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Jalisco, Mexico

End of Commitment Report – Harmonization, unification, transparency, and corruption control in the Rules of Operation (ROP) of social programs aimed at Civil Society Organizations (CSOs).

Overview

Name of Evaluator

Luis González Viramontes Coordinador

Email

luis.vicepresidencia@ciriac.org.mx

Member Name

Jalisco, México

Action Plan Title

Action plan – Jalisco, Mexico, 2023 – 2024

Commitment

Harmonization, unification, transparency, and corruption control in the Rules of Operation (ROP) of social programs aimed at Civil Society Organizations (CSOs)

Action

To achieve harmonization, unification, transparency and corruption control in the ROPs of the public programs of the different agencies that issue calls for proposals to channel resources to CSOs, in order to improve and strengthen programs that benefit the population of Jalisco through CSOs.

Problem

Citizen perception that the ROPs are complex, with requirements that are difficult to comply with and lack transparency, especially in the dates of delivery of resources, in the methodology of project evaluation and in the accountability of the channeling and exercise of resources of the CSOs of Jalisco. In addition, they identify different criteria and parameters in the ROPs of the different agencies that issue calls for proposals for CSOs, which leads to difficulties in the application of these calls, as well as in complex general processes and in the verification of expenses.

Section 1.
Commitment completion

1.1 What was the overall level of progress in the commitment implementation at the time of this assessment?

complete

Provide a brief explanation of your answer:

● Complete

Meeting with members of civil society to review the 74 contributions that resulted from the Executive Branch’s commitment in the 2nd LAP, to generate a prioritization of said contributions and present them to the agencies that operate programs that channel resources to CSOs, in order to integrate them into the 2022 ROPs.

● Replaced in 2022

A. The actions corresponding to the working groups were replaced by:
o The creation of a virtual form directed to CSOs, in order to have greater territorial reach and in turn have a more concrete product.

● Withdrawn

Everything related to the Intersectoral and Interinstitutional Analysis Commission was omitted. In the original 2021 plan, it had been considered that in parallel to the working group phase, the selection of profiles that would make up said Commission would be carried out.

Provide evidence that supports and justifies your answer:

1.2 Describe the main external or internal factors that impacted implementation of this commitment and how they were addressed (or not).

The development of the Executive Branch’s Open Government commitment over these years was framed by various internal and external factors, which had an impact on the evolution and changes that it had from 2021 to 2024.

Year 2021. The design of the Third Local Action Plan (LAP) was impacted by external factors, which ultimately had an effect on the Executive’s commitment:

  •  The Covid-19 pandemic: Although a hybrid format would be chosen, virtual activities would be prioritized, seeking that only the strategic actions of the commitments would be carried out in person.
  • Election year in Mexico: As there were changes in the municipal governments of Jalisco in October, it was decided that municipalities would not participate as “Invited Members”, and only the three powers would implement open government commitments for this action plan.
  • Changes in the Coordination of the Local Technical Secretariat of Open Government Jalisco: The head of the presidency of the Plenary of the Institute of Transparency, Public Information and Protection of Personal Data of the State (ITEI), who also presides over the local Technical Secretariat (STL) of Open Government, was about to conclude her term (2013-2021).

Given these scenarios that pose clear challenges for the timely presentation of a new two-year action plan cycle, the OGP contemplates as an option during political transitions, to develop a limited action plan (Open Government Partnership, 2021: 9): “A second option is to develop a more limited action plan and, subsequently, the new administration can include new commitments (in accordance with the rules for modifying action plans explained in section 4.1). In this way, governments can maintain momentum and avoid acting against the OGP process. However, the commitments may not be very ambitious or may not be met, depending on the priorities

1.3 Was the commitment implemented as originally planned?

few of the commitment milestones were implemented as planned

Provide a brief explanation of your answer:

The Open Government commitment of the Executive Branch has gone through different stages and situations for which adjustments have been made to its name, end date and work plan.
For the above, 3 editions of the Executive Branch commitment template were generated: 2021, 2022 and 2024 editions. With this, the aim is to ensure the traceability of the process and contribute to an exercise of proactive accountability and transparency, as shown below.

  • Meeting with members of civil society to review the 74 contributions that resulted from the Executive Branch’s commitment in the 2nd LAP, to generate a prioritization of said contributions and present them to the agencies that operate programs that channel resources to CSOs, in order to integrate them into the ROP 2022 2021.
  • Identify and contact the agencies that operate programs that channel resources to CSOs in Jalisco, to contextualize the work that is being carried out.

Provide evidence for your answer:

Section 2.
Did it open government?

2.1.1. – Did the government disclose more information; improve the quality of the information (new or existing); improve the value of the information; improve the channels to disclose or request information or improve accessibility to information?

Yes

Degree of result:

Major

Explanation: In narrative form, what has been the impact on people or practice.

The document that resulted from the Open Government commitment of the Executive Branch, entitled “Good practices to improve the design of Operating Rules for public and social programs aimed at Civil Society Organizations,” is a valuable instrument, the result of an extensive process of analysis and dialogue between civil society and the government over these years.

The content is aimed at the work teams of the departments and entities responsible for programs that grant benefits to CSOs, as well as the CSOs themselves that participate in them. In addition, it is useful for anyone interested in learning more about good practices and various processes of public administration programs, different experiences and recommendations from government and civil society that can contribute to their improvement, strengthening and, consequently, to the prevention of risks of corruption or conflicts in them.

The document is organized into three sections, with a combination of theory and practice to promote the improvement and strengthening of the design of the ROPs, as well as to facilitate their operation. However, currently, it is considered pertinent to focus attention on the second section to answer this question.

In this second section, key points identified throughout the Executive Branch’s commitment are presented. From these points, good practices are shared for the drafting of the ROPs of the participating programs, organized into five specific topics:

  1.  Information requested and provided by the program
  2. Delivery of documentation – prioritizing the digital aspect
  3. Selection of beneficiaries and the process of determination
  4. Times within the program
  5. Evaluations

In addition, for each point, examples are included of how the agencies that already implement these good practices have integrated them into their ROPs, with the aim of promoting the harmonization of those elements that other agencies and entities consider viable to incorporate into their own ROPs starting with the 2025 edition. Below is a detail of how each of these points and good practices contribute to supporting the degree of openness of the Government of Jalisco.

Disclose more information 

  • As a mechanism for handling complaints and claims, it is important to include the contact information for the Internal Control Body (IOB) of the institution in charge of operating the Program. Programs that already do this:
    1. Support for CSOs (SSAS)
    2. Associations for Equality (SISEMH)
    3. Promotion of Science and Technological Development (SICYT)
  • The agency that operates the Program establishes a phase that includes a period for the applicant CSOs that were not selected to provide feedback, at the request of the applicant CSOs that were not selected, clearly specifying the reasons why their application was not approved. Program that already does this: Dissemination and Dissemination of Science, Technology and Innovation (COECYTJAL)
  • For the ruling, as established by the applicable regulations, it is important to indicate who makes up the Ruling Council/Committee, detail their powers and how they were chosen. Programs that already do this:
    1. Associations for Equality (SISEMH)
    2. For the Inclusion of People with Disabilities (SGG)
    3. Support for CSOs (SSAS)
  • For the training that will be provided to the beneficiary people or groups as part of the Program, the agency clearly establishes how the training needs that will later form the agenda are identified, and likewise, the schedule of the training sessions is shared. Programs that already do this:
    1. Support for CSOs (SSAS)
    2. Associations for Equality (SISEMH)
    3. For the Inclusion of People with Disabilities (SGG)

Improve the quality of information (new or existing)

1. For the delivery of documentation by CSOs, it is important to clearly word the guidelines on how to present the documents necessary to register their participation. These guidelines must specify the list of documents, the required format and the delivery times for each modality (electronic, physical or both; originals and/or copies, with or without signatures, rubrics, etc.), prioritizing the digitalization of procedures, formats, documents and procedures that the regulatory framework allows. The program that already does this is Associations for Equality (SISEMH).

  1. For the payment request -depending on the support modality to be granted-, it is important that the selected CSOs clearly draft the guidelines for submitting documents: list, deadlines, form and quantities in which the documents must be submitted for each modality (electronic, physical or both; original and/or copy, with or without signatures, rubrics, etc.), as established by the applicable regulations. The program that already does this is Support for CSOs (SSAS).
  2. For verification by CSOs, it is important to clearly draft the guidelines for submitting deliverables: list, delivery times, who receives, the form and quantities in which the documents must be submitted (electronic, physical or both; original and/or copy, with or without signatures, rubrics, etc.), as established by the applicable regulations. The program that already does this is Support for CSOs (SSAS).
  3. For the ruling, as established by the applicable regulations, it is important to clearly draft the methodology and criteria used to select the beneficiary CSOs, prioritizing those that consider and address criteria for the reduction of inequalities and marginalization, and that in turn work with priority groups. Programs that already do this:
    1. Associations for Equality (SISEMH)
    2. For the Inclusion of People with Disabilities (SGG)
    3. Support for CSOs (SSAS)

Improve the value of information

It includes a schedule that clearly specifies the dates that must be punctually met by both CSOs and the agency or entity in charge of the Program. This schedule must cover the different phases of the process: Issuing and closing of calls for proposals, delivery of documentation, ruling and publication of results, signing of agreements, delivery of benefits, operation of the project, preparation of reports and verification. Programs that already do this are:

  1. Support for CSOs (SSAS)
  2. Associations for Equality (SISEMH)

Improve channels for disseminating or requesting information

The agency that operates the Program clearly establishes the communication channels, with the greatest number of contact details available, through which advice is provided on the content and scope of the ROPs, the types of support and the call for proposals, as well as for addressing general questions for the application process. The program that already do this is Support for CSOs (SSAS).

Improve accessibility to information

For the dissemination of the Program, the agency clearly establishes the dissemination mechanisms: how, when and where it will be carried out; considering that they are public media and freely accessible to the population, as well as under an impartial, timely process and in a culturally relevant manner for the public to whom the information is directed. Programs that already do so:

  1. Support for CSOs (SSAS)
  2. Associations for Equality (SISEMH)
  3. Dissemination and Dissemination of Science, Technology and Innovation (COECYTJAL)

Provide evidence for your answer:

2.1.2. – Did the government create new opportunities to seek feedback from citizens/enable participation inform or influence decisions; improve existing channels or spaces to seek feedback from citizens/enable participation/ inform or influence decisions; create or improve capabilities in the government or the public aimed to improve how the government seeks feedback from citizens/enables participation/ or allows for the public to inform or influence decisions?

Yes

Degree of result:

Major

Explanation: In narrative form, what has been the impact on people or practice.

Improve existing channels or spaces to seek feedback from citizens/allow participation/inform or influence decisions

  • Create or improve capacities in the government or the public with the aim of improving the way the government seeks feedback from citizens/allows participation/or allows the public to inform or influence decisions.

The harmonization period of the ROPs of the participating programs, which runs from January 2022 to August 2024, was carried out in mixed-approach governance: outward with CSOs and inward through tripartite work between the Secretariat of Planning and Citizen Participation, the Commitment Monitoring Committee and the participating agencies. From the beginning of the phase, it was clear that it was essential to design a hybrid methodology, combining the virtual and the face-to-face, that would promote the four pillars of open government: transparency, accountability, citizen participation and technological innovation, all under governance schemes. For this reason, the following moments and objectives were considered in this phase:

  1. Information, training and formation sessions: Space designed to provide information to people from civil society and government interested in participating.
  2. Virtual form directed to CSOs: Instrument to collect information and experiences from users and beneficiaries of the participating programs.
  3. Meeting with agencies and the Monitoring Committee: Space for dialogue in governance to review the results of the form and exchange information.
  4.  Good Practices Document: Place where contributions, learning and reflections from both civil society and government are reflected.

In this way, the four information sessions, the 84 responses obtained from the CSOs participating in the virtual form, and the results of the meeting of the agencies and the Monitoring Committee, were valuable inputs for the final document of good practices generated in this commitment to improve the design of the ROPs of programs directed to CSOs. This process reaffirmed the importance of strengthening the ROPs of the programs with the participation of citizens and in constant dialogue with public servants – both allies in addressing various public problems in Jalisco. That is, considering the perspective of users and beneficiaries, as well as the team in charge of these programs, is essential to obtain valuable, first-hand feedback to improve these instruments, based on their experiences and thus avoiding their design being limited to a technical vision from a desk.

  • Create new opportunities to seek feedback from citizens/allow participation/inform or influence decisions

The inputs generated, in addition to contributing to the constant improvement and strengthening of the ROPs of the eight participating programs, in their 2022, 2023 and 2024 editions, gave way to other results that, although not initially planned, are of great value. Among these results are adjustments to the name of component 18 of the Guide for the preparation of Operating Rules of the Government of the State of Jalisco and to the rubric for its assessment.

  1. Component 18, previously titled “Control and Accountability”, as of the 2022 edition, was renamed “Control and Citizen Participation”. In this way, the Guide (Secretariat of Planning and Citizen Participation, 2024: 74) sought to explicitly highlight the importance of including beneficiaries in the process of preparing the ROPs, whether through workshops, consultations or other participatory mechanisms: “The citizen participation mechanisms provided for the implementation and operation of the program must be considered, particularly it is a good practice to consider citizen participation for the formation and updating of the operating rules of each year, since it is a desirable condition that public programs that provide support have the involvement of citizens during the implementation phase of the same as supervision, but also in the design and improvements for the same, so it is important that the normative instrument contemplates the formation of Social Control Committees or other participation mechanisms in the different phases of the program.”
    2. Regarding the ROP assessment rubric, from the official Evalúa Jalisco website, a comparison of the 2021 and 2022 editions can be seen.

Provide evidence for your answer:

Rules of Operations 2024

2.1.3 Did the government create or improve channels, opportunities or capabilities to hold officials answerable to their actions?

Yes

Degree of result:

Major

Explanation: In narrative form, what has been the impact on people or practice.

Working in governance and with an attitude of open government is not an easy task. It implies that public servants leave the comfort zone of building from behind a desk, to move on to working hand in hand with citizens. However, establishing this way of working does not mean that dialogue is never interrupted; rather, it creates the opportunity to keep the channels of communication between government and citizens open at any time, and in the face of the complexity of the challenges we face listening to dialogue, going from dialogue to consensus and, finally, collaborating towards a common goal.

In this sense, considering that for this government, Governance is not just words, we seek to put it into practice in a serious, effective and committed way with those of us who live in Jalisco, assuming the great challenge and openness that it implies. This is especially true considering that complex situations are not resolved with simple solutions, much less when seeking to design a people-centered process, as is the case at hand.

In this way, and after the various adjustments that were made to face the multiple challenges, reflections and rethinking, two work routes in governance were identified to achieve the expected results:

  1. First phase of harmonization 2021-2022. Based on the 74 contributions generated in the Executive’s commitment in the Second LAP, the teams of the participating agencies – who are in charge of the design, validation and publication of the ROPs, the operation and budgeting of the program, as well as the resulting verification – carried out an analysis of which of these would be feasible to incorporate into the 2022 ROPs of the participating programs under their charge.
  2. Second Phase of harmonization 2022-2024. Based on the virtual training phase, the virtual form addressed to CSOs, and the meeting with participating agencies and the Monitoring Committee, the final document “Good practices to improve the design of Operating Rules of public and social programs addressed to Civil Society Organizations” would be prepared. During the first phase of harmonization of the ROPs of the participating programs, the public servants of the participating agencies were in charge of identifying and reflecting, based on their regulatory framework, which elements are considered viable to include in the ROPs of the programs that operate in their 2022 edition, which ones could not be incorporated, which ones do not apply to them (remembering that they arose from the analysis of the Support Program for CSOs of the Secretariat of the Social Assistance System of the Second LAP) and which ones they already have incorporated. In addition, they were asked to include observations on their decisions and determinations in this regard.

Regarding the second phase of harmonization, it was very valuable that public servants attended the meeting with the Monitoring Committee, to learn about and review the responses of the CSOs that participated in the virtual form, and from there, share their comments, contributions and experiences based on the vision and context of their role in the participating programs, to identify:

  • Good practices from which harmonization could be promoted for the 2024 edition onwards
  • Coincidences with some contribution from civil society, as a complement from a governmental perspective
  • Idea of solution
  • Identified regulatory limitation
  • Challenges or limitations present in the dependencies

It should be noted that in this meeting participated both the teams of the dependencies that draft the ROP and operate the participating programs, as well as those who prepare the Guide for the elaboration of Operating Rules of the Government of the State of Jalisco, those in charge of budgeting the resources for the programs and those who carry out follow-up, supervision and monitoring actions of the fulfillment of the goals and actions.

Based on this, the final document was prepared, composed of an analysis and cross-referencing of information, as well as good practices identified in governance from the perspective of the citizens and the government perspective: each point is shared why it is important for the CSOs, and it is contrasted with the experiences and considerations that each one has had, in a sense of learning and mutual understanding. In this sense, when analyzing this Open Government process, it is crucial to highlight the active and effective participation of the citizens, hand in hand with the CSOs participating in each one of the actions, as well as the constant presence.

Likewise, it is important to highlight the outstanding participation, active listening, openness and willingness of the 43 people from the public service of the seven agencies involved in the commitment of the Executive Branch to build from start to finish with a governance approach: Secretariat for Substantive Equality between Women and Men, the Undersecretariat for Development and Engagement with CSOs of the Secretariat of the Social Assistance System, the Secretariat for Innovation, Science and Technology, the State Council for Science and Technology, the Undersecretariat for Human Rights of the General Secretariat of Government, Secretariat of Public Finance and the State Comptroller’s Office.

We recognize that everything can be improved, that there is still work to be done, and that there continue to be challenges and many areas of opportunity with respect to this issue. However, reflecting on the evolution and results obtained in these years with the commitment to Open Government, we conclude that the experience has been extremely enriching from a spirit of collaboration, co-creation and working by listening, derived from an active involvement of government and citizens, always from a perspective of the culture of peace and prevention.

Provide evidence for your answer:

2.1.4 Other Results

Yes

Degree of result:

Major

Explanation: In narrative form, what has been the impact on people or practice.

It is considered vital to highlight the participation of the Monitoring Committee in two key issues of the work plan during the sui generis process that, due to the changes, was followed in this commitment of the Executive Branch:

  1. The restructuring of the work plan in 2022: This restructuring took place on May 2, 2022, when the Monitoring Committee, the ITEI and the Secretariat for Planning and Citizen Participation agreed on the following:
    1. With the new operating rules of the OGP, coupled with the complexity of the times and the challenges that the agencies faced in carrying out the working tables, the Monitoring Committee proposes as an alternative to generate a virtual form to collect contributions from the CSOs benefiting from the participating programs. The three parties agreed that the virtual form, based on the methodology of the working tables, would be the best alternative to obtain contributions from the CSOs. However, they emphasized that, at the end of the period for receiving responses, it is essential to resume these contributions and generate a space for governance, promoting a meeting between the Monitoring Committee and the participating agencies. In this way, it would be ensured that the contributions of the form are not simply recorded in writing.
    2. The actions corresponding to the Intersectoral and Interinstitutional Analysis Commission were removed from the work plan. It had been planned that, in parallel with the roundtable phase, the selection of profiles to form said Commission would be carried out. However, as the roundtables were not held, it was no longer considered pertinent to open the process to form it. As a result, the actions were replaced in wording to align with the activities related to the virtual form and the meeting.
  2. Reactivation of actions in 2023. According to the Governance Mechanism of the Local Technical Secretariat of Open Government Jalisco (Gobierno Abierto Jalisco, 2023, p. 5), the Local Technical Secretariat (STL) must hold work meetings for the liaisons, preferably once a month.
    However, due to internal changes in the ITEI, Coordinator of the STL through whoever holds the Presidency, during 2022 and the first half of 2023 no session of the Third LAP was held. As a result, there was no support from ITEI for the follow-up of commitments or for the monitoring of actions for almost a year and a half. In addition to the above, and in an exercise of self-criticism, it is important to note that the Executive Branch also did not inform the Monitoring Committee that, after the Meeting with the agencies and the Monitoring Committee held on August 29, 2022, the Secretariat for Planning and Citizen Participation (SPPC) focused on the preparation of the final document between September 2022 and August 2023, work that was carried out internally in three stages:

In this way, the Monitoring Committee interpreted these institutional absences as a period of inactivity, which generated concern about the future of the Executive Branch’s commitment to the Third LAP.
In response, the Monitoring Committee acted in two ways to reactivate the actions of the Executive Branch’s work plan.

  1. First, on July 3, 2023, they sent a communication via email to the SPPC, to request that the activities pending from the commitment be resumed.
  2. Second, while waiting for a response from the SPPC, they sought to establish communication with the ITEI. Thus, after the Congress of the State of Jalisco appointed the current President Commissioner of ITEI on July 21, 2023, the Monitoring Committee met with her to request the reactivation of the work and thus conclude the pending actions of the Third LAP. For its part, the SPPC sent its response to the Monitoring Committee on August 9, 2023, proposing that before taking any action, a meeting be held between the ITEI, the Monitoring Committee and the SPPC. The objective of this meeting would be to reflect and analyze what had been experienced up to that point from a general perspective of the process; and thus together, identify achievements and lessons learned, share the challenges faced by each party and list pending actions. From this, an attempt would be made to generate agreements on the most viable way to address the following activities and conclude the commitment in the best possible way. It should be noted that, prior to this tripartite meeting, the new ITEI team, already integrated into its functions and assuming its coordinating role, convened working tables with both the SPPC team and the Monitoring Committee of the Executive Branch’s commitment to resume the activities of the Third LAP. The objective of these tables was to learn about the changes and evolution of the Executive Branch’s commitment, as well as its progress and validation status.
  3. Finally, the ITEI called a joint meeting with the Monitoring Committee and the SPPC, held on September 4, 2023. The objective was to review the actions carried out and pending, both those that must be implemented by the SPPC and those that must be validated by the Monitoring Committee; and thus, in coordination and accompaniment of the ITEI, the route of conclusion was drawn up that was finally followed in the commitment during this last year of work of the Third LAP.

Source Open Government Jalisco. (2023). Governance Mechanism of the Local Technical Secretariat of Open Government in Jalisco. Obtained from the ITEI Open Government Jalisco Microsite:

Provide evidence for your answer:

2.2 Did the commitment address the public policy problem that it intended to address as described in the action plan?

Yes

Provide a brief explanation of your answer:

The Executive Branch’s commitment to Open Government faced various challenges, reflections, modifications and rethinking along the way among the people and institutions that make the implementation of the Open Government Agenda in Jalisco possible.
Even though the main objective was always the same—to promote harmonization, transparency and prevention of corruption risks in the ROPs of the programs of the agencies and entities of the Government of Jalisco that grant benefits (financial support, in-kind support, subsidies, etc.) to CSOs—the approaches and methods evolved during the process based on what was being built and identified along the way. In other words, it was learning by doing among all the people who participated in this process through collective intelligence.

Provide evidence for your answer:

Section 3.
Lessons from
implementation

3. Provide at least one lesson or reflection relating to the implementation of this commitment. It can be the identification of key barriers to implementation, an unexpected help/hindrance, recommendations for future commitments, or if the commitment should be taken forward to the next action plan.

In retrospect, it can be observed that the commitment of the Executive Branch, established jointly by civil society that participated in the citizen roundtables and the SPPC team, was very ambitious, both in terms of the number of actions and the number of agencies involved, especially considering the short period available for the implementation of the actions when it was published in 2021.
In the end, the experience of this commitment confirms what the OGP points out in its Handbook for countries (2021:9) on the risk of developing a limited plan: “the commitments may not be very ambitious or may not be met. In other words, in the case of the Executive Branch, both elements were combined: to avoid drafting a commitment with a narrow scope, a very ambitious one was designed, which was ultimately not fulfilled within the deadlines originally established in the Third LAP.
However, the modifications made by the OGP to the rules under which they operate provided the opportunity to readjust key elements of the commitment, such as the name, the end date, the work plan and the results, without losing sight of the purpose of harmonizing, making transparent and preventing risks of corruption in the operating rules of the programs aimed at CSOs in Jalisco.
In this way, adjustments were made in order to adapt to the situations and realities that arose along the way, both due to internal and external factors, as mentioned in previous questions. These changes were always made under the principles of governance and aligned with the pillars of open government: transparency, accountability, citizen participation and technological innovation.
Given this scenario and based on our experience, it is considered essential that the OGP consider action scenarios for those of us who implement Open Government commitments.

Filed under: End of Commitment Report

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