| 1 |
Organisational planning and commitments |
Quality of FOI legislation |
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The definition used in the Global RTI Rating is that it has to be a law in the strict sense. It must include the right of access to information, this right has to be enforceable and there must be compliant, court and high court appeal possibilities. Decrees are included if they meet the same standards. In addition, the FOIA must be in use for at least the executive part of the government; therefore, FOIAs which are only adopted, approved or still in draft form are not counted.
For multilateral donors, international finance institutions (IFIs) and private foundations, a disclosure or transparency policy is accepted as equivalent to a FOIA. Publish What You Fund completes an assessment of the quality of these disclosure policies based on the overarching approach taken in the Global RTI Rating. |
| 2 |
Organisational planning and commitments |
Accessibility |
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The overall accessibility of aid information through the organisations’ portals, project databases or searchable data sources. These are scored using three criteria: 1) the portal allows free, bulk export of data; 2) it contains detailed disaggregated data; 3) the data is published under an open licence.
Data sources can be the organisations’ own aid portals, publicly accessible databases or websites – accessed in that order. The portal or database must include information on current activities for the countries or sectors the organisation is working in rather than just one individual country/sector or a selected group. It should contain information on at least five of the activity-level indicators, at least one of which should cover financial information. The same data source is used for all three checks. For example, if the aid portal does not state that the data is published under an open licence, this is not checked elsewhere on the organisation’s project database or website. If the organisation’s website is the data source then it cannot score on the “free bulk export” criterion.
If a portal allows bulk export through its API but not through its web-user interface, this is accepted as allowing free, bulk export of data.
Note that raw IATI files are not accepted for this indicator as the underlying principle behind it is to assess what organisations are doing to promote access and use of their aid information. Information published to the IATI Registry is taken into account for the publication indicators. |
| 3 |
Organisational planning and commitments |
Organisation strategy |
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An overarching strategy document explains the general approach and policies of the organisation towards international development. This should be forward looking. The IATI reference for this indicator is: Institutional strategy paper (document code = B02).
For organisations whose primary mandate is not development, a document clarifying its overarching development strategy is accepted. This information needs to be forward looking. |
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Organisation strategy is present |
Given file is an organisation file
Then `document-link/category[@code="B02"]` should be present |
| 4 |
Organisational planning and commitments |
Annual report |
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Annual reports outline basic (normally aggregate) information about how aid was spent in the previous year, broken down by sector and/or country. It should provide some narrative insights into the work of an agency for example by evaluating results against their stated yearly goals and strategies. This should be backward looking.
Annual reports that are up to date within their regular cycle, i.e. the organisation publishes an annual report a year behind, the most recent document within this time frame are accepted.
The IATI reference for this indicator is: Annual report (document code = B01).
To score for this indicator, the annual report needs to include details of where the organisation is spending its resources and the information needs to cover current activity period. |
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Annual report is present |
Given file is an organisation file
Then `document-link/category[@code="B01"]` should be present |
| 5 |
Organisational planning and commitments |
Allocation policy |
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Aid allocation policies are the detailed policy documents by which the organisation chooses where to spend its resources, i.e. on particular countries or themes. Relatively general documents or web pages outlining which countries, themes and institutions the agency will fund are accepted, as long as this is forward-looking and not wholly retrospective. The IATI reference for this indicator is: Aid allocation policy (document code = B04).
For organisations such as IFIs and private foundations, which do not have an “aid allocation” policy, equivalent documents are accepted; for example, “investment strategy/policy” or “grantmaking policy”. |
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Allocation policy is present |
Given file is an organisation file
Then `document-link/category[@code="B04"]` should be present |
| 6 |
Organisational planning and commitments |
Procurement policy |
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An organisation’s procurement procedures explain the process used to tender and contract (invite bids for) goods and services. This must fully explain the criteria on which decisions are made, and could be in a single procurement policy document or attached to each tender.
The IATI reference for this indicator is: Procurement policy and procedure (document code = B05).
For IFIs, which are often demand-driven, this is understood as their investment policy. For private foundations, this is their grant making policy.
For organisations that do not undertake procurement related to aid projects (e.g. if procurement is undertaken by grantees or other implementing agencies), a statement explicitly clarifying this is required, as well as the overall policy for procuring goods and services at the headquarter level. |
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Procurement policy is present |
Given file is an organisation file
Then `document-link/category[@code="B05"]` should be present |
| 7 |
Organisational planning and commitments |
Strategy (country/sector) or Memorandum of Understanding |
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For this indicator country strategies and MoU’s are taken together. A country or sector strategy will be accepted. Where one cannot be found, an MoU signed by the donor organisation and recipient country government will be accepted.
A country strategy paper sets out the organisation’s planned approach and activities in the recipient country. For it to be accepted it needs to be a detailed document, rather than just a paragraph on the organisation’s website.
The IATI reference for this indicator is: Country strategy paper (document code = B03). A Memorandum of Understanding (MoU) is a document that details the agreement usually between the organisation and recipient government for the provision of aid in the country.
The IATI reference for this indicator is: Memorandum of Understanding (document code = B13 or A09).
For organisations such as IFIs, philanthropic organisations and vertical funds, which may not have country-level strategies, mid-level documents between organisation and activity-level are accepted, e.g. thematic or sectoral-level documents.
If the organisation follows the strategy of a parent or related organisation, a statement clarifying this is needed on the website along with a link to the relevant strategy document. Similarly, if the organisation supports a country-led or developed strategy, this must be explicitly stated on the website and the link to the relevant strategy document needs to be provided.
Some organisations do not sign MoUs, so jointly developed documents governing the relationship between the organisation and the recipient are accepted as equivalent, e.g. investment codes or partnership/country agreements that have been developed in conjunction with recipient governments, agreements with implementing partners or with grantees.
Several publishers report IATI transactions to countries that do not have a specific country strategy or MoU and including one is not reflective of the geographic focus of the entity. This test will exclude these countries from the country strategy document test, testing only for relevant countries.
We will determine the relevant recipient countries for by checking an official source (such as an annual report or organisation data portal) to confirm the list of countries in which the organisation worked and directly implemented projects within the last year. This is used as the denominator when calculating the score. Ahead of each Index Publish What You Fund will survey publishers for their baseline countries along with those countries which they deem suitable for exclusion, and why. This list will be compared to an official source. Exclusions of countries from the baseline will be allowed if they are on the ‘Allowed exclusions’ list.
The IATI organisation file is then consulted for the full list of country strategy or MoU documents and checked against the total list of countries. Points are awarded for the proportion of recipient countries that have an associated country strategy or MoU.
Allowed exclusions:
• Funding is diverted to a country for administrative purposes only
• Where a country falls into the bottom 10% of recipient countries by volume of aid channelled by the assessed organisation.
• Investments to a specific country are part of a co-financing venture only
• The country is not being targeted directly (I.E through multilateral funding or regional funding)
• Exclusions for country funding for immediate humanitarian disaster response where there is no development focus
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Strategy (country/sector) or Memorandum of Understanding |
Given this test involves both organisation and activity files
Then skip it |
| 8 |
Organisational planning and commitments |
Audit |
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The organisation’s annual audit of its activities is an official inspection of the accounts and activities of this organisation, typically by an independent body.
Audits up to date with regular audit cycles are accepted, i.e. if the organisation publishes biennial audits, the most recent document within this time frame is accepted.
The IATI reference for this indicator is: Institutional audit report (document code = B06).
A formally approved audit of annual accounts is required to score on this indicator. Audits conducted by official government agencies such as State Audit Offices or Controller General Reports are accepted for this indicator. |
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Audit is present |
Given file is an organisation file
Then `document-link/category[@code="B06"]` should be present |
| 9 |
Finance and budgets |
Total organisation budget |
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The total organisation budget is the total amount that the organisation will be allocated by the government or its funders per year for the next three years. This is money going to the organisation and can be indicative. Aggregate budgets of between 2–3 years are scored the same as 1-year forward budgets.
The IATI reference for this indicator is: Annual forward planning budget (total-budget)
IFIs and DFIs do not have budgets allocated to them as traditional donor agencies do. In many cases, total budgets are established annually, once total financial figures of all investments are taken into account. However, they do have projected total spend figures that they sometimes publish. If published, these projected figures are accepted for this indicator.
Similarly, for private foundations and humanitarian agencies, indicative figures of available funds are accepted. |
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Organisation budget available three years forward |
Given file is an organisation file
Then `total-budget` should be available 3 years forward |
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Organisation budget available one year forward |
Given file is an organisation file
Then `total-budget` should be available 1 year forward |
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Organisation budget available two years forward |
Given file is an organisation file
Then `total-budget` should be available 2 years forward |
| 10 |
Finance and budgets |
Disaggregated budget |
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The organisation’s annual forward-planning budget for assistance is the disaggregated budget that the organisation or agency will spend on different countries, programmes and institutions where it will be active, for at least the next three years. The figure could be indicative.
Aggregate budgets of between 2–3 years are scored the same as 1-year forward budgets.
The IATI reference for this indicator is: Annual forward planning budgets for recipient countries (recipient-country-budget).
Both country budgets and thematic budgets are accepted for organisations that prioritise their work by countries. Projected figures disaggregated along thematic and sectoral priorities, at a near similar level of detail to total organisation budgets are accepted. IFIs and DFIs sometimes publish “road maps”, which contain this information.
For information collected via the manual survey, the start and end date for forward budgets are calculated based on each organisation’s fiscal year. Organisations at the end of their fixed budget cycles who do not have a published budget for the next three years do not receive points for this indicator.
Forward Spending Survey data reported to the OECD DAC is taken into account only if it is available for the specific organisation under assessment. |
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Disaggregated budget |
Given this test involves both organisation and activity files
Then skip it |
| 11 |
Finance and budgets |
Project budget |
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The budget of the activity is the breakdown of the total financial commitment to the activity into forwardlooking annual and quarterly chunks.
The IATI reference for this indicator is: Budget or Planned Disbursement.
For organisations where this may be deemed as commercially sensitive information, total estimated cost of fund/grant/loan amount is accepted or sections within a document can be redacted. The specific reasons for the redactions need to be explicitly stated in detail and must clarify why the information is commercially sensitive and would cause material and direct harm if published.
This indicator is more rigorously measured for IATI publishers (information published to IATI is scored higher than information published in other formats). Providing an annual forward budget allows an IATI publisher to score up to half the total available data quality points, while providing a quarterly forward-looking budget enables them to score the remaining half. This change has been made in recognition of recipient countries needing to be able to map activities to their own financial year rather than the calendar year.
Note: The difference between indicators 11 and 12 is that indicator 12 requires the overall activity budget to be broken down by individual line items for the activity. To score on indicator 11, the funds allocated to the activity must be broken down by year and quarter for at least the next year ahead. Spending by individual line items is not required. For the manual survey, if the required information for both indicators 11 and 12 is available in a single document, it can be considered for both indicators. |
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Budget available forward annually |
Given an IATI activity
Given `activity-status/@code` is one of 2 or 3
Given `default-aid-type/@code` is not G01
Given `activity-date[@type="3" or @type="4" or @type="end-planned" or @type="end-actual"]/@iso-date` is at least 6 months ahead
Then `budget | planned-disbursement` should be available forward annually |
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Budget available forward quarterly |
Given an IATI activity
Given `activity-status/@code` is one of 2 or 3
Given `default-aid-type/@code` is not G01
Given `activity-date[@type="3" or @type="4" or @type="end-planned" or @type="end-actual"]/@iso-date` is at least 6 months ahead
Then `budget | planned-disbursement` should be available forward quarterly |
| 12 |
Finance and budgets |
Project budget document |
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This is a specific budget detailing what the intended spending is for the different lines of the individual activity. It is often a document published on the organisation’s website.
Budget documents cannot simply be at the country level. If an activity budget is included in a larger country-level document, it is only accepted if the budget for the activity is broken down line by line.
The IATI reference for this indicator is: Budget (document code = A05).
For organisations where budget documents might be considered commercially sensitive, documents with redactions of the commercially sensitive pieces of information are accepted. These must include the specific reasons for the redactions and must clarify why the information is commercially sensitive and would cause material and direct harm if published. |
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Budget document is present |
Given an IATI activity
Given `activity-status/@code` is one of 2, 3 or 4
Given `default-aid-type/@code` is not any of A01, A02 or G01
Given `transaction/aid-type/@code` is not any of A01 or A02
Then `document-link/category[@code="A05"]` should be present |
| 13 |
Finance and budgets |
Commitments |
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This refers to the financial commitment for the activity as a whole for the lifetime of the activity. This is generally a high level commitment rather than a detailed breakdown of the activity budget.
The IATI reference for this indicator is: Transaction (transaction type = commitment). |
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Commitment is present |
Given an IATI activity
Given `activity-status/@code` is one of 2, 3 or 4
Then `transaction[transaction-type/@code="2"]` should be present and of non-zero value |
| 14 |
Finance and budgets |
Disbursements and expenditures |
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Individual actual financial disbursements must be related to individual activities and must be on a per-transaction basis. Each activity is likely to have several transactions.
The IATI reference for this indicator is: Transaction (transaction type = disbursement and expenditure).
While such information might be considered to be commercially sensitive by some organisations, Publish What You Fund’s view is that actual expenditure information is less sensitive once the money has been spent. Hence all organisations are scored on this indicator. For IFIs and DFIs, the total fund/loan amount spent is accepted and details of the loan repayment costs and related charges can be redacted. The specific reasons for the redactions need to be explicitly stated in detail and must clarify why the information is commercially sensitive and would cause material and direct harm if published. |
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Disbursements or expenditures are present |
Given an IATI activity
Given `activity-status/@code` is one of 2, 3 or 4
Then `transaction[transaction-type/@code="3" or transaction-type/@code="4"]` should be present |
| 15 |
Finance and budgets |
Budget Alignment |
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The budget classification is a way of linking the activity to the recipient country government’s own budget codes. There are two parts to this indicator.
The first part captures the percentage of the total commitment allocated to or planned for capital expenditure. When publishing in IATI, a number between 0 and 100 should be used, with no percentage sign.
The definition of capital expenditure follows the IMF GFS definition approved by WP Stat in February 2016.
Capital spending is generally defined as physical assets with a useful life of more than one year. But it also includes capital improvements or the rehabilitation of physical assets that enhance or extend the useful life of the asset (as distinct from repair or maintenance, which assures that the asset is functional for its planned life). Capital includes all aspects of design and construction that are required to make the asset operational.
The IATI reference for this indicator is: capital spend.
The second part checks that the activity is not using broad “multisector aid” or “sector not specified” sector codes. It checks that the activity is using one of the detailed “voluntary” CRS purpose codes and not aggregated “parent” codes.
Further detail about this indicator and details of the relevant codes can be found in the IATI guidance on country budget alignment.
Differentiating between expenditure on consumption or investment in capital is of critical importance for recipient country governments in macroeconomic management and in short- and long-term growth strategy. Capital spend can be reported as 0 for those projects that do not include any capital expenditure.
This test encourages use of codes that can be used to map against recipient country budgets. If organisations want to make their aid data useful to partner countries in their budget processes, they should not use very broad codes that make it hard to understand the nature of a particular project and therefore where it should be placed in the budget.
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Publish detailed CRS purpose codes in the sector field |
Given an IATI activity
Given `activity-status/@code` is one of 2, 3 or 4
Given `default-aid-type/@code` is not any of A01, A02 or G01
Given `transaction/aid-type/@code` is not any of A01 or A02
Then `sector/@code` should be present, or `sector/@code` should be present for every `transaction`
Then at least one `sector[not(@vocabulary) or @vocabulary="1"]/@code`, or at least one `sector[not(@vocabulary) or @vocabulary="1"]/@code` for every `transaction`, should be on the Sector codelist
Then `sector[not(@vocabulary) or @vocabulary="1"]/@code | transaction/sector[not(@vocabulary) or @vocabulary="1"]/@code` is not any of 43010, 43050, 43081, 43082, 52010, 99810, 15110, 15111, 15112, 15114, 15130, 16010, 16061, 21010, 21020, 22010, 23110, 43030 or 43040 |
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Capital spend is present |
Given an IATI activity
Given `activity-status/@code` is one of 2, 3 or 4
Given `default-aid-type/@code` is not any of A01, A02 or G01
Given `transaction/aid-type/@code` is not any of A01 or A02
Then `capital-spend` should be present |
| 16 |
Project attributes |
Title |
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The title of the activity is its name. This is preferably the formal name of the activity, but does not have to be.
The title needs to be complete with any abbreviations or acronyms explained.
Titles need to contain at least 10 characters. |
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Title has at least 10 characters |
Given an IATI activity
Then `title/narrative/text()` should have at least 10 characters |
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Title is present |
Given an IATI activity
Then `title/narrative/text()` should be present |
| 17 |
Project attributes |
Description |
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The description of the activity is a meaningful descriptive text, longer than the title, explaining what the activity is.
The description of the activity needs to contain a minimum of 80 characters in order to be considered a description rather than just a title.
For child activities that sit underneath a main activity (parent-child), the description might be the most relevant place to explain the relationship between the parent and child activities. For example, explaining how and why the activity has been broken up in a certain way.
To pass our data quality sampling, at a minimum a description should include a description of what the project intends to do and how it intends to do it (the mode of intervention). If possible, it is also helpful to include information about who the project intends to benefit and where the project will be implemented. |
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Description has at least 80 characters |
Given an IATI activity
Then `description/narrative/text()` should have at least 80 characters |
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Description is present |
Given an IATI activity
Then `description/narrative/text()` should be present |
| 18 |
Project attributes |
Planned dates |
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The planned dates are the dates that the activity is scheduled to start and end on. If there is one set of dates but they are not explicitly planned or actual dates, given that these are for activities which are current (i.e. being implemented at the time of data collection) it is assumed that they are planned dates.
The IATI reference for this indicator is: Activity date (activity date type = startplanned and end-planned).
Both month and year are required to score on this indicator in recognition of recipient countries needing to be able to map activities to their own financial year rather than the calendar year.
If the activity has started or has finished, the original planned start and end dates must be retained in addition to the actual dates in order to score on this indicator.
This indicator will exclude equity, hybrid and interest finance types from tests for planned end dates. Investments by development finance institutions include equity and hybrid financing which often have unspecified end dates. |
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Planned end date is present |
Given an IATI activity
Given `default-finance-type/@code | transaction/finance-type/@code` is not any of 501, 433, 432, 1100 or 210
Then `activity-date[@type="3"]` should be present |
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Planned start date is present |
Given an IATI activity
Then `activity-date[@type="1"]` should be present |
| 19 |
Project attributes |
Actual dates |
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These are the dates that the activity actually started (and ended on, if the activity has finished). If there is only one set of dates but they are not explicitly stated as planned or actual dates, then it is assumed they are planned dates.
Actual dates are accepted where specific events occurred, e.g. the date the project/programme agreement is signed, a board presentation or an appraisal date.
The IATI reference for this indicator is: Activity date (activity date type = startactual and end-actual).
Both month and year are required to score on this indicator in recognition of recipient countries needing to be able to map activities to their own financial year rather than the calendar year. |
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Actual start date is present |
Given an IATI activity
Given `activity-status/@code` is one of 2, 3 or 4
Then `activity-date[@type="2"]` should be present |
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Actual end date is present |
Given an IATI activity
Given `activity-status/@code` is one of 3 or 4
Then `activity-date[@type="4"]` should be present |
| 20 |
Project attributes |
Current status |
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This shows whether the activity is currently under design, being implemented, has finished or has been cancelled.
The IATI reference for this indicator is: Activity status. |
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Current status is valid |
Given an IATI activity
Then every `activity-status/@code` should be on the ActivityStatus codelist |
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Current status is present |
Given an IATI activity
Then `activity-status` should be present |
| 21 |
Project attributes |
Contact details |
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This shows who can be contacted in relation to this activity. This does not have to be the contact information for an individual or project manager and could refer to a central contact or information desk. Contacts for either the funding organisation or the implementing organisation were accepted.
This has to be stated alongside the activity or on an obvious “contact us” link alongside the activity. |
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Contact info is present |
Given an IATI activity
Then `contact-info` should be present |
| 22 |
Project attributes |
Sectors |
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The sectors of the activity explain whether this is, for example, a health or education project. It does not count if it is just mentioned incidentally within the title, description, etc. It needs to be stated separately and explicitly.
If projects are presented by sector on an organisation’s website, it must be clearly stated whether the organisation works only in those sectors that are listed. |
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Sector uses DAC CRS 5 digit purpose codes |
Given an IATI activity
Then every `sector[not(@vocabulary) or @vocabulary="1"]/@code | transaction/sector[@vocabulary="1" or not(@vocabulary)]/@code` should be on the Sector codelist |
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Sector is present |
Given an IATI activity
Then `sector | transaction/sector` should be present |
| 23.1 |
Project attributes |
Location |
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For activities with a sub-national geographic scope, location information about where the activity is located within a country should be provided. This may be a province or city, or it could be geo-coded (whereby the precise longitude and latitude is published). It needs to be stated separately and explicitly.
The IATI reference for this indicator is: Location.
Where no activity scope code is used for an activity or where the scope element is not being used to identify the scope of the geographic location of an activity we assume that the activity is relevant for the location test.
The test accepts longitude and latitude points although some publishers may want to describe their location with another type of descriptive vocabulary. There are two other descriptor elements which can support this: Location-ID and Location-administration . Both of those allow publishers to include vocabularies from the Geographic Vocabulary codelist which includes the use of geonames.
The location should identify where the activity is taking place. For example, if a development project is being implemented in a particular community or subnational district. For private sector investments the location of the investee company should be identified. Projects distributing humanitarian aid should identify where the recipient communities are located.
Activities that are national or supranational in scope – for example support for a national policy or national health system working across a country, or finance for a bank or fund that invests in activities throughout a national geography, no subnational location is required. These activities can be identified and excluded from the test by using the Activity Scope element to differentiate between activities with or without a subnational location. |
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Location |
Given an IATI activity
Given `activity-status/@code` is one of 2, 3 or 4
Given `recipient-region/@code` is not 998
Given `default-aid-type/@code` is not any of B01, B02, F01, H01, H02, H03, H04, H05 or G01
Given `transaction/aid-type/@code` is not any of B01, B02, F01, H01, H02, H03, H04, H05 or G01
Then `location` should be present |
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Location point or administrative or location-id |
Given an IATI activity
Given `activity-status/@code` is one of 2, 3 or 4
Given `recipient-region/@code` is not 998
Given `default-aid-type/@code` is not any of B01, B02, F01, H01, H02, H03, H04, H05 or G01
Given `transaction/aid-type/@code` is not any of B01, B02, F01, H01, H02, H03, H04, H05 or G01
Then `location/point` should be present, or at least one `location/administrative/@vocabulary | location/location-id/@vocabulary` should be on the GeographicVocabulary codelist |
| 23.2 |
Project attributes |
Location (with activity-scope exclusion) |
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For activities with a sub-national geographic scope, location information about where the activity is located within a country should be provided. This may be a province or city, or it could be geo-coded (whereby the precise longitude and latitude is published). It needs to be stated separately and explicitly.
The IATI reference for this indicator is: Location.
Where no activity scope code is used for an activity or where the scope element is not being used to identify the scope of the geographic location of an activity we assume that the activity is relevant for the location test.
The test accepts longitude and latitude points although some publishers may want to describe their location with another type of descriptive vocabulary. There are two other descriptor elements which can support this: Location-ID and Location-administration . Both of those allow publishers to include vocabularies from the Geographic Vocabulary codelist which includes the use of geonames.
The location should identify where the activity is taking place. For example, if a development project is being implemented in a particular community or subnational district. For private sector investments the location of the investee company should be identified. Projects distributing humanitarian aid should identify where the recipient communities are located.
Activities that are national or supranational in scope – for example support for a national policy or national health system working across a country, or finance for a bank or fund that invests in activities throughout a national geography, no subnational location is required. These activities can be identified and excluded from the test by using the Activity Scope element to differentiate between activities with or without a subnational location. |
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Location point or administrative or location-id (with activity-scope exclusion) |
Given an IATI activity
Given `activity-scope/@code` is not any of 1, 2, 3 or 4
Given `activity-status/@code` is one of 2, 3 or 4
Given `recipient-region/@code` is not 998
Given `default-aid-type/@code` is not any of B01, B02, F01, H01, H02, H03, H04, H05 or G01
Given `transaction/aid-type/@code` is not any of B01, B02, F01, H01, H02, H03, H04, H05 or G01
Then `location/point` should be present, or at least one `location/administrative/@vocabulary | location/location-id/@vocabulary` should be on the GeographicVocabulary codelist |
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Location (with activity-scope exclusion) |
Given an IATI activity
Given `activity-scope/@code` is not any of 1, 2, 3 or 4
Given `activity-status/@code` is one of 2, 3 or 4
Given `recipient-region/@code` is not 998
Given `default-aid-type/@code` is not any of B01, B02, F01, H01, H02, H03, H04, H05 or G01
Given `transaction/aid-type/@code` is not any of B01, B02, F01, H01, H02, H03, H04, H05 or G01
Then `location` should be present |
| 24 |
Project attributes |
Conditions |
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The terms and conditions of the activity may also be referred to as benchmarks, priors, deliverables or involve words such as “subject to...”. They are specific to an individual activity and explain what the recipient must do in order to be eligible for the funds to be released.
Any policy conditionality related to the activity should be published here. In cases where there are both terms and conditions and policy conditionalities for an activity, all of these should be declared.
The IATI references for this indicator are: Conditions and/or Conditions document (document code = A04).
For IFIs and DFIs, this includes loan repayment conditions or special terms and conditions. In cases where the loan repayment terms are considered commercially sensitive, this information can be redacted. The reason for the redactions needs to be explicitly stated in detail and must clarify why the information is commercially sensitive and would cause material and direct harm if published.
For private foundations and humanitarian agencies, statements setting out what the grant can be spent on are accepted.
Templates for general terms and conditions are not accepted for scoring this indicator. If there are no policy, performance or fiduciary conditions associated with an activity, this must be explicitly stated. An official document stating this will be accepted in lieu of a conditions document. |
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Conditions document |
Given an IATI activity
Given `activity-status/@code` is one of 2, 3 or 4
Given `default-aid-type/@code` is one of A01, A02, C01 or F01
Then `document-link/category[@code="A04"]` should be present |
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Conditions data |
Given an IATI activity
Given `activity-status/@code` is one of 2, 3 or 4
Given `default-aid-type/@code` is one of A01, A02, C01 or F01
Then `conditions` should be present |
| 25 |
Project attributes |
Unique ID |
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The activity identifier is a unique reference ID for the activity, e.g. a project number. It allows an activity to be referred to and searched for by a code, which can be used to retrieve the project from a database or filing system.
The IATI reference for this indicator is: iati-identifier.
The project ID must be stated clearly on the page. It is not sufficient if it is only stated in the URL. It must be numeric or alpha-numeric. |
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IATI Identifier starts with reporting org ref |
Given an IATI activity
Then `iati-identifier/text()` should start with either `reporting-org/@ref` or `other-identifier[@type="B1"]/@ref` |
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IATI Identifier is present |
Given an IATI activity
Then `iati-identifier` should be present |
| 26 |
Joining-up development data |
Flow type |
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The flow type shows whether the organisation states that this activity counts as ODA, OOF, climate finance or any other type of flow. This has to be explicitly stated per activity OR once in a country strategy paper OR in a single place on the organisation’s website if there is only one flow type for all activities, e.g. “all aid is ODA”, or “we only provide private grants”. |
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Flow type |
Given an IATI activity
Given `activity-status/@code` is one of 2, 3 or 4
Then `default-flow-type | transaction/flow-type` should be present |
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Flow type uses standard codelist |
Given an IATI activity
Given `activity-status/@code` is one of 2, 3 or 4
Then every `default-flow-type/@code | transaction/flow-type/@code` should be on the FlowType codelist |
| 27 |
Joining-up development data |
Aid type |
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The type of aid shows whether the activity is classed as budget support, a project, technical assistance, debt relief, administrative costs, and so on. This needs to be explicitly stated per activity OR once in a country strategy paper OR on a clear place on the organisation’s website if there is only one aid type for the whole organisation, e.g. “all aid is project-type interventions”.
Publishers using other aid type vocabularies (such as: the Grand Bargain Earmarking Category; Earmarking Modality the Tracking Cash or the Voucher Assistance modality) alongside the default aid type code list will not be penalised.
The advisory services business line/type of intervention (investment climate, publicprivate partnership, etc.), can be seen as broadly equivalent.
Statements clarifying business line/intervention type published anywhere on the organisation’s website count towards publishing aid type in the web format. |
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Aid type is valid |
Given an IATI activity
Given `activity-status/@code` is one of 2, 3 or 4
Then every `default-aid-type[not(@vocabulary) or @vocabulary="1"]/@code | transaction/aid-type[not(@vocabulary) or @vocabulary="1"]/@code` should be on the AidType codelist |
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Aid type is present |
Given an IATI activity
Given `activity-status/@code` is one of 2, 3 or 4
Then `default-aid-type | transaction/aid-type` should be present |
| 28 |
Joining-up development data |
Finance type |
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The type of finance shows whether the activity is a grant, loan, export credit or debt relief. This needs to be explicitly stated per activity OR once in a country strategy paper OR clearly on the organisation’s website if there is only one finance type for the whole organisation, e.g. “all aid is grants”.
Investment type (loan, equity, etc.) can be interpreted as equivalent.
Statements clarifying investment type published anywhere on the website count towards publishing finance type in the web format. |
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Finance type uses standard codelist |
Given an IATI activity
Given `activity-status/@code` is one of 2, 3 or 4
Then every `default-finance-type/@code | transaction/finance-type/@code` should be on the FinanceType codelist |
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Default finance type |
Given an IATI activity
Given `activity-status/@code` is one of 2, 3 or 4
Then `default-finance-type | transaction/finance-type` should be present |
| 29 |
Joining-up development data |
Tied aid status |
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The tied aid status shows whether the organisation states that this activity counts as “tied” (procurement is restricted to the donor organisation country) or “untied” (open procurement).
Specifying location requirements in activity documents such as procurement policies or tenders is accepted as publishing tied aid status.
The IATI reference for this indicator is: Default tied status.
For organisations’ lending directly to national investment agencies, an explicit statement demonstrating their aid is not tied is required. For IFIs and DFIs, investment codes clarifying their position are accepted. For private foundations, grant-making policies are accepted. If these are not available, the organisation’s procurement policy must clearly state if there are any eligibility requirements for contracts based on country of origin. |
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Tied aid status uses standard codelist |
Given an IATI activity
Given `activity-status/@code` is one of 2, 3 or 4
Then every `default-tied-status/@code | transaction/tied-status/@code` should be on the TiedStatus codelist |
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Tied aid status |
Given an IATI activity
Given `activity-status/@code` is one of 2, 3 or 4
Then `default-tied-status | transaction/tied-status` should be present |
| 30.1 |
Joining-up development data |
Networked Data - Implementors |
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The Networked data indicator assesses how organisations provide information about other organisations participating in their activities. There are three parts to this indicator.
The first tests whether the activity’s implementing organisation name is published. The implementer of the activity is the organisation that is principally responsible for delivering it.
The IATI reference for this indicator is: Implementing organisation: participating-org role = “4” (implementing). |
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Implementing organisation |
Given an IATI activity
Given `activity-status/@code` is one of 2, 3 or 4
Then `participating-org[@role="Implementing" or @role="4"]/@ref | participating-org[@role="Implementing" or @role="4"]/narrative/text()` should have at least 1 characters |
| 30.2 |
Joining-up development data |
Networked Data - Participating Orgs |
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The second part of the test assesses whether references are used for organisations across the participating organisation roles (Funding, Accountable, Extending and Implementing).
References must use a prefix from the list of valid prefixes for IATI organisation references or be on the list of IATI publishers to be accepted. The test will exclude references to the publisher themselves. OECD DAC CRS Channel Codes will need to use the XM-DAC prefix in order for the codes to be accepted as organisation references.
Generic or nonspecific organisation references (such as “Developing country-based NGO” or “Multilateral Organisations”) will not be accepted since these do not allow networking of organisations.
References must use a prefix from the list of valid prefixes for IATI organisation references or be on the list of IATI publishers to be accepted. The test will exclude references to the publisher themselves. OECD DAC CRS Channel Codes will need to use the XM-DAC- prefix in order for the codes to be accepted as organisation references. Generic or non-specific organisation references (such as “Developing country-based NGO” or “Multilateral Organisations”) will not be accepted since these do not allow networking of organisations.
Each activity will receive a percentage score based on the number of participating organisations that have references and those that don’t. This will be calculated as follows: Number of participating organisations using refs / Total number of participating organisations (excluding self-references) These scores will then be aggregated across an organisation’s activities to calculate the final score for this test.
Implementer information may not be available in certain cases due to “legitimate exclusions”.
For example, humanitarian agencies may not be able to reveal who the implementing agencies are in certain contexts due to security reasons. Such exclusions are accepted but need to be explicitly stated (in order to distinguish these from cases of simple omission).
Organisations should use existing references where these have been created and used previously. If no reference currently exists, a reference can be created using the recommended approach (often combing a prefix and official registration number). Guidance is available on the IATI website. To pass the Index test references must use a prefix from the list of valid prefixes for IATI organisation references or be on the list of IATI publishers.
Organisations working exclusively with private sector investments will be excluded from the organisation references test since there is currently no accepted way to refer to these participating organisations. |
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Participating Orgs |
Given this test involves both organisation and activity files
Then skip it |
| 30.3 |
Joining-up development data |
Networked Data - Transactions with valid receiver |
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Part three of the networked data test will see if a receiver organisation (name or reference) is reported in each activity transaction. The receiver organisation is the organisation receiving the funds from the transaction. Part three uses the same criteria for references as part two.
For the receiver organisations test each activity will receive a percentage score based on the proportion of transactions that include a receiver name or reference.
This will be calculated as follows:
Number of transactions that include either a receiver organisation name or a receiver organisation reference / Total number of transactions (excluding self-references)
These scores will then be aggregated across an organisation’s activities to calculate the final score for this test.
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Transactions with valid receiver |
Given this test involves both organisation and activity files
Then skip it |
| 31.1 |
Joining-up development data |
Project procurement - Contracts |
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The individual contract(s) signed with a company, organisation or individual that provides goods and services for the activity. This could be on a procurement section of the organisation’s website, on a separate website or on a central government procurement website.
Contract documents cannot simply be at the country level. If an activity contract is included in a larger country-level document, it is only accepted if the contract mentions the activity specifically and in detail.
Basic information about the activity contract is accepted if it contains three of the following five information items: awardee, amount, overview of services being provided, start/end dates, unique reference to original tender documents.
The IATI reference for this indicator is: Contract (document code = A11 or A06).
This indicator is retained for all organisations. In cases where organisations consider such information to be commercially sensitive, sections within the contract can be redacted but the reason for the redactions needs to be explicitly stated.
Due to the difficulty in checking contracts manually, rather than looking for the specific activity and the contract linked to it, a review of the organisation’s overall contracts is completed in line with the organisation’s procurement policy.
For vertical funds, equivalent documents are accepted, such as approved country proposals or agreements between the recipient and the funder. |
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Contract is present |
Given an IATI activity
Given `activity-status/@code` is one of 2, 3 or 4
Given `default-aid-type/@code` is not any of A01, A02, B02 or G01
Given `transaction/aid-type/@code` is not any of A01, A02 or B02
Then `document-link/category[@code="A06"] | document-link/category[@code="A11"]` should be present |
| 31.2 |
Joining-up development data |
Project procurement - Tenders |
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Tenders are the individual contracts or proposals that have been put out to invite bids from companies or organisations that want to provide goods and services for an activity. They may be on a separate website, possibly on a central government procurement website.
The IATI reference for this indicator is: Tender (document code = A10).
Investment codes or policies for IFIs and DFIs are accepted. For private foundations, calls for grant submissions are accepted. For humanitarian agencies, documents that provide guidance on securing funding are accepted.
Due to the difficulty with manually finding tenders linked to current activities, rather than looking for the specific tender, a review of the organisation’s overall calls for tenders is completed to check it is publishing them consistently and in-line with their procurement policy.
For organisations that do not issue tenders related to aid projects (e.g. if procurement is undertaken by grantees or other implementing agencies), a statement explicitly clarifying this is required. |
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Tender is present |
Given an IATI activity
Given `activity-status/@code` is one of 2, 3 or 4
Given `default-aid-type/@code` is not any of A01, A02, B02 or G01
Given `transaction/aid-type/@code` is not any of A01, A02 or B02
Then `document-link/category[@code="A10"]` should be present |
| 32 |
Performance |
Objectives |
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The objectives or purposes of the activity are those that the activity intends to achieve.
The IATI reference for this indicator is: Objectives / Purpose of activity (document code = A02) or Description (description type = 2).
The objectives need to include the detailed description of the activity, the target sector/group and expected outcomes. |
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Objectives of activity document |
Given an IATI activity
Given `activity-status/@code` is one of 2, 3 or 4
Given `default-aid-type/@code` is not G01
Then `document-link/category[@code="A02"] | description[@type="2"]` should be present |
| 33 |
Performance |
Pre-project impact appraisals |
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Pre-project impact appraisals explain the totality of positive and negative, primary and secondary effects expected to be produced by a development intervention.
Environmental, social or human rights impact assessments are accepted.
The IATI reference for this indicator is: Pre and post-project impact appraisal (document code = A01).
IFIs and DFIs tend only to publish impact appraisals if regulations require them to, but given the link they have to the eventual impact and results of the activity, all organisations are scored on this indicator.
For loans or private sector investment, risk assessments and the fiscal objectives detailed in the loan document are accepted. These need to be sufficiently detailed and include any criteria used to assess eligibility for receiving the loan. For DFI projects categorised as high-risk (environmental or social risk category A or equivalent) the full impact appraisal document(s) should be published. A summary of the appraisal will not be sufficient.
Humanitarian Implementation Plans (HIPs) and project plans are accepted for humanitarian agencies.
If an official internal procedure has concluded that a pre-project impact appraisal is not necessary for a particular project or programme, official documentation confirming this will be accepted in lieu of an appraisal document. |
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Pre- and/or post-project impact appraisal documents |
Given an IATI activity
Given `activity-status/@code` is one of 2, 3 or 4
Given `default-aid-type/@code` is not any of A01, A02, B01, B02, B03, B04, D01, D02, E01, E02, F01, H01, H02, H03, H04, H05 or G01
Given `transaction/aid-type/@code` is not any of A01, A02, B01, B02, B03, B04, D01, D02, E01, E02, F01, H01, H02, H03, H04, H05 or G01
Then `document-link/category[@code="A01"]` should be present |
| 34 |
Performance |
Reviews and evaluations |
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Evaluation documents consider what the activity achieved or what the impact of funding provided were. This can include whether the intended objectives were met, what the major factors influencing the achievement or nonachievement of the objectives were and an assessment of the impact, effect and value of the activity. This information may be on a specific evaluation section of the organisation’s website.
If the activity under assessment is not completed but evaluation or review documents are available for other completed activities, these will be accepted.
The IATI reference for this indicator is: Review of project performance and evaluation (document code = A07).
Not all organisations carry out formal evaluations for all of their activities.
Organisations can score on this indicator as long as they publish review documents that meet the definition of the indicator. |
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Project performance and evaluation document |
Given an IATI activity
Given `default-aid-type/@code` is not G01
Given either `document-link/category[@code="A07"]` is present, or `activity-status/@code` is one of 3 or 4
Then `document-link/category[@code="A07"]` should be present |
| 35 |
Performance |
Results |
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The results show whether activities achieved their intended outputs in accordance with the stated goals or plans. This information often refers to log frames and results chains and may be within a specific results or evaluation section of the organisation’s website.
The IATI references for this indicator are: Result and/or Results, outcomes and outputs (Document code = A08).
Both current and completed activities are considered for this indicator. If the activity has started recently (within the last 18 months), then no actual results are expected. If the activity is ongoing then up to date results should be available. If the activity has ended then the actual results should be available within 12-months of ending. |
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Results document |
Given an IATI activity
Given `activity-status/@code` is one of 2, 3 or 4
Given `default-aid-type/@code` is not any of F01 or G01
Then `document-link/category[@code="A08"]` should be present |
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Results data |
Given an IATI activity
Given `activity-status/@code` is one of 2, 3 or 4
Given `default-aid-type/@code` is not any of F01 or G01
Then `result` should be present |