STATE SERVICES COM \tlSS ION Te Kaminma 0 ?15: Tri haun?anga SSC Report: New Zealand?s Open Government Programme Mid? term Self?Assessment Report Publication Date: 4 December 2015 SSC report no: Contact: Tim Blackmore Telephone: 495 6713 Principal Advisor Proposal: 1. This briefing: . I 1.1 provides a final mid?term self?assessment report on NewaZ?alan'd?s Noted I 2014/16 Open Government Partnership (OGP) Nationali'A'ctlon Plan, for your review, in Attachment 1 - . 1.2 seeks your agreement to publish the final,?version of the-self- . Yes/No assessment report with changes incorporated?an the SSCf'and. OGP international websites, with an intended, release time-folc 21 December2015. - . 7 2. As part of its OGP membership, New Zealandis requiredto publish a final mid-term self- assessment report (the Report) outlian New Zelala'nd?s against its 2014-16 OGP National Action Plan. to._ outline the consultation process undertaken to develop the Natisnal Action towards achieving our specified commitments up to September 201.5.f - 3. A draft of the Report wasreleased for publiccornment in late October 2015. This final consultation a?small number of submissions received. A final version of ,the?_ Report has been- prepared for publication, following this consuha?on.. 4. It is important that-we publish either before the end of December 2015, (or, at the very latestby Mid-January 2015) to ensure that New Zealand is not referred to the OGP international body?striteria'and Standards subcommittee for inquiry and possible questioninglsonceming NewZealand?s ongoing eligibility for membership of the OGP. I a o?f mid-term self-assessment Report findings -f Rep?brt o,utlines a number of core achievements against our national commitments. The/hey: message of the Report is that substantial progress has occurred across all Action Plan odmmitments, which are: {itheIBetter Public Service (BPS) Results Programme ,?r?the Government ICT Strategy and Action Plan to 2017 responding to the Transparency International National Integrity System Report d. reviewing the Kia Tutahu Relationship Accord. The Report also highlights the progress towards the OGP grand challenges and principles that is demonstrated through actions included in the Action Plan. The OGP grand challenges relevant to New Zealand?s National Action Plan are: improving public services; increasing public integrity, and more efficiently managing public resources. The principles are transparency; accountability; participation, and technology and innovation. Consultation 7. As set out in the Report outlines the breadth of consultation undertaken when developing New Zealand?s first OGP National Action Plan and corresponding draft mid?term self-assessment report. 8. The Report acknowledges tight timeframes for consultation, and that as a result consultation was constrained. SSC worked to meet OGP consultation _ob igations, and sought clarity where there was uncertainty and responded accordingly by providing a further consultation period for the draft mid?term self-assessment report and extending online consultation channels. Summary of submissions on the draft mid-term self-assessment Report 9. A final public consultation process on the mid?term self-assessment draft occurred in October 2015. A summary of submissions and analysis is provided in Attachment 2 to this briefing. Revision to New Zealand?s draft mid-term self-assessment Report 10. Following submission analysis we have incorporated some changes to the final mid? term self-assessment Report. Relevant adjustments include: a. insertion of further information in the next steps section of the Report to include additional text on the intended New Zealand process and approach to the next OGP National Action Plan development and consultation processes b. insertion of further comment on the digital consultation outcomes, to update on the further submissions received,including a large targeted group of submissions on the Trans Pacific Partnership Agreement . c. inclusion of suggested changes from the Office of the Auditor-General . r. d. other minor amendments and reference changes as updates since the release of the draft mid?term assessment. ?11. These changes are incorporated in the version of the report attached to this briefing. Engagement with other agencies 12. 880 has developed the mid-term self-assessment in consultation with agency leads for each of the Action Plan commitments. 13. The minor changes from the draft mid-term self?assessment to the final publication version have now been discussed with each agency. Withheld under Section of the Of?cial Information Act 1982 (as below) in the lead up to New Zealandis agreement ofthe TPPA, the government?s online communication channel for open government, experienced a considerable spike in submission traffic on the government's OGP digital consultation channel. Over a period of some five working days a large group of respondents provided input en masse through the OGP site. The majority of this commentary consisted of one or two lines of personal views indicating that that New Zealand's approach to the TPPA negotiations was inconsistent with New Zealand?s reported position on open government. 15. As part of the formal OGP process an independent researcher, Steven Price, Victoria University Law School, has been commissioned by the OGP international body to conduct an independent third party review of New Zealand?s National Action Plan development and mid?term self-assessment, and to report back. Withheld under Section of the Of?cial lnforrnation Act 1982 Withheld under Section of the Of?cial Information Act 1982 Communications approach 18. We propose the release of the mid?term self?assessment through a soft launch of the Report on the 8805 website, and contemporaneous publication on the OGP international website= preferably on the week of 21 December 2015. We will develop a short statement to accompany the publication of the Report. This statement will: Withheld under Section of the Of?cial lnfonnation Act 1982 19. We will liaise further with your office on any associated media releases or responses that may be needed, following publication. A further brie?ng on the OGP forward work programme 20. 880 and other government agency officials have been reflecting on how we may improve stakeholder engagement and coverage to support the next National Action Plan, and enhance the perception of New Zealand?s ambition and direction through the OGP programme. 21. We will report to you separately with options and recommendations for: a. reconfiguring consultation mechanisms, coverage and management b. refining New Zealand?s future OGP reporting programme given the international reputational aspects of New Zealand?s ongoing membership of the OGP, and our domestic OGP programme management obligations c. ensuring that our future OGP engagement may augment, support and build on New Zealand?s public service reform and state services innovation agenda d. your early contribution and review of themes to be included in the next National Action Plan for OGP. Comments: Agreed I Not agreed Minister?s siggtBE Date: ?x I g/S/ Attachment 2: Summary of submissions on draft mid-term self-assessment report and Submission Analysis Submissions Four respondents provided submissions on the draft report. A summary of these submissions is provided below: - Transparency International this submission: 0 encouraged greater public participation in agenda development and wider outreach for/ff? the next National Action Plan V, asserted that the 2014-16 National Action Plan is largely currently listed programmes were internal government than externally?; 0 suggested further refinement of New Zealand Systems Assessment to further define initiatives and m'iiefstones/ forinclusip?ii'in?he New Zealand OGP National Action Plan 4? a endorsed the inclusion of Kia Tutahi in the Action Ramjbutsuggested expansion of OGP initiatives and relevant m?as?ur??swand mitestoines?to' more fully reference OGP's grand challenges and principles; a ,l . advocated further inclusion of actions NationalActibn Plan Agenda to better ensure the effectiveness of criticised the compressed that further resources be provide to enablefull?r national pub/lic?participation on a revised OGP action agenda. The Office of the Auditor General; this 3submisfsienj_was?sfu?pportive of the report, it: noted opportunities to deepen the'accouhta?bilftj, reporting for BPS results through including some of responsible entities? statements of service performance r? advocated alignment 'Qf?this of an evaluation framework for the New Zealand?s I: suggestedxihc/tuSionJ/o?f a fw?th?erjpa?SSage in the strategy section of the mid?term self-assessment ireport {mentioning the government?s more open approach to publishing future capital injections. 0 The Environment Organisation of New Zealand (ECONZ) this subi?hissj?n; to noted/ECONZts role/in sUpporting open government, open society, and environmental rights, constit'L?JtiOnatreform and the institutions that maintain an open and democratic . ?jxstEety to ?iL-E?encomaged?the?government to include issues of democracy, due process, rights of civil socfety,? privacy from spying and timeliness of release of information, in the OGP Nations/lvyAc/tion Plan 9. gk?suggested more specificity and extension of milestones, targets and actions in the OGP Action Plan .__fadvocated inclusion of New Zealand case studies that identified open government and problems in the self?assessment report. ECONZ in its submiSsion cited alleged ?abuse of state held information as a means to embarrass political opponents?; ?the extension of surveillance and the scope and reach of surveillance?; and ?the illegal denial of information on trade, investment and economic agreements? as key examples of failings that should be outlined in the self?assessment, with remedies identified 0 proposed that New Zealand should ratify and give effect to the Aarhus Convention2 formally the Convention on Access to Information, Public Participation in Decision- making and access to Justice in Environmental Matters 2 The Aarhus Convention is a multilateral environmental agreement through which opportunities for citizens to access environmental information are increased and transparent and reliable regulation procedure is encouraged, The convention was developed by European nations in 1998, and many of the principles and obligations are now already re?ected in EU directives. Notably, there are no non-European signatories to the agreement. While many of the obligations of the convention would align with Open 0 included a number of suggestions for improving access to information for New Zealanders, through reform to New Zealand freedom of information legislation, institutions and norms. - Mr Malcom Harbrow a blogger3 and individual interested in open government. This submission advocated a restructuring of the report, questioned the relevance of New Zealand including pre-existing government reform programmes within the action plan, and advocated that greater resources be provided to support engagement with civil society to co?create a second action plan. Mr Harbrow also suggested removal of illustrative case studies, and the addition of more milestone driven reporting. Submission analysis Of the four submissions received, one was supportive and three have provided feedback that criticise: the ambition and appropriateness of what has been included in New Zealand?s OGP National Action Plan 0 New Zealand?s perceived reliance on pre?existing programmes - the extent and breadth of community and civil society engagement in developing the New Zealand National Action Plan. These criticisms are not new, and have already been reflected in the mid-term self- assessment report. We propose to address these concerns through the development of the next National Action Plan. This revision will include more direct consultation and engagement to receive broader input from stakeholders, aligned to future development of a new National Action Plan. Withheld under Section of the Of?cial lnforrnation Act 1982 Vl?thheld under Section of the Official Information Act 1982 - the BPS results, the New Zealand?s government strategy, the Result 10 initiatives and programme, the Open Data and Information Programme, and the Kia TUtahi Relationship Accord (included in New Zealand?s current National Action Plan) have Government principles, it is not clear whether the Convention is available for endorsement by non?European nations. It is also a binding treaty, with obligations that may or may not meet with New Zealand's domestic law or policy settings. Wider policy work would need to be commissioned, to confirm that it is in New Zealand?s interests to sign the convention, and that the convention?s adoption would actually support community engagement and citizen?s voice in environmental regulation, in New Zealand. At this stage we are not proposing to progress this suggestion within the OGP partnership, particularly given the cross-endorsement between the OGP programme and New Zealand's adoption of the UN 2030 Sustainable Development Agenda that has recently occurred. How New Zealand addresses this cross-endorsement and adoption is the broader more relevant question that needs to be addressed. This thinking would need to precede any possible consideration of New Zealand adoption of the Aarhus Convention. 3 See: delivered impactful transformative change with consequent improvements in public services responsiveness to citizens and clients through 2014 and 2015. 0 These commitments stretch government practice in a number of ways: 0 The BPS programme and target reporting has established improved access to information on public services and has developed the means for local collaboration and development of initiatives to address key social and economic outcomes. 0 The BPS Result work, in particular, has established new approaches to responding to citizen and client voice, through citizen and client centric service design and outreach. The refresh of the Government ICT Strategy has focused efforts On delivering a dynamic technology environment, so that government can achieve its vision of I ICT?enabled transformation of public services to New Zealanders, infpartnership I with citizens and clients. The strategy has also supported new'online engagement- guidance and capacity building for New Zealanders. The government?s review of the Kia TUtahi Relationship Accord has provided the opportunity to consider better case examples of good communityrgovernment engagement practices, showing the principlesvxof the Accord in action.? The survey results have also identified key areas for further aetion to better support constructive community engagement. i Withheld under Section of the Of?cial Information Act 1982 Evolution of OGP reporting guidance and-Obligations I When considering respondents? comments it is important. to recognise that New Zealand?s first National Action Plan commitments predate the latest reviSiOns to the OGP Articles, of Governance approved by the-OGP?s Inte?rnational"Steering Committee that occurred in 2015. These revisions and amendments have refinedsbn?? OGP obligations for reporting." For example New Zealand?siCT Strategy was included in our National Action Plan on the basis that the Strategy'supporte'd transformation and innovation of government programmes and services and improvement in theopenne?ss and responsiveness of Government, and in turn would contribute ?to.augmenting'in'tegrity and trust in government over time. The inclusion of the Strategyfwas net progressed with the explicit intent of presenting how the government?s ICT technology and strategy would specifically and exclusively address transparency and accountability This is because the OGP Articles of Governance that were current at the-time were not as explicit on these particular obligations as subsequent OGP Article?s 'ofGovernanceand guidance. New Zealand?s OGP reporting approach needs to 'reflect this evolution in guidance and obligations. We are in discussions with the OGP - international body about how reporting expectations are best addressed given this circumstance. Notwithstanding these matters, the general nature of the public submissions on the draft mid- term self?as?sessment report provide relevant input for the Government when considering future censultation processes. They also provide relevant input forfuture commitment development for the next OGP National Action Plan. V, This process of revision will be supported by the OGP Stakeholder Advisory Group.