legislators
bull Case Study PRSPs and Parliament by Stephen Langdon bull Ministry of Foreign Affairs Netherlands March 2002 Economics and Finance
(b) Budget Impact Assessments (Gender Budgeting) bull Cagatay N M Keklik R Lal and J Lang (2000) ldquoBudgets As if People
Mattered Democratizing Macroeconomic Policiesrdquo SEPED Conference Paper Series Number 4 May
bull Navarro Z (1998) ldquoParticipation Democratizing Practices and the Formulation of a Modern Policy ndash the Case of ldquoParticipatory Budgetingrdquo in Porto Alegre Brazil (1989-1998) Development Sage London Volume 41 number 3 September
Representative and Inclusive Parliament
bull Commonwealth Parliamentary Association (CPA) Commonwealth Women Parliamentarians Into The Democratic Mainstream August 2002
bull CPA EnGendering Development and Democracy May 2004 bull IPU and UNDP Guidelines on the Rights and Duties of the Opposition in
Parliament May 19 1999 (Unanimously adopted by the participants at the Parliamentary Seminar on Relations Between Majority and Minority Parties in African Parliaments Libreville (Gabon) 17-19 May 1999)
bull AWEPA European Parliamentarians for Africa OPS7 Parliamentary Gender Handbook South Africa 2001 (found at httpwwwawepaorgdownloadsOPS07-_Parliamentary_Gender_Handbook-_South_Africapdf
Free Elections of Legislators
bull Venice Commission Opinion 2502003 Report on Electoral Systems - Overview of Available Solutions and Selection Criteria Adopted by the Venice Commission at its 57th Plenary Session CDL ndash AD(2004)003 (found at httpvenicecoeintdocs2004CDL-AD(2004)003-easp )
bull Venice Commission Opinion 2392003 Comments on the Draft Law of the Chechen Republic on Elections to the Parliament of the Chechen Republic CDL (2003)021rev (found at httpvenicecoeintdocs2003CDL(2003)021rev-easp )
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Resolution 1320 (2003) httpassemblycoeintDocumentsAdoptedTextTA03ERES1320htm
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Document 9267 15 October 2001
36
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull WBI Working Papers Series on Contemporary Issues in Parliamentary
Development Parliaments and the PRSP Process by Scott Hubli and Alicia P Mandaville 2004
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development Back from the Sidelines Redefining the Contribution of Legislatures to the Budget Cycle by Joachim Wehner 2004
bull WBI PREM Notes Public Sector No59 October 2001 Features and Functions of supreme audit institutions (httpwww1worldbankorgpremPREMNotespremnote74pdf )
bull WBI PREM Notes Public Sector Number 74 October 2002 Strengthening Oversight by Legislatures
bull World Bank Institute Case Study PRSPSs and Parliament by Stephen Langdon bull World Bank Institute Parliaments and Poverty Building the Capacity to Tackle
the Problems bull Commonwealth Parliamentary Association (CPA) The Parliamentarian 2002
Issue Two 179 Parliaments and Poverty by Ms Frannie A Lrsquoeautier bull Parliamentary Centre Canada and WBI and CIDA (with support from the
International Development Research Centre) Handbook on Parliamentarians and Policies to Reduce Poverty May 2001
bull Parliamentary Centre Cambodia Focus Group on Parliamentrsquos Role in the Budget Process Analysis
bull Parliamentary Centre Indicators of Parliamentary Performance in the Budget Process
bull The International Budget Project Legislatures and Budget Oversight httpwwwinternationalbudgetorgthemesLEGindexhtm
bull NDI Legislatures and the Budget Process An International Survey 2003 httpwwwndiorgglobalpgovgovernanceasp
bull NDI Parliaments and Poverty Series Toolkit No1 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative-Executive Communication on Poverty Reduction Strategies
bull NDI Parliaments and Poverty Series Toolkit No2 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives
35
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull NDI Parliaments and Poverty Series Toolkit No3 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative Public Outreach on Poverty Issues
bull UNDP IPU WBI and UNIFEM Parliament The Budget and Gender httpwwwundporgdpapublicationsgovernancehtml
bull IMF Finance amp Development Magazine December 2002 Volume 39 Number 4 A Bigger Role for Legislators
bull Case Study PRSPs and Parliament by Stephen Langdon bull Ministry of Foreign Affairs Netherlands March 2002 Economics and Finance
(b) Budget Impact Assessments (Gender Budgeting) bull Cagatay N M Keklik R Lal and J Lang (2000) ldquoBudgets As if People
Mattered Democratizing Macroeconomic Policiesrdquo SEPED Conference Paper Series Number 4 May
bull Navarro Z (1998) ldquoParticipation Democratizing Practices and the Formulation of a Modern Policy ndash the Case of ldquoParticipatory Budgetingrdquo in Porto Alegre Brazil (1989-1998) Development Sage London Volume 41 number 3 September
Representative and Inclusive Parliament
bull Commonwealth Parliamentary Association (CPA) Commonwealth Women Parliamentarians Into The Democratic Mainstream August 2002
bull CPA EnGendering Development and Democracy May 2004 bull IPU and UNDP Guidelines on the Rights and Duties of the Opposition in
Parliament May 19 1999 (Unanimously adopted by the participants at the Parliamentary Seminar on Relations Between Majority and Minority Parties in African Parliaments Libreville (Gabon) 17-19 May 1999)
bull AWEPA European Parliamentarians for Africa OPS7 Parliamentary Gender Handbook South Africa 2001 (found at httpwwwawepaorgdownloadsOPS07-_Parliamentary_Gender_Handbook-_South_Africapdf
Free Elections of Legislators
bull Venice Commission Opinion 2502003 Report on Electoral Systems - Overview of Available Solutions and Selection Criteria Adopted by the Venice Commission at its 57th Plenary Session CDL ndash AD(2004)003 (found at httpvenicecoeintdocs2004CDL-AD(2004)003-easp )
bull Venice Commission Opinion 2392003 Comments on the Draft Law of the Chechen Republic on Elections to the Parliament of the Chechen Republic CDL (2003)021rev (found at httpvenicecoeintdocs2003CDL(2003)021rev-easp )
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Resolution 1320 (2003) httpassemblycoeintDocumentsAdoptedTextTA03ERES1320htm
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Document 9267 15 October 2001
36
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull NDI Parliaments and Poverty Series Toolkit No3 Strengthening Parliamentary Involvement in the Poverty Reduction Strategy Process and Millennium Development Goals Legislative Public Outreach on Poverty Issues
bull UNDP IPU WBI and UNIFEM Parliament The Budget and Gender httpwwwundporgdpapublicationsgovernancehtml
bull IMF Finance amp Development Magazine December 2002 Volume 39 Number 4 A Bigger Role for Legislators
bull Case Study PRSPs and Parliament by Stephen Langdon bull Ministry of Foreign Affairs Netherlands March 2002 Economics and Finance
(b) Budget Impact Assessments (Gender Budgeting) bull Cagatay N M Keklik R Lal and J Lang (2000) ldquoBudgets As if People
Mattered Democratizing Macroeconomic Policiesrdquo SEPED Conference Paper Series Number 4 May
bull Navarro Z (1998) ldquoParticipation Democratizing Practices and the Formulation of a Modern Policy ndash the Case of ldquoParticipatory Budgetingrdquo in Porto Alegre Brazil (1989-1998) Development Sage London Volume 41 number 3 September
Representative and Inclusive Parliament
bull Commonwealth Parliamentary Association (CPA) Commonwealth Women Parliamentarians Into The Democratic Mainstream August 2002
bull CPA EnGendering Development and Democracy May 2004 bull IPU and UNDP Guidelines on the Rights and Duties of the Opposition in
Parliament May 19 1999 (Unanimously adopted by the participants at the Parliamentary Seminar on Relations Between Majority and Minority Parties in African Parliaments Libreville (Gabon) 17-19 May 1999)
bull AWEPA European Parliamentarians for Africa OPS7 Parliamentary Gender Handbook South Africa 2001 (found at httpwwwawepaorgdownloadsOPS07-_Parliamentary_Gender_Handbook-_South_Africapdf
Free Elections of Legislators
bull Venice Commission Opinion 2502003 Report on Electoral Systems - Overview of Available Solutions and Selection Criteria Adopted by the Venice Commission at its 57th Plenary Session CDL ndash AD(2004)003 (found at httpvenicecoeintdocs2004CDL-AD(2004)003-easp )
bull Venice Commission Opinion 2392003 Comments on the Draft Law of the Chechen Republic on Elections to the Parliament of the Chechen Republic CDL (2003)021rev (found at httpvenicecoeintdocs2003CDL(2003)021rev-easp )
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Resolution 1320 (2003) httpassemblycoeintDocumentsAdoptedTextTA03ERES1320htm
bull Council of Europe Parliamentary Assembly Code of Good Practice in Electoral Matters Document 9267 15 October 2001
36
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull UNDP Political Parties in the Legislature wwwundporggovernanceparldevdocspoliticalhtm
bull UNDP The Impact of Electoral Design on the Legislature wwwundporggovernanceparldevdocsimpacthtm
bull Singapore Management University Free and Fair Elections by Riccardo Pelizzo bull Parliamentary Centre Forum on Parliamentary Reform
Access to Information bull Commission of the European Communities 30042004 COM (2004) 347 final
Report from the Commission on the Application in 2003 of Regulation (EC) No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0347en01pdf )
bull Commission of the European Communities 30012004 COM (2004) 45 final Report from the Commission on the Implementation in EC Regulation No 10492001 Regarding Public Access to European Parliament Council and Commission Documents (found at httpeuropaeuinteur-lexencomrpt2004com2004_0045en01pdf )
bull European Centre for Parliamentary Research and Documentation (ECPRD) European Affairs Committees The Influence of National Parliaments on European Politics an Overview 4 March 2003 (found at httpwwwecprdorgDocpublicaOTHEuropean20Affairs20Committeespdf )
bull ASGP Promoting the Work of Parliament by Mr Ian Harris Clerk of the House of Representatives of Australia wwwasgpinfodiscussionshtmstudies
bull Commonwealth Parliamentary Association (CPA) Study Group on Access to Information February 21 2003 Recommendations for an Informed Democracy
bull CPA Parliament and the Media Cape Town Standards for an Informed Democracy April 18 2002
bull CPA Parliament and the Media Building an Effective Relationship February 18 2000
bull Venice Commission Opinion on Freedom of Expression and Freedom of Access to Information as Guaranteed in the Constitution of Bosnia and Herzegovina October 14 2000
bull NDI The Publicrsquos Right to Know Providing Access to Government Information October 3 1994
Treaties and International Obligations
bull Commonwealth Parliamentary Association (CPA) Report of a CPA Study Group on Parliament and the International Trading System February 2002
Parliamentrsquos Control of its Own Budget
37
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull European Commission for Democracy through Law (Venice Commission) Opinion on the Draft Law on the National Assembly of the Republic of Belarus 17-18 October 2003(found at
httpvenicecoeintdocs2003CDL-AD(2003)014-epdf) bull ASGP The Administrative and Financial Autonomy of Parliamentary
Assemblies Report prepared by Mr Michael Couderc adopted at the Moscow Session (September 1998) wwwasgpinfopublicationshtm
Parliament and the Use of Technology
bull WBI Working Papers Series on Contemporary Issues in Parliamentary Development e-Parliaments The Use of Information and Communication Technologies to Improve Parliamentary Processes by Tess Kingham 2003
bull WBI Parliamentary Libraries Institutes and Offices The Sources of Parliamentary Information by Robert Miller Riccardo Pelizzo and Rick Stapenhurst
bull European Centre for Parliamentary Research and Documentation Knowledge amp Power The Essential Connection Between Research and the Work of the Legislature A European Overview
bull UNDP International Organizations of the Legislative Branch wwwundporggovernanceparldevdocsinternalorghtm
bull International Federation of Library Associations (IFLA) Publications 87 Parliamentary Libraries and Research Services in Central and Eastern Europe Building more Effective Legislatures by KGSaur Munchen 1998 Edited by William H Robinson and Raymond Gastelum under the auspices of the Section of Library and Research Services for Parliaments
bull Congressional Research Service (CRS) US Library of Congress Possible Design of a Research Capability for the National Assembly of the Republic of Bulgaria November 1993
Training bull ASGP Constitutional and Parliamentary Information Number 183 (1st Semester
2002) Parliamentary Civil Employees (the case of Burkina Faso) Security of Legislators
bull IPU and Geneva Centre for the Democratic Control of Armed Forces (DCAF) Parliamentary Oversight of the Security Sector Standards Mechanisms and Practices by Hans Born (edited by Philipp H Fluri amp Anders B Johnsson) wwwdcafchpublicationse-publicationsHandbook_engcontentshtml
38
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Public Participation on Parliamentary Matters bull CPA How Can Parliaments Best Re-Engage the Public June 13 2003 bull OECD Development Centre Policy Brief No 22 Strengthening Participation in
Public Expenditure Management Policy Recommendations for Key Stakeholders by Jeremy Heimans
bull OECD (2001) ldquoEngaging Citizens in Policy-making Information Consultation and Public Participationrdquo Public Management Policy Brief Number 10 November Paris
bull World Bank (2001) ldquoCivic Engagement in Public Expenditure Management Case Studies Uganda ndash Tracking Public Expenditures (PETS) unpublished Washington DC wwwworldbankorgparticipationwebwebfilescepemcase5htm
bull World Bank The Participation Group Social Development Department Case Study 1 Bangalore India Participatory Approaches in Budgeting and Public Expenditure Management February 2001
bull Wehner J (2001a) ldquoNigeria Democracy brings opportunities for participation in budget processrdquo unpublished Institute for Democracy in South Africa 12 November
bull Wehner J (2001b) ldquoZambia Participation of Civil Society and Parliament in the Budgetrdquo unpublished Institute for Democracy in South Africa 12 June
bull Wampler B (2000) ldquoA Guide to Participatory Budgetingrdquo unpublished October wwwinternationalbudgetorgresourceslibraryGPBpdf
bull Commonwealth Human Rights Initiative (CHRI) Best Practices of Participatory Constitution Making wwwhumanrightsinitiativeorgprogramsaiconstindiapracticeshtm
bull NDI Parliamentary-Civic Collaboration for Monitoring Poverty Reduction Initiatives (Parliaments and Poverty Series Toolkit No 2)
bull NDI Legislative Public Outreach on Poverty Issues (Parliaments and Poverty Series Toolkit No 3)
bull NDI Governance and Public Participation A Summary of Focus Group Survey Findings September 2001
bull UNDP The Legislature and Constituency Relations wwwundporggovernanceparldevdocsconstrelathtm
bull European Convention The Unionrsquos Founding Standards Democratic Life httpeuropaeuintscadpluseuropean_conventiondemocracy_enhtm
bull Council of Europe Parliamentary Assembly Resolution 1121 (1997) On Instruments of Citizen Participation in Representative Democracy
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 3 July 2001 Public Interest in Government by Patrick Dunleavy Helen Margetts Trevor Smith and Stuart Weir
bull Fung A and EO Wright (2001) ldquoDeepening Democracy Innovations in Empowered Participatory Governancerdquo Politics and Society Volume 29 Number 1 March
39
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Other Readings bull Scottish Liberal Democrats Best Practice Lessons the House of Commons can
learn from the European Parliament by Chris Davies Leader of the British Liberal Democrat MEPs July 2004 wwwscotlibdemsorgukdocseubp04htm
bull NDI OSCE Human Dimension Seminar Democratic Institutions and Democratic Governance Remarks by K Scott Hubli May 13 2004 wwwaccessdemocracyorglibrary1713_gov_osceremarks_051304html
bull World Bank Public Sector Reform and Capacity Building Unit (Africa Region) Emerging Legislatures in Emerging African Democracies by Joel D Barkan Lapido Ademolekun Yongmei Zhou Mouftayou Laleye and Njuguna Ngrsquoethe August 21 2003
bull Parliamentary Affairs A Journal of Comparative Politics Volume 53 No 3 July 2003 Designing the Scottish Parliament by Alice Brown Designing the National Assembly for Wales by Martin Laffin and Alys Thomas Designing the Northern Ireland Assembly by Rick Wickford
bull UNDP Parliamentary Development Practice Note April 2003 bull Department for International Development (DFID) Governance Department
Capacity Development in Legislatures Good Practice and Some Lessons Learnt From a Donor Perspective November 22 2002
bull UNDP Policy Dialogue on Legislative Development Approaches to Legislative Strengthening A Survey and Thematic Evaluation of SIDArsquos Parliamentary Strengthening Portfolio November 22 2002
bull Parliamentary Affairs A Journal of Comparative Politics Volume 54 No 1 January 2001 New Labor New Pathways to Parliament by Eric Shaw`
bull AWEPA European Parliamentarians for Africa OPS8 Parliament as an Instrument for Peace 2001 (found at httpwwwawepaorgdownloadsOPS08-_Parliament_as_an_Instrument_FOR_pEACEpdf )
bull European Commission The Future of Parliamentary Democracy Transition and Challenge in European Governance Green Paper prepared for the Conference of the European Union Speakers of Parliament September 2000
bull USAID Center for Democracy and Governance USAID Handbook on Legislative Strengthening February 2000
bull The Parliamentary Mandate by Marc Van der Hulst (Inter-Parliamentary Union [IPU] Books 2000)
bull NDI Legislative Research Series Paper 6 2000 Strengthening Legislative Capacity in Legislative-Executive Relations
bull UNDP A Concept Paper on Legislatures and Good Governance by John K Johnson and Robert T Nakamura July 1999
bull Development Associates Inc prepared for USAID January 1996 Evaluation of Parliamentary Assistance in Central and Eastern European (CEE) Countries Under the Democratic Governance and Public Administration Project
bull Parliaments in the Modern World by P Laundy (IPU Books 1989)
40
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
bull Representative Democracy and the Role of Parliaments An Inventory of Democracy Assistance Programmes by Dr Hans Born
bull UK Foreign amp Commonwealth Office Democracy and Good Governance Human Rights wwwfcogovukservletFrontpagename=OpenMarketXcelerateShowPageampc=Pag
bull SADC Parliamentary Forum MPrsquos Orientation Handbook Professional Performance and Development for Parliaments
bull UNDP Legislative Chambers Unicameral or Bicameral wwwundporggovernanceparldevdocschambershtm
bull Parliamentary Centre Canada The Parliamentary Centre in Asia wwwparlcentcaasiaindex_ephp
Parliamentary Associations
bull Commonwealth Parliamentary Association (CAP) httpwwwcpahqorgtopicsdefaultaspx
bull Inter-Parliamentary Union (IPU) httpwwwipuorgenglishhomehtm bull Association of Secretaries General of Parliaments (ASGP) httpwwwasgpinfo bull Global Organization of Parliamentarians Against Corruption (GOPAC)
httpwwwgopacorg bull IFES httpwwwifesorgrule_of_lawROL_TKhtm bull European Centre for Parliamentary Research amp Documentation (ECPRD)
httpwwwecprdorg bull OSCE Parliamentary Assembly wwwosceorgpa bull World Bank Institute Parliament Programs
wwwworldbankorgwbigovernanceparliament Indicators
bull Aldons M (2001) ldquoPerformance Indicators for the Parliament ndash Sharp or Blunt Instruments of Reformrdquo in Australasian Parliamentary Review Spring 2001 Vol16(2) 27-37
41
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Annex 3 Draft Indicators for Democratic Parliaments CONTEXT Public Perception of the Parliament
Is Parliament respected by the public Are legislators respected by the public Are there public surveys related to the public perceptions of the Parliament andor
legislators If so does the public have confidence in Parliament as an institution In
individual legislators Are these surveys periodically performed Are they performed by the Parliament
itself By civil society By an independent entity If Parliament is perceived as not independent what external forces are seen as
interfering with its decision-making process Who is considered to exercise more control over the Parliament The Executive The Judiciary The private sector The media Criminal organizations Others
How accessible to the public is the parliamentary decision-making process What is the general publicrsquos perception of parliamentary openness accountability
delivery of services and conduct
PTAS1 Independence of Parliament Institutional Independence
Is the principle of separation of powers formally set out either in the text of the Constitution or in law
Is the Parliament an institution independent in practice Does the executive branch develop laws or policies or institutions that contradict
with duly passed statutes or contravene the law-making role of Parliament Does the executive branch and military develop and implement in practice
consistent policies complementary to the laws passed by parliament Is an independent parliament clearly defined in the Constitution and supported by
laws policies and procedures Is illegal external interference with the Parliament clearly defined in the law and
properly sanctioned Personal Independence
Are individual legislators subject to undue influences or interferences in the decision-making process
Are legislators complicit in this interference Is this the leadership or certain factions or individuals or both
What external forces are interfering with the legislative decision-making process Are legislators illegally forced or under undue pressure to pass certain laws or policies or not to undertake their oversight responsibilities If so by whom andor what groups
42
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators obligated to vote according to their political party directives by law policy or internal procedural rules
Are there laws procedures and policies in force to protect legislators from illegal external interference and to punish those who interfere Are they enforced in practice
Is there any formal or informal mechanism or policy to punish legislators considered ldquotoo independentrdquo
Is corruption criminalized Does it clearly include the bribery of legislators Is it legally permitted for legislators to receive outside income or benefits from
external groups If so is this law rule or policy clear and does it require timely public disclosure of this income
Are legislators or their staff offered bribes in return for their legislative support Is this practice routine
What is the nature of these bribes Financial Promotion Punishment Who usually bribes legislators or staff Do legislators usually receive direct or indirect economic career or physical
threats to rule in a determined way Their families Their staff Are there any group ndashmedia civil society ndash specialized in monitoring of external
interference If yes is there information available to the public Is the boundary between public monitoring and external interference clearly
defined Is the boundary between public participation and external interference clearly
defined Are members attempting to reorganize and revitalize the parliament and important
committees to promote its independence and carryout its constitutional responsibilities
Institutional and Personal Physical Security
Is there a clear law and policy relevant to the personal security of legislators and of the parliamentary premises Is it implemented in practice Are there adequate resources and political will to implement it
Are legislators commonly subject to physical threats Is violence used to ldquopunishrdquo the official activities of any legislator What are the most typical acts of violence exercised against legislators Are the parliamentary premises reasonably secure and properly protected Is there a formal procedure for security checks for anyone seeking entry to the
Parliament Do legislators require special security or protection during the course of
exercising their official responsibilities inside or outside the Parliament Are the members provided with security services for their private residences if
needed
43
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
PTAS2 Free and Fair Parliamentary Elections
Do parliamentary elections comply with international standards for free and fair elections
Does the Constitution call for free and fair parliamentary elections Does the legal framework regulating parliamentary elections comply with the
Constitution and international standards Do parliamentary elections take place according to legal framework under the
Constitution and applicable laws In general do parliamentary elections take place in a non-violent non-
threatening secure environment Is voting mandatory On average what percentage of eligible voters votes in parliamentary elections Does the law require a minimum turnout for the election to be valid Are all legislators required to be elected under the nomination of a political party Are the rules for party nominations and elections fair and transparent Do they
allow fair representation of regional ethnic and gender groups Are they enforced in practice
Is the electoral system arbitrarily biased in favor of any political faction by law policy or practice (for example districting or suffrage rules)
Are regions or provinces fairly represented in the National Parliament PTAS3 Transparent Adequate Political Financing and Compensation Transparent political financing
Do political parties have to submit financial accounts If yes to whom Are financial accounts published
Does the disclosure requirement apply to income as well as expenditure of political parties
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of political parties
Do parliamentary candidates have to submit their campaign budget If yes to whom Are campaign accounts published
Does the disclosure requirement apply to income as well as expenditure of parliamentary candidates
Does the disclosure requirement include disclosure of the identity of donors and the origins of income of parliamentary candidates
Do donors have the obligation to disclose their donations to an independent public authority If yes to whom Are donation disclosures published
Does the disclosure requirement for apply to corporate and individual donors Is there a threshold for reporting donations Are there mechanisms for political parties or parliamentary candidates to access
public funding When do political parties have to disclose their financial accounts When do political parties have to disclose the donations that they have received
44
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
When do parliamentary candidates have to disclose their campaign accounts When do parliamentary candidates have to disclose the donations that they have
received Are there any sanctions for failure to comply with the disclosure requirements
Do they include loss of the parliamentary seat Do they include temporary ineligibility
Do sanctions apply to incomplete disclosure Do sanctions apply to false disclosure Do sanctions apply to failure to submit disclosure within the legal timeframe Do sanctions apply to failure to submit disclosure altogether
Do incumbents use parliamentary resources for their campaigns Is this practice allowed by the law Is it allowed in practice
Is the information on political financing readily available to the public Reasonable and appropriate compensation of legislators
Do legislators have adequate salaries and benefits Are there disparities among legislators Are the salaries benefits and pensions sufficient to attract and retain qualified candidates Are they excessive
What is the total annual salary and benefit package of a legislator by law and in practice What are the elements of the benefit package
How do legislatorsrsquo salaries compare with salaries of other high level government officials
Are salaries defined by law By the Parliament itself Are there adequate and clearly outlined procedures for salary or benefit package
increases Are legislators accountable for official expenditures and reimbursable expenses
included within their benefit package Are the rules for parliamentary accountability clear and enforced Is the information regarding the salaries benefits pensions and expenses of
legislators accessible to the public Are the legislators provided with in-kind benefits (For example per diem
automobiles housing airplane tickets office space medical insurance discounts on education for their children etc)
Are legislators permitted to have other sources of income If yes what are they General Income and Asset Disclosure
Is income and asset disclosure mandatory for legislators and key staff If yes is the disclosure obligation made by the Constitution law or judiciary decision
Who is subject to the disclosure requirement Does it apply to legislators only or also include their dependents and family members Does it also include people with whom legislators have financial interests
Is the kind of incomes and assets to be disclosed clearly defined What are they Must the sources of income be disclosed
Is basic information about the incomes and assets of legislators accessible to the public Is the information available on the Internet
45
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
What institution is responsible for collecting the data For investigating For imposing sanctions Is this institution independent Are the procedures transparent and objective
What are the sanctions for non compliance (eg for lack of disclosure erroneous disclosure misleadingfalse disclosure incomplete disclosure) Are these sanctions fair and effective Are they applied in practice
Are legislators obligated to disclose their incomes and assets periodically Upon taking office Upon leaving office
PTAS4 Representative Parliament
Is representation in Parliament generally reflective of the different parties gender and religious elements of society
What is the percentage of women in Parliament What is the percentage of relevant minorities in Parliament Is their a law or policy that requires specific representation of various elements of
society Is it objective Is it enforced in practice Do all members have an equal right to vote in Parliament and committees Is there discrimination against any opposition legislators or factions in practice Is
this practice legal or sanctioned by parliamentary rules If so are these sanctions or rules fair in theory and enforced fairly in practice
What are the basic rights of opposition parties in Parliament What is the percentage of women legislators Has there been an increase since the
last parliamentary elections PTAS5 Parliamentary Security of Tenure
Can legislators be removed at will by the Executive Do legislators enjoy security of tenure for the duration of their term
PTAS6 Free Parliamentary Speech
Is freedom of speech protected by the Constitution By law Are restrictions to freedom of speech clearly defined under the law Do Legislators enjoy freedom of speech under the law Is freedom of speech
respected in practice Does the law provide for criminal sanctions for defamation libel slander insult
andor blasphemy Does the law provide for civil sanctions for any of these acts Are these acts clearly defined Are these acts broadly or narrowly defined
Are any of these criminal or civil laws enforced in practice or used as threats Is there a clear enforcement policy that is accessible to the public
Do any result in self-censorship particularly within the parliament or the media
46
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are legislators subject to more limitations than ordinary citizen Are these limitations reasonable given their function Are they subject to censorship
Have any of these laws or policies been used to punish legislators Is the opposition to the government silenced through threats of criminal
accusation (especially for defamation) Can the opposition safely criticize the government publicly Do the media publish opposition criticism of the government
PTAS7 Participatory Transparent Law and Policy-Making Processes Parliamentary process
Is the parliamentary process for considering and passing laws clear Is it transparent Is it well understood by legislators and the public
Are the procedural rules clear Are they transparent Are they well understood by legislators and the public Are they readily accessible to legislators and the public
Are the laws and decisions of Parliament published Are they readily accessible by the public
Does the Parliament follow in practice the parliamentary rules of procedure for developing and making laws and policies
Are there relevant viable parliamentary committees that can develop analyze and amend draft and current legislation
Is there a parliamentary policy or practice geared towards the protection of human rights and the effective implementation of human rights laws
Broad Public Participation in the Parliamentary process
Are citizens allowed to visit Parliament Are they allowed to attend plenary and committee sessions
Are plenary and committee meetings open to the media Are legislative sessions accessible to citizens via radio television or the Internet
Do citizens have effective timely access to their elected representatives Do members have district offices or offices in their constituencies which maintain
business and non-business hours and which are adequately staffed Do Legislators return telephone calls faxes and e-mail in a timely manner Does the public have access to legislators and parliamentary schedules calendars
and committee information Is there regular public opinion polling Are their results publicized
PTAS8 Transparent Oversight of the Executive
Does the Parliament play an oversight role with regard to Executive branch decisions on national security issues
Do committees perform their legal government oversight responsibilities in an open transparent manner and do they have access to government information
47
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does the Parliament oversee the Executive on issues of national security On issues of fundamental human rights
PTAS9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
What powers does Parliament have in formulating the governmentrsquos budget Can Parliament amend the budget Can it increase or decrease the total amount or
adjust specific items Can Parliament control the effective disbursement of the amounts under each
item If yes does it effectively exercise this control In practice does the Parliament analyze and debate the governmentrsquos budget or
just approve the project sent by the Executive Can legislators make amendments to the budget sent by the Executive In
practice do they make amendments Is there public participation and debate on budgetary issues Is there both formal and informal discussion between legislators and government
officials responsible for formulating and implementing the budget Does the Parliament ask civil society experts their opinion on the budget Is their
opinion taken into account Does Parliament have a Public Accounts committee Does it engage in an audit of
government accounts Are such audits annual Is there adequate technical assistance on strategies to enhance oversight for
example on-line access to government accounts PTAS10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
Does Parliament have the legal right to participate in the formulation or review of international treaties Does it have the power to approve or ratify them or is this power invested in some other entity
If so is there a clear procedure or policy that allows Parliament to informally or formally participate in the ratification process
Does Parliament exercise that power in practice even in those cases when it opposes the Executive
Has Parliament established a legal committee responsible for keeping abreast of international instruments declarations treaties and conventions ndash their content and obligations ndash which the government is required to ratify from time to time
Is there a system in place for informing and keeping members abreast of the international obligations of the government
Does Parliament have sufficient time technical capacity and resources to adequately review legislation proposed by the Executive in order to ascertain the level of compliance with international obligations
48
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament have the power to draft and amend legislation it receives from the Executive
Are there parliamentary committees in place to oversee the effective implementation of international obligations and laws
PTAS11 Transparent Efficient Parliamentary Committees
What is the committee structure of Parliament How many committees What are their functions How many members
Do all legislators have a right to serve as members of parliamentary committees Do opposition legislators or factions have the opportunity to serve on key
committees or in positions of power within the parliament Are there committee rules that require public committee hearings on important
tasks such as review and approval of the governmentrsquos budget Are committees composed of representatives of various party factions within the
parliament including gender political party and regions Are there limits on the tenure of committee members Do new members receive training in substance from sitting members Do committees have sufficient staff and resources to perform their functions
effectively Do committees have investigative powers Are these powers sufficient to compel
the disclosure of information Do committees have sanction powers for non-compliance with their requests Can committees protect witnesses who appear before them Does protection
include non-prosecution Are committee hearings public Are they broadcast by the media Are regulations policies parliamentary inquiries and commission and committee
reports published Are they readily accessible by the public PTAS12 Adequate Independent Parliamentary Budget
Does Parliament have adequate financial resources to carry out its constitutional and legal responsibilities effectively
Does Parliament develop and approve its own budget What is the percentage of the national budget allocated to the Parliament Is this
percentage fixed or varied every year Is it determined by the Constitution Is the percentage subject to negotiation between the Parliament and the Executive
What proportion of the parliamentary budget is actually approved and disbursed by the government in practice
Does Parliament have actual and effective control over how this budget is spent (eg to hire staff manage committees purchase furniture and technology etc)
Which institution represents the Parliament in the budget negotiations Which institution is responsible for adopting the budget Which institution is responsible for disbursing the funds
49
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Which parliamentary entity is responsible for proposing allocating and managing the budget
Are there clearly defined criteria and priorities for allocating the budget Are the funds redistributed every year Are there clearly defined rules governing the administration of the parliamentary
budget Are they applied in practice Are there oversight mechanisms to monitor the budget and control expenses Are legislators and staff trained to develop and manage the parliamentary budget Is the percentage of the budget allocated to the Parliament sufficient and how
does it compare to other national budgets To the budgets of other Parliaments in comparable countries
Are the processes of drafting adoption disbursement and allocation of the Parliamentary budget transparent
Does the public have access to the parliamentary budget information Are there undisclosed funds allocated to Parliament specific committees or
legislators which are disbursed discretionarily PTAS13 Clear Effective Conflict of Interest Rules and High Standards of Conduct Conflict of Interest
Are there clear conflict of interest rules set by law Is their scope clearly defined Do they apply to legislators only or also include close relatives and immediate members of their families
Does the public and legislators have timely access to these laws andrules What are the prohibited functions responsibilities or interests Are members required to publicly disclose this information What entity is responsible for adopting conflict of interest rules applicable to
legislators and does it perform its legal responsibilities What entity responsible for enforcing conflict of interest rules and investigating
violations Does it have the power and resources necessary to undertake investigations resolve cases and impose sanctions
What are the sanctions for non compliance with conflict of interest rules Are these sanctions fair and effective Are they applied in practice
Are there clear and effective mechanisms for the enforcement of conflict of interest rules
Are criminal laws applicable to legislators In which circumstances Is there an express bar on members entering agreements which restrict their
freedom to perform their official duties or speak or which effectively make them representatives of outside bodies and not the public
Ethics Rules
Is there a code of ethics for legislators Is it enforced in practice What are the sanctions for non compliance with the code of ethics Are these
sanctions fair and effective Are they enforced in practice
50
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are there parliamentary committees in place for handling complaints from anyone including legislators or individual citizens
Are parliamentary and committee disciplinary or ethical rules and procedures fair clear and enforced in practice
Are legislators sufficiently familiar the ethics code and parliamentary disciplinary procedures such as Standing Orders and precedents
Are there formal and informal procedures for seeking advice or guidance with regard to the ethics code and policies
What programs or activities are available to legislators to promote and reinforce standards of conduct through guidance and training including induction training for new members
Illegal Enrichment
Is there a transparent process for investigating illegal enrichment Is it clearly defined in the law
Are there criminal sanctions for illegal enrichment Are these sanctions fair and effective Are they enforced in practice
PTAS14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
What are the essential rules and policies of the parliamentary disciplinary process Are these rules clear and transparent Are they fair and effective Are they applied in practice
Is the parliamentary disciplinary process clearly defined by law Are the due process rights of legislators guaranteed in disciplinary processes Are
these rights respected in practice Do legislators have the right to judicial review of disciplinary processes Does the disciplinary process rely on objective criteria Are these criteria
transparent Are they complied with in practice Are they accessible to legislators To the public
Does the disciplinary process take into account a certain degree of subjectivity and flexibility
Are there formal and informal procedures by which legislators can seek advice and guidance regarding compliance with the procedures and law
Is the parliamentary disciplinary process politicized Is it effectively controlled by the Executive Is it effectively controlled by the political parties
Is the parliamentary disciplinary process transparent Which institution or office is responsible for the disciplinary process Is this
office fair efficient and independent Is the parliamentary disciplinary process participatory in practice Are NGOs
invited to participate in the process Does the public participate in the process Is the disciplinary process perceived as fair and effective Is it fair and effective
in practice Is there discrimination within or a bias against anyone within the disciplinary
process
51
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Are conducts giving rise to disciplinary action (ie disciplinary offenses) clearly defined under the law
What types of conducts may lead to a disciplinary process Are sanctions for disciplinary offenses clearly defined under the law Are they
proportional to the offense or misconduct (under the lawin practice) Are they dissuasive Are they effectively applied and enforced
What types of sanctions may be imposed Do legislators have access to information on and modifications to the disciplinary
offenses and sanctions Are complaint procedures available to legislators To the public Describe the kinds and numbers of cases that have been investigated and their
disposition PTAS15 Parliamentary Immunity
Are the concepts of legislative independence immunity and accountability clearly established under the Constitution and the law Are there institutional mechanisms to balance these concepts
Does immunity apply to criminal prosecution Does it apply to civil liability Is immunity a privilege or a guarantee of the parliamentary function Is it
absolute or limited to certain conducts or acts Are there cases in which the legislator has absolute immunity
Is immunity recognized by the Constitution By law By parliamentary resolution
Is immunity limited to acts and omissions in the exercise of the parliamentary function If yes what is the scope of the notion of ldquoexercise of the parliamentary functionrdquo
If legislators may be held criminally responsible under what circumstances can they be prosecuted
If legislators may be held civilly liable under what circumstances can they be sued for compensation
Is the legislatorsrsquo freedom of speech reinforced by and balanced with the concept of immunity
Can immunity be waived If yes who or which entity is responsible for waiving immunity Is it a jurisdictional body or not
Is there a clearly defined procedure to waive immunity Are the cases in which immunity may be waived clearly defined and justified
PTAS16 Parliamentary and Public to Access Information
Does Parliament provide the public with timely access to parliamentary information
Does Parliament have access to government information and research
52
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Does Parliament solicit public opinion through polls hearings or other ways How often
Does Parliament have a public affairs office Does this public affairs office have a clear procedure or mechanism for receiving requests or information from the public
How accessible is that office to members of the general public To the media To NGOs
How regular is communication in the form of briefs and or publications from the office to the public
Are records kept of legislative meetings accurate timely and available to the public
Are there various methods for the public to contact legislators or staff for timely informationinquiries
Does the public have access to information on bills being debated in Parliament Does Parliament make available publications such as member directories
pamphlets and brochures Does Parliament have a website Is it regularly updated Is it easy to find
information on the website PTAS17 Adequate Facilities Equipment and Technology
Does Parliament have an adequate library on its premises If yes do legislators have access to the library Do they have access to
parliamentary archives Is the library reasonably equipped with up to date relevant information Do the resources include information from other countries and parliaments Is the library staff adequately trained to handle queries on what materials are
available where to find other materials and how to access them Is the library linked to other libraries regional andor international Are the physical facilities adequate to enable Parliament to conduct its business
(eg public access meeting rooms member and party offices heating air-conditioning etc)
Does Parliament have appropriate equipment (eg furniture telephones copy machines computers sound systems etc)
Do legislators and their staff have computers What is the ratio of computers to legislators What is the ratio of computers to staff
Do parliamentary facilities have an intranet network linking legislators and staff Is parliamentary information and relevant electronic resources available on the intranet
Do parliamentary facilities have internet access If so is this used for complementary research
PTAS18 Professional Training for Legislators and Staff
53
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit Model State of Parliament Report Framework
Is there a specific institution or unit within the Parliament providing legislative training If not is there such an institution outside the Parliament Is it public or private or mixed
Who manages administers and controls the training institution Is the training institution adequately funded Is there a specific budget for
legislative training programs What is the range of training programs for legislators and parliamentary staff
What are the training gaps Do they exist for both new and existing legislators and staff
Are there international cooperation programs related to parliamentary training Is the training institution adequately staffed Is the staff adequately qualified Is
the staff selected according to a transparent process based on objective and merit-based criteria
Is there political support for legislative training and continuing legal education Parliamentary support
Are training programs open to all legislators and non-discriminatory What policies systems and procedures are in place for training new legislators on
parliamentary procedures Is training provided only upon starting the term or employment Or is it provided
on a periodic basis Or is it provided on an ad hoc basis Do training programs include training on law drafting Recent legal
modifications Comparative law training Legislative ethics training Who determines training needs Are legislators involved in the development of
the training institutionrsquos curriculum Is the curriculum responsive to the legislatorsrsquo perception of their needs Is it responsive to the public perception of legislative weaknesses
PTAS19 Adequately-Compensated Research Library and Committee Staff
Do legislators have access to the necessary professional staff to assist them in policy law and budget making research compliance with rules of procedure IT and oversight
Do legislators have the necessary staff to provide services to their constituents Do parliamentary employees and personnel have adequate salaries and benefits
Are their salaries benefits and pensions sufficient to attract and retain qualified candidates
Is the staff adequately trained Are they employees of Parliament or are they civil servants under the supervision of the Executive
Are they employed promoted and disciplined within a meritorious human resources system Are the criteria objective and clearly-defined Is the process transparent Does it rely on competitive examinations
Is support staff selected based on political affiliation or based on skills and knowledge Does it vary depending on the position andor department
Do members have their own research staff inside or outside of Parliament Are bill drafting services available If so by whom
54
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES PaM
rliamentary Tool Kit odel State of Parliament Report Framework
55
Are there clear salary schedules for staff Is there a system for performance appraisals increases and promotions Who pays support staff
Are there training programs for administrative staff If so how regular are they
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Annex 4 Cross-Reference Table [INITIAL DRAFT ldquordquo AND ldquoNArdquo indicate research is underway] Parliamentary Transparency and Accountability Standards
International and Regional Consensus Principles H
uman R
ights Instrum
ents
Anti-corruption
Instruments
Africa R
egional D
ocuments
Am
ericas Regional
Docum
ents
Asia R
egional Docum
ents
Europe R
egional D
ocuments
IPU Instrum
ents
Regional Parliam
entary U
nion Instruments
CPA
Docum
ents
Latim
er House
Instruments
PTAS 1 Independence of Parliament NA NA NA PTAS 2 Free and Fair Parliamentary Elections NA NA NA PTAS 3 Transparent Adequate Political Financing and Compensation NA NA NA PTAS 4 Representative Parliament NA NA NA PTAS 5 Parliamentary Security of Tenure NA NA NA PTAS 6 Free Parliamentary Speech NA NA NA PTAS 7 Participatory Transparent Law and Policy-Making Processes NA NA NA PTAS 8 Transparent Oversight of the Executive NA NA NA PTAS 9 Parliamentary Participation in the Formulation and Oversight of the Governmentrsquos Budget
NA NA NA
PTAS 10 Parliamentary Participation in the Adoption of and Oversight of Compliance with International Obligations
NA NA NA
PTAS 11 Transparent Efficient Parliamentary Committees NA NA NA PTAS 12 Adequate Independent Parliamentary Budget NA NA NA PTAS 13 Clear Effective Conflict of Interest Rules and High Standards of Conduct
NA NA NA
PTAS 14 Clear Fair and Transparent Disciplinary Rules Procedures and Sanctions
NA NA NA
PTAS 15 Parliamentary Immunity NA NA NA PTAS 16 Parliamentary and Public to Access Information NA NA NA PTAS 17 Adequate Facilities Equipment and Technology NA NA NA PTAS 18 Professional Training for Legislators and Staff NA NA NA PTAS 19 Adequately-Compensated Research Library and Committee Staff NA NA NA
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Human Rights Instruments ICCPR ECHR IACHR ACHPR UNHCHR Resolution 200047 on Promoting and Consolidating Democracy Anticorruption Instruments UN OAS COE AU Conventions Africa Regional Documents ECOWAS Protocol ASP11201 on Democracy and Governance (2001) Americas Regional Documents Asia Regional Documents Europe Regional Documents Conference on Security and Cooperation in Europe (CSCE) Copenhagen Document (1990) CSCE Moscow Document (1991) Venice Commission Draft Report on Parliamentary Immunity (1996) Inter-Parliamentary Union (IPU) Instruments Universal Declaration on Democracy (1997) Guidelines and Duties for the Opposition in Parliament (1999) Resolution on Parliamentsrsquo Role in Strengthening Democracy and Human Development in a Fragmented World (2003) Regional Parliamentary Unions African Parliamentary Union (UPA) Resolution on the Role of Parliament in the Consolidation of Democracy and Confidence-Building between Peoples and their Institutions (2000) Commonwealth Parliamentary Association (CPA) Instruments Parliament and the Media Building an Effective Relationship (2000) Capetown Principles for an Informed Democracy (2002) Recommendation for an Informed Democracy (2003) Recommendation for Transparent Governance (2004) 57
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58
IFES Parliamentary Tool Kit DRAFT Model State of Parliament Report Framework
Latimer House Instruments Commonwealth Latimer House Guidelines (1998) Commonwealth Principles on the Accountability and Relationship between the Three Branches of Government (2003)
58