Idea Transcript
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Guidelines for Transparency Implementation in Brazilian Municipalities based on Apiúna’s Case Larissa Mariany Freiberger Pereira 1, Everton Ricardo do Nascimento 1, Denilson Sell 1, José Leomar Todesco 1, Paulo Mauricio Selig 1, Guilherme Bertoni Machado 1 1 Graduate Program in Engineering and Knowledge Management, Federal University of Santa Catarina, Florianópolis, Santa Catarina, Brazil
Abstract - Public transparency has been imposed by law to all Brazilian public entities, but it is noticeable the difficulty that they face to implement it. The General Comptroller’s Office in Brazil has developed a methodology (Brazil Transparent Scale - EBT) to quantify public transparency in various Brazilian public entities and a large part of them were evaluated with relatively low scores. The municipality of Apiúna, located in the interior of Santa Catarina state, got maximum score in the two editions of EBT. In this sense, this paper proposes eight guidelines to assist other Brazilian municipalities in transparency implementation process, based on Apiúna’s case. The research was conducted through semistructured interviews with key stakeholders in the transparency implementation process in Apiúna. Through these interviews, we identified factors that were important for the city to obtain success and, from them, the guidelines had been developed. Keywords: Public transparency, Brazilian municipalities, transparency law, information access law
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Introduction
The Transparency Law [3], determined that Federal Government, the States, the Federal District and the Municipalities made public its budgetary and financial information in detail and in real time. In September 2011, Brazil, with other seven countries, founded the Open Government Partnership (OGP), which, according to [4] is a “multilateral initiative that aims to secure concrete commitments from governments to promote transparency, empower citizen, fight corruption, and harness new technologies to strengthen governance”. On November 18, 2011 was enacted by Federal Government the Law No. 12.527, also known as Information Access Law (LAI). The law [5] determined that Federal Government, the States, the Federal District and the Municipalities, as well as public foundations, public enterprises, joint-stock companies and other entities controlled directly or indirectly by government should make public their information through Information and Communication Technologies (ICTs), independent request. It is valid to Legislative, Executive and Judiciary Branches, as well as the Brazilian Government Agency for Law Enforcement and Prosecution of Crimes (MPU).
Several concepts of the term “transparency” had been built over time, but a very widespread and accepted concept in the Public Administration’s World was proposed by [1]. According to the authors, on page 03, “transparency describes the increased flow of timely and reliable economic, social, and political information […]”. Based on [2] we could say that in the public organizational context, transparency allows people to have a clear view about government business processes, reducing the possibility of information failure and providing accountability, thereby increasing the reliability of management. In Brazil, government agencies have been motivated to implement public transparency initiatives some time ago, as illustrated on Figure 1. On May 27, 2009 the Complementary Law No. 131, also known as Transparency Law, came into force.
Figure 1.Actions to Promote Transparency in Brazil
Despite those legal actions to promote transparency, government entities face serious difficulties to comply with
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the laws. The General Comptroller’s Office in Brazil (CGU) developed a methodology named Brazil Transparent Scale (EBT) to quantify public transparency in states and municipalities, as well as the Federal District. The EBT Methodology evaluated the government entities based on points related to LAI Regulation (adequacy of LAI in a specific context) and Passive Transparency, including elements such as “Exposure of legislation on the rated site”, “Regulation of Citizen Information Service (SIC)”, “Existence of e-SIC (the Internet service)”, “Existence of Regulation Law”, and others. In its first edition the EBT evaluated 465 municipalities with less than 50,000 inhabitants, 27 capital cities, 26 states, as well as the Federal District. According to [6], the evaluation of municipalities was made from three requests for access information of important social areas (health, education and social assistance) and one request for access information based on the regulation of LAI in the municipality. The final report of EBT, in its first edition, was released on May 15, 2015, in Brasília, to celebrate three years of validity of LAI in the country. However, despite that, the results were pretty worrying: 310 evaluated municipalities (corresponding to 63% of the total) had no point. The situation is even more alarming when observing the average grade of municipalities: approximately 1.35 point in a scale to goes up to 10. Apiúna, a town in the interior of Santa Catarina state, with just over 10,000 inhabitants had 10 points, the maximum possible score and, because of that, ranked first in EBT. The methodology was applied again, in its second edition and its final report was released on November 20, 2015. In its second edition, the EBT evaluated 1,559 municipalities with less than 50,000 inhabitants, 27 capital cities, 26 states, as well as the Federal District. At this time, 789 evaluated municipalities (49,71%) had no score. Apiúna continued to rank first, being classified once more as the most transparent city in Brazil. In this context, this paper present a research conducted through semi-structured interviews with key stakeholders who contributed to the public transparency implementation process in Apiúna. After, based on this case, we proposed eight guidelines that can guide other municipalities in conducting the transparency implementation process. To propose these guidelines, we needed to understand how the transparency implementation process occurred in Apiúna, as well as identify the factors and important aspects that led to the success and completion of this process.
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Methodological Procedures
This is a scientific research, since it deals with the issue from a theoretical bias, seeking to move forward and contribute to the knowledge construction of the research topic. This methodological approach, as said by [7], considers the problem in an emerging way. In other words, the problem should actually arise in the field to be researched. The research was conducted in three stages, namely: Data Collection, Data Analysis and Interpretation and Guidelines Development.
2.1
Data Collection
The data collection stage was conducted from an interview script that would allow the collection of relevant information in the context of public transparency. Thereby, it was possible to raise the actors and important factors that led Apiúna to be considered the most transparent city in Brazil by the General Comptroller’s Office. Based on the perceived challenges to the implementation process of public transparency, the script was structured based on the following questions: (1) How was the implementation of public transparency process in the town? (2) What are the perceived impacts according to the managers and citizens perspectives from this process? (3) Who participated in the public transparency implementation process in the municipality? (4) What has changed, in public governance context, after the public transparency implementation in the municipality? (5) What were the internal and external factors that contributed to the success of this process? After completion of the interview script, the first respondents were defined. Through phone calls and e-mails exchanges, it was possible to schedule interviews with the Comptroller of Apiúna and the Municipal Secretary of Management, which were the initial stakeholders at the time of the interviews. During the interviews, we identified, from the initial respondents, three actors who played important role in the transparency implementation process in the municipality: the Mayor’s Executive Assistant, the Municipal Secretary of Articulation and the Mayor himself. We emphasize that the semi-structured interview allows the collection of various relevant information regarding the public transparency implementation process in Apiúna through informal conversations. We believe that through a rigid and inflexible interview script we would not get the amount of information obtained from semi-structured interview script.
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The interviews happened all over a single day, generating a total of more than three and half hours of recording, occurred at the beginning of August 2015.
2.2
Data Analysis and Interpretation
After the interviews, it was initiated the data analysis and interpretation. According to [8], in page 16, “the idea of analysis suggests some kind of transformation. You start with some qualitative data collection (often voluminous) and then process them through analytical procedures until they become a clear, understandable, careful, reliable and even original analysis”. At this stage, initially, efforts were focused on the interviews’ transcriptions, in order to systematize data, thereby facilitating their subsequent analysis. Here we emphasize that the transcription task was divided into two steps: (1) the transcription of interviews itself and (2) transcription’s validation.
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In the interpretation stage, we could observe some important aspects of implementation of public transparency in Apiúna, as the mayor’s initiative in this process. Here we emphasize that there is no way to implement public transparency if the manager does not understand the importance of this process to promote an efficient management.
2.3
Guidelines Development
At the end of the data analysis and interpretation stage, it was possible to identify factors that were crucial for the implementation of public transparency in Apiúna. Because it is a lived experience, it was observed that not all the identified factors could be generalized, becoming guidelines for the public transparency implementation in other municipalities. In this sense, it was necessary verify factors identified from data interpretation that could be generalized, becoming guidelines and forwent those that had been identified from particularities of Apiúna’s process.
In this sense, we defined that the researcher who made the transcription of any interview could not work on the validation of this material. This was done to guarantee the quality and impartiality of the material, avoiding interpretations at this time of the research.
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Finalized the transcriptions, the complete reading of resulting material was done and, due to the large volume of data, we began the coding task.
We present, below, eight guidelines for public transparency implementation in Brazilian cities developed from the experience of Apiúna, the most transparent municipality in Brazil, according to EBT.
According to [7], on page 186, “coding is the process of organizing the material into chunks or segments of text before bringing meaning to information”. About that, [7] said, still on page 186, that coding task “involves taking text data or pictures gathered during data collection, segmenting sentences (or paragraphs) or images into categories, and labeling those categories with a term, often a term based in the actual language of the participant (called an in vivo term)”. After the data coding we opted to organize data in a table structured as a matrix. At the top of matrix were listed all the issues or codes identified in the previous step and in the left part of the matrix we described the stakeholders interviewed. Data were organized according to the subject to which it referred and the informant who reported it. Developed the matrix, we started to work in data interpretation. We emphasize that the very tool used to organize data (Data Matrix) assists in the interpretation of them, since the data were visually arranged and organized, making easier the comparison of stakeholders’ ideas and speeches.
3.1
Guidelines to assist Brazilian Municipalities in the Public Transparency Implementation Process
The main motivation to start the public transparency implementation process in municipalities must come from the mayor
It is vital that the initial motivation for the implementation of public transparency in the municipalities must come from the mayor. The Comptroller of Apiúna told us that the staff involved in the public transparency implementation "[...] have the role to guide him [the mayor], but who manages is the mayor. He is the one who gives orders, who manages [...] ".
3.2
It is necessary to have someone responsible for leading the public transparency implementation process
As in any project, it is very important that someone take the lead in this public transparency implementation process in the municipality. This person will hardly be the mayor, since it is necessary to have availability to engage in the activities that this process demands.
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In Apiúna’s case, this leading figure was the Comptroller, as emphasized the Municipal Secretary of Management: “[…] we had a person who was ahead [of the process], the Comptroller, which sought to identify what the law was demanding, worked on adaptations of the information system, but, in the end, the group worked together. Someone has to lead the process, otherwise you do not get to anywhere”. The Municipal Secretary of Articulation said that the Comptroller was responsible for motivating and supporting the mayor when important decisions that influenced directly to the effectively implementation of public transparency in the municipality must be made. In this regard, we also understand that the person responsible for leading the public transparency implementation process in the municipality should be a statutory employee, in order to ensure continuity of work even in the midst of change management. Of course, in a context of change management, if the mayor is not interested in the implementation of public transparency, the project must languish. However if, even in the midst of change of municipal management, the new manager understand the importance of the implementation of public transparency in the municipality, it is important that continuity be given to this process, so the participation of a statutory employee in leading this process becomes so important. That kind of employee remains in managing even if the mayor is replaced because of elections.
3.3
The mayor shall compose a competent and committed team to implement public transparency in the municipality
Here we emphasize that the composition of a competent and committed team with the public transparency implementation process is required. In Apiúna the team proved to be reliable and, because of that, gained autonomy to perform the necessary actions to implement public transparency. Thereby, this relationship of trust gave autonomy to the team to work and reduced bureaucracy in the public transparency implementation process. In short, the team autonomy in this process should be considered, since the mayor is unlikely to closely monitor all detailed actions that permeate the public transparency implementation process. Thus, the team must have autonomy to execute more technical and specific actions and should appeal to the mayor especially on strategic business issues of this process.
3.4
Municipalities should participate proactively and join the associations of municipalities, encouraging the collaborative work to implement transparency
A very important factor that contributed to the success in the public transparency implementation process in Apiúna was the participation of the municipality in the Association of Municipalities of “Médio Vale do Itajaí” (AMMVI). The AMMVI was composed by 14 municipalities that started a study group. In their meetings, they used to discuss strategies for implement public transparency in their municipalities. The Comptroller of Apiúna said that AMMVI “is a very active association” and the actions taken by it were central to succeed in the public transparency implementation process in Apiúna. He told that the study group arose from the need of transparency implementation in Brazilian municipalities. In 2012 it was initiated the meetings and it has started the process of law regulations implementation. Municipalities, through AMMVI, had meetings with members of Brazilian Government Agency for Law Enforcement and Prosecution of Crimes, who assisted them in that task. We understand that this relationship between municipalities and the association is extremely important, since the municipalities could share their experiences in the public transparency implementation process with the association and the association, on the other hand, helps municipalities in this process from the experiences lived by other municipalities. It is also important to note that, in general, the associations of municipalities have direct access to the Brazilian Government Agency for Law Enforcement and Prosecution of Crimes and other federal agencies, providing, thus, a communication channel between these agencies and municipalities.
3.5
Municipalities must regulate the law that promotes transparency
The regulation of LAI by municipalities is recommended by the General Comptroller’s Office in Brazil, since the legislation approved locally “sets the law general precepts to the specific entity reality”, according to [9], in page 6. In other words, the federal legislation provides a general law that should be applied to any public entity of the federation. However it is important and necessary that each entity
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(municipalities, states, federal district and federal entities) regulates the LAI to make it suitable to its own reality. This aspect is so relevant in public transparency implementation process that own General Comptroller’s Office in Brazil evaluates through EBT how the LAI was regulated by the municipality. Here, it is noteworthy that the associations of municipalities have a fundamental role in supporting municipalities to regulate the LAI. In this regard, the association of municipalities acts as a consultant of the municipalities in this process and, consequently, the municipalities themselves end up helping each other in these formal issues of transparency implementation process.
3.6
Information Systems must be appropriate to the current legislation, meeting the specifications laid out in the LAI regulation
Another key factor for transparency being effectively implemented in municipalities is the adequacy of information systems used by municipalities to the legislation. The Municipal Secretary of Articulation of Apiúna told that information systems play an important role in the public transparency implementation process. In Apiúna, they needed to work with two different information systems for a while because the first one they used does not meet the provisions of the law and needed to be adapted. This task took some time and the needs of municipality were supplied with a second information system that met the legal requirements not met by the first one. From this year Apiúna hopes work with just one information system, the first one they have already using since this must already meet all municipality needs to meet the LAI regulation. Here, we emphasize that the information system is important to the public transparency implementation. Without it, transparency cannot be implemented. However, this is not a sufficient resource for the effectiveness of transparency implementation process.
3.7
The team that leads the transparency implementation process in the municipality must turn their efforts to promote a cultural change in management
In the transparency implementation process in municipalities, it is important the adequacy of civil
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employees to the new reality, since the internal processes must be changed in order to clarify the actions of public administration. In Apiúna’s case the Mayor’s Executive Assistant said that civil employees did not have the habit of keeping the system with updated data and if this is not done, there is no promotion of public transparency. Civil employees who make up the management must understand that in the context of public transparency is required that the data be entered in the system in real time. They equally should be reliable and express the reality of management in order to ensure their availability and reliability. We understand that cultural changes are not easy, but they are necessary, especially in this context.
3.8
The municipality should seek to work together with the Brazilian Government Agency for Law Enforcement and Prosecution of Crimes
In Apiúna’s case, the Brazilian Government Agency for Law Enforcement and Prosecution of Crimes had requested the municipalities in the region that they make transparent their data and government actions, facilitating its access and meeting LAI provisions. In this sense, the very Brazilian Government Agency for Law Enforcement and Prosecution of Crimes requested mayors to sign a Conduct Adjustment Term (TAC). According to the Brazilian Government Agency for Law Enforcement and Prosecution of Crimes [9], Conduct Adjustment Term are “documents signed by parties to undertaken, towards a member of the Brazilian Government Agency for Law Enforcement and Prosecution of Crimes, to fulfill certain conditions in order to solve the problem that they are causing or compensate already caused damages”. Before TAC was sent to the mayors, the member of the Brazilian Government Agency for Law Enforcement and Prosecution of Crimes told them what the requirements in TAC were. This fact accelerated the transparency implementation process in Apiúna, since the mayor already knew about what would be requested by the Brazilian Government Agency for Law Enforcement and Prosecution of Crimes. The Comptroller of Apiúna told about the key role that the Brazilian Government Agency for Law Enforcement and Prosecution of Crimes exercised by informing for mayors the requirements contained in TAC.
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He told that the noncompliance of TAC results in fine for mayors and municipalities. So, in Apiúna’s case, the mayors was forced to accomplish the LAI, the Transparency Law and the TAC. The Brazilian Government Agency for Law Enforcement and Prosecution of Crimes has interest that the Transparency Law and LAI are fulfilled as far as the municipalities, so that the fines are not effective. In this sense, a good relationship between mayors and the Brazilian Government Agency for Law Enforcement and Prosecution of Crimes can significantly advance the transparency implementation process.
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Conclusions
The transparency implementation in public administration in Brazilian municipalities, although required by law, has not been effectively carried out by many of these public entities as shown by the General Comptroller’s Office in Brazil (CGU) by Brazil Transparent Scale (EBT) methodology developed by CGU itself to quantify the level of transparency implemented in municipalities, states and the Federal District. Apiúna is a Brazilian municipality, located in the state of Santa Catarina. The town got maximum score (ten) in the two editions of the EBT and was classified as the most transparent municipality in the country. Through semistructured interviews with key players in the consolidation of transparency implementation process in the municipality, it was possible to identify important factors that led to the success of the city. From the experience lived by Apiúna it was possible to develop eight guidelines that assist other municipalities in the transparency implementation. These guidelines do not guarantee the success of the transparency implementation process, but can assist mayors and their staff in conducting this, especially in cities where there is no initiative in this regard.
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dá outras providências, a fim de determinar a disponibilização, em tempo real, de informações pormenorizadas sobre a execução orçamentária e financeira da União, dos Estados, do Distrito Federal e dos Municípios. (2009). Available: http://www.planalto.gov.br/ccivil_03/leis/lcp/lcp131.htm [Accessed 08 June 2015]. [4] Open Government Partnership (OGP). What is the open government partnership? Disponível em: < http://www.opengovpartnership.org/about>. Acesso em: 09 de out. 2015. [5] Brazil. Lei nº 12.527, de 18 de novembro de 2011. Regula o acesso a informações previsto no inciso XXXIII do art. 5o, no inciso II do § 3o do art. 37 e no § 2o do art. 216 da Constituição Federal; altera a Lei no 8.112, de 11 de dezembro de 1990; revoga a Lei no 11.111, de 5 de maio de 2005, e dispositivos da Lei no 8.159, de 8 de janeiro de 1991; e dá outras providências. (2011). Available: http://www.planalto.gov.br/ccivil_03/_ato20112014/2011/lei/l12527.htm [Accessed 08 June 2015]. [6] Controladoria-Geral da União (CGU). Metodologia. 2015. Available: http://www.cgu.gov.br/assuntos/transparencia-publica/escalabrasil-transparente/metodologia [Acessed 09 October 2015]. [7] Creswell, John W. Research design: Qualitative, quantitative, and mixed methods approaches. Sage publications, 2013. [8] Gibbs, Graham. Análise de dados qualitativos: coleção pesquisa qualitativa. Bookman, 2009. [9] Controladoria-Geral da União (CGU). Guia técnico de regulamentação da Lei de Acesso à Informação em municípios e checklist. Brasília: 2013. Available: http://www.cgu.gov.br/Publicacoes/transparenciapublica/brasil-transparente/arquivos/guia_checklist.pdf [Acessed 04 February 2016].
References
[1] Vishwanath, Tara; Kaufmann, Daniel. Towards transparency in finance and governance. Available at SSRN 258978, 1999. [2] Aló, Claudia Cappelli. (2009). Uma abordagem para transparência em processos organizacionais utilizando aspectos (Unpublished doctoral thesis). Pontifícia Universidade Católica, Rio de Janeiro, Brazil. [3] Brazil. Lei complementar nº 131, de 27 de maio de 2009. Acrescenta dispositivos à Lei Complementar nº 101, de 4 de maio de 2000, que estabelece normas de finanças públicas voltadas para a responsabilidade na gestão fiscal e
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