Data Analysis & Report Writing for Rule of Law Assessment: Principles & Variables, Exams of Law

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Inception CDA andrisk assessment^ Data analysis,

triangulation andreport-writing

Presentation anddisseminationof results Agency staff survey

Formal mapping Target group survey Follow-up actions

Step 5

Data analysis, triangulation and report-writing

Data analysis, triangulation and report-writing

5

Table 3

Example of how to double-stack background variables with survey questions

Target group survey Answering category: to a small extent

Q1. [name of agency] follows the law

Q1. Civil servants at [name of agency] have access to laws, regulations and instructions to guide their work

Q1. Civil servants at [name of agency] are sufficiently trained on the laws and procedures that guide their work

Q 1. Civil servants at [name of agency] would decide in a case in which he/ she or a friend or relative is directly concerned

Q 1. [name of agency] treats everybody the same way

Age groups <25 years 25–44 years

44 years Sex Men Women Sex and age groups Men 0<25 years Men 25–44 years Men 44 years Women <25 years Women 25–44 years Women 44 years

When using cross-tabulation, it is important to distinguish between dependent and

independent variables. In Table 4, for example, 45.3 percent of the respondents who

answered that they have access to laws and regulations ‘to a small extent’ also

answered ‘not at all’ about their ability to respond to queries and requests within a

reasonable time.

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HOW TO DO IT

Table 4

Example of cross-tabulation

1.2 Access 2.2 Respond in a reasonable time

Not at all To a small extent

To a large extent

To a very large extent

Don’t know

Not at all 45. To a small extent To a large extent To a very large extent Percentage 100.0 100.0 100.0 100.0 100.

The use of a diagram is possible, depending on the target group survey and grading in

the questionnaires, as shown in Figure 1.

Figure 1

Example of a diagram depicting agency and target group survey results

Legality

Accountability

User Survey Agency Survey

Transparency

Right to appeal

Accessibility

Right to be heard

Cumulative description and analysis of strengths and challenges

The analysis of challenges relating to the rule of law and the strengths and weaknesses of the selected agency undertaking the self-assessment in relation to its role in the mining

sector should take into account the six different principles individually but also provide a

comprehensive description of challenges and opportunities as a whole in a narrative,

drawing on the formal mapping, agency staff survey and target group survey

cumulatively. This means making an overall assessment in the report of the challenges

to overcome and opportunities available for the selected agency to strengthen its respect for the principles of the rule of law in its interface with society.

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HOW TO DO IT

Recommendations and follow-up actions

The recommendations and follow-up actions should identify problems and

challenges that could require different approaches. This could mean, for example:

(a) legal challenges, such as a lack of understanding of laws, the complexity of

laws, contradictions in the laws, and limited training on or low level of access to

laws; (b) institutional challenges, such as few formal mechanisms for complaints,

weak institutional structures for ensuring accountability and transparency,

overlapping institutional mandates, limited physical access and a tendency to

prioritize compliance over functionality; and (c) capacity-related challenges, such

as a lack of understanding of how to access the services provided by the selected

agency, difficulties in understanding written procedures and difficulties acting within

established time-frames.

To ensure that the ROLPA approach ventures beyond assessment, it is key that these

challenges are addressed through follow-up actions that respond to the results of the

assessment. This includes designing action plans with implementation milestones,

detailed roles, responsibilities and tasks allocated to each agency unit and clearly

defined and realistic objectives based on available resources and institutional

capability. It also includes developing an adaptive monitoring and evaluation

technique that emphasizes a more problem-driven and iterative approach (instead

of first thinking of possible solutions and following quantitative indicators), creates

an enabling environment for leadership and agency staff to engage more actively on

results and encourages ownership of the process.

Further follow-up activities might include efforts aimed at producing updated policies

or legislation, improving implementation of existing policies and laws, building the

capacities of agency staff, increasing accountability mechanisms, and improving

outreach and communication with communities affected by mining activities.

Recommendations and follow-up actions could also include gender-specific initiatives,

such as the development or improved implementation of laws and policies for gender

equality, equal legal rights and access to qualitative services.

It is important that the ROLPA assessment report distinguishes between problems

which the agency can address on its own and problems that require the involvement

of other multi-level stakeholders participating in the self-assessment. Often,

specifically at the local governance level, a selected agency’s service provision is

dictated by laws, regulations and institutional mechanisms at regional and central

levels of the State. Highlighting difficulties related to multi-level governance, including

regional- or national-level control and guidance, can serve advocacy purposes.

Analysis and report-writing do’s and don’ts

• When writing the report, ensure that the model report outline in the ROLPAM Users’ Guide is followed, with recommendations and actions at the policy level clearly outlined.
• The analysis of the survey results should be done using the SPSS program or similar software, which allows for the most comprehensive data processing and analysis.
• The report should show a cumulative flow of measuring the application of principles of the rule of law in the agency being assessed.

Data analysis, triangulation and report-writing

5

• Although the six principles vary in scope, they must be used as guidelines for an overarching rule of law analysis and not in isolation. This is essential when presenting the final report (see Step 6 below) and for formulating the policy recommendations.

Analysis and report-writing outcomes

At the end of Step 5, the following outcomes will have been achieved:

• Data are collated and analysed using SPSS or a similar program.
• Charts, graphs and tables are produced, with descriptive text and analysis explaining their meaning.
• A preliminary report is drafted and submitted to the agency coordinator for review and comments
• Recommendations and follow-up actions are drafted and included in the report.
• A brief progress report on the reporting and analysis step is written by the independent expert and submitted to the advisory committee.