Appendix A — Composite metrics

Most metrics in InCiSE are variables taken directly from the source datasets. Some of these metrics are themselves an index or composite score, where this composite is calculated by the source provider the metric is taken “as is” by InCiSE. However, some of the source variables identified for inclusion in InCiSE are binary information (e.g. yes/no questions, or representing categorical data).

In the case of inclusiveness the InCiSE model calculates the absolute difference between the composition of central government employees and the composition of the general labour market. This Annex provides details on how the composite metrics calculated by the InCiSE methodology have been produced.

Including binary variables directly into the InCiSE model presents challenges in respect of the usability of the model’s results. Firstly, it has the potential for some indicators to become difficult to summarise due to the large number of metrics they would record – in the most extreme case the crisis and risk management indicator would be based on 68 metrics. Secondly, by their nature, binary variables have only two positions, meaning that a country would either score 0 or 1 with no variation between these two positions, limiting the ability to distinguish between relative country performance. To resolve these limitations, the InCiSE model combines binary variables into composite aggregate metrics. These composite metrics have been designed within the InCiSE project’s methodology, and have not been developed by the authors/ publishers of the source data. In general, InCiSE maintains conceptual consistency (e.g. the composite metric aggregates information about similar) and source consistency (i.e. a composite metric is an aggregation of variables from the same dataset from the same author/publisher).

A.1 Integrity

Table A.1: Composite metrics in the integrity indicator
InCiSE metric	Source variables	Coding	Calculation
Post-employment cooling-off	[OECD] Post-public employment cooling-off: other civil servants	Yes = 1; No = 0	Cooling-off period for both = 3; Cooling-off for SCS only = 2; Cooling-off for non-SCS only = 1; No cooling-off for both = 0
Post-employment cooling-off	[OECD] Post-public employment cooling-off: senior civil servants	Yes = 1; No = 0
Lobbyist protections	[OECD] Is there an obligation to have a balanced composition of advisory/expert groups?	Yes = 1; No = 0	Sum of variables [Range 0 to 3]
	[OECD] Are lobbyists allowed to sit in advisory/expert groups in a personal capacity?	Yes = 0; No = 1
	[OECD] Are corporate executives allowed to sit in advisory/ expert groups in a personal capacity?	Yes = 0; No = 1
Coverage of whistleblower protections	[OECD] Scope includes: public sector employees	Yes = 1; No = 0	Sum of variables [Range 0 to 6]
	[OECD] Scope includes: consultants working for the public sector	Yes = 1; No = 0
	[OECD] Scope includes: suppliers to the public sector	Yes = 1; No = 0
	[OECD] Scope includes: temporary employees in the public sector	Yes = 1; No = 0
	[OECD] Scope includes: former public sector employees	Yes = 1; No = 0
	[OECD] Scope includes: those volunteering for the public sector	Yes = 1; No = 0
Table A.1 in the original PDF publication

See Chapter 3 for the full composition of the integrity indicator, Section 3.2 provides more in-depth discussion about the coding of post-employment cooling-off periods.

A.2 Inclusiveness

Table A.2: Composite metrics in the inclusiveness indicator
InCiSE metric	Source variables	Coding	Calculation
Women in central government	[OECD] Women as a proportion of total central government employment	No recoding	Absolute difference between OECD and ILO variables
Women in central government	[ILO] Women as a proportion of the labour market	No recoding	Absolute difference between OECD and ILO variables
Women in the public sector	[QoG] Women as a proportion of public sector employment	No recoding	Absolute difference between QoG and ILO variables
Women in the public sector	[ILO] Women as a proportion of the labour market	No recoding	Absolute difference between QoG and ILO variables
Women in top management	[OECD] Women as a proportion of central government senior management positions	No recoding	Absolute difference between OECD and ILO variables
Women in top management	[ILO] Women as a proportion of the labour market	No recoding	Absolute difference between OECD and ILO variables
Women in senior government	[QoG] Women as a proportion of senior positions in central government	No recoding	Absolute difference between QoG and ILO variables
Women in senior government	[ILO] Women as a proportion of the labour market	No recoding	Absolute difference between QoG and ILO variables
Table A.2 in the original PDF publication

See Chapter 6 for the full composition of the inclusiveness indicator.

A.3 Fiscal and financial management

Table A.3: Composite metrics in the fiscal and financial management indicator
InCiSE metric	Source variables	Coding	Calculation
Published public finance data	[WB] Consolidated budget execution results for the public sector?	Yes = 1; No = 0	Sum of variables [Range 0 to 10]
	[WB] Sector analysis?	Yes = 1; No = 0
	[WB] Regional analysis?	Yes = 1; No = 0
	[WB] Gender analysis?	Yes = 1; No = 0
	[WB] Budget analysis with special emphasis towards children and youth?	Yes = 1; No = 0
	[WB] Debt data?	Yes = 1; No = 0
	[WB] Foreign aid data?	Yes = 1; No = 0
	[WB] Fiscal data on sub-national/ local governments and municipalities?	Yes = 1; No = 0
	[WB] Financial statements?	Yes = 1; No = 0
	[WB] Public procurement and contracts for the whole government?	Yes = 1; No = 0
Table A.3 in the original PDF publication

See Chapter 8 for the full composition of the fiscal and financial management indicator.

A.4 Tax administration

Table A.4: Composite metrics in the tax administration indicator
InCiSE metric	Source variables	Coding	Calculation
Collection cost	[OECD] Total recurrent budget	No recoding	Buget as a proportion of net revenue
Collection cost	[OECD] Net revenue	No recoding	Buget as a proportion of net revenue
Tax debt	[OECD] Total tax debt	No recoding	Tax debt as a proportion of net revenue
Tax debt	[OECD] Net revenue	No recoding	Tax debt as a proportion of net revenue
Online personal tax returns	[OECD] Personal tax returns filed online	No recoding	Online returns as a proportion of total returns
Online personal tax returns	[OECD] Total personal tax returns filed	No recoding	Online returns as a proportion of total returns
Online corporate tax returns	[OECD Corporate tax returns filed online	No recoding	Online returns as a proportion of total returns
Online corporate tax returns	[OECD] Total corporate tax returns filed	No recoding	Online returns as a proportion of total returns
Online VAT returns	[OECD] VAT returns filed online	No recoding	Online returns as a proportion of total returns
Online VAT returns	[OECD] Total VAT returns filed	No recoding	Online returns as a proportion of total returns
Table A.4 in the original PDF publication

See Chapter 13 for the full composition of the tax administration indicator.

A.5 Procurement

Table A.5: Composite metrics in the procurement indicator
InCiSE metric	Source variables	Coding	Calculation
E-procurement functions	[OECD] Publishing procurement plans	National = 1; Partial = 0.5; No = 0	Sum of variables [Range 0 to 9]
	[OECD] Publication of opportunities	National = 1; Partial = 0.5; No = 0; No = 0
	[OECD] Announcing tenders	National = 1; Partial = 0.5; No = 0; No = 0
	[OECD] Online catalogue	National = 1; Partial = 0.5; No = 0; No = 0
	[OECD] Provision of tender documents	National = 1; Partial = 0.5; No = 0; No = 0
	[OECD] E-submission of bids	National = 1; Partial = 0.5; No = 0; No = 0
	[OECD] E-reverse auctions	National = 1; Partial = 0.5; No = 0; No = 0
	[OECD] Notification of award	National = 1; Partial = 0.5; No = 0; No = 0
	[OECD] E-submission of invoices	National = 1; Partial = 0.5; No = 0; No = 0
Role of central purchasing body	[OECD] CPBs award framework agreements or other consolidated instruments, from which CAs then order	Yes = 1; No = 0	Sum of variables [Range 0 to 4
	[OECD]CPBs act as CAs aggregating demand and purchasing	Yes = 1; No = 0
	[OECD]CPBs establish policies for CAs	Yes = 1; No = 0
	[OECD]CPBs co-ordinate training for public officials in charge of public procurement	Yes = 1; No = 0
Access for SMEs	[OECD] A specific unit specialized in SMEs is in place at the central government level	Yes = 1; No = 0	Sum of variables [Range 0 to 5]
	[OECD] Training and workshops are carried out for SMEs	Yes = 1; No = 0
	[OECD] Documentation or guidance focused on SMEs is available online	Yes = 1; No = 0
	[OECD] Division into lots of the contract	Yes = 1; No = 0
	[OECD] Administrative procedures are simplified for SMEs to participate in tenders	Yes = 1; No = 0
Table A.5 in the original PDF publication

The source data for e-procurement functions indicates whether these functions are available in national e-procurement systems and in e-procurement systems for (some) individual entities. Where a country has the functionality in a national system this is coded as 1 (irrespective of whether exists in the systems of individual entities), where there is no functionality indicated in a national system but it is available in some individual entities this is coded as 0.5.

See Chapter 11 for the full composition of the procurement indicator.

A.6 Crisis and risk management

Table A.6: Composite metrics in the crisis and risk management indicator
InCiSE metric	Source variables	Coding	Calculation
Strategic approach	[OECD] Does your government have a national strategy for the management of critical risks?	Yes = 1; No = 0	Sum of variables [Range 0 to 7]
	[OECD] Does your government's national strategy adopt an all-hazards approach to risk?	Yes = 1; No = 0
	[OECD] Does your government have an institution that is assigned leadership at the national level for the management of critical risks	Yes = 1; No = 0
	[OECD] Does the lead institution on the management of critical risks report to the centre of government?	Yes = 1; No = 0
	[OECD] Does the lead institution prepare a report on its functions to the Head of Government and/or a Cabinet level minister?	Yes = 1; No = 0
	[OECD] Does the institution consult with a variety of stakeholders in the policy-formulation process for the management of critical risks?	Yes = 1; No = 0
	[OECD] Does your government have a mechanism for monitoring unexpected events in order to quickly build situation awareness about critical riss once they actually occur?	Yes = 1; No = 0
Lead institution's functions	[OECD] Lead risk mgmt institution functions: design/ formulate risk management policies	Yes = 1; No = 0	Sum of variables [Range 0 to 11]
	[OECD] Lead risk mgmt institution functions: set priorities and allocate resources accordingly	Yes = 1; No = 0
	[OECD] Lead risk mgmt institution functions: set performance targets	Yes = 1; No = 0
	[OECD] Lead risk mgmt institution functions: provide incentives for policy implementation	Yes = 1; No = 0
	[OECD] Lead risk mgmt institution functions: monitor policy implementation	Yes = 1; No = 0
	[OECD] Lead risk mgmt institution functions: evaluate policy implementation	Yes = 1; No = 0
	[OECD] Lead risk mgmt institution functions: disseminate results of evaluation to the public	Yes = 1; No = 0
	[OECD] Lead risk mgmt institution functions: promote policy coherence across government departments	Yes = 1; No = 0
	[OECD] Lead risk mgmt institution functions: address competing policy objectives	Yes = 1; No = 0
	[OECD] Lead risk mgmt institution functions: coordinate actions across central and local level of government	Yes = 1; No = 0
	[OECD] Lead risk mgmt institution functions: coordinate cooperation between government and non-governmental entities	Yes = 1; No = 0
Risk planning	[UN] PA1-C1: Is disaster risk taken into account in public investment and planning decisions?	Yes = 1; No = 0	Sum of variables [Range 0 to 7]
	[UN] PA1-C1: National development plan	Yes = 1; No = 0
	[UN] PA1-C1: Sector strategies and plans	Yes = 1; No = 0
	[UN] PA1-C1: Climate change policy and strategy	Yes = 1; No = 0
	[UN] PA1-C1: Poverty reduction strategy papers	Yes = 1; No = 0
	[UN] PA1-C1: CCA/ UNDAF (Common Country Assessment/ UN Development Assistance Framework)	Yes = 1; No = 0
	[UN] PA1-C1: Civil defence policy, strategy and contingency planning	Yes = 1; No = 0
Multi-hazard assessment	[UN] PA2-C1: Multi-hazard risk assessment	Yes = 1; No = 0	Sum of variables [Range 0 to 8]
	[UN] PA2-C1: Gender disaggregated vulnerability and capacity assessments	Yes = 1; No = 0
	[UN] PA2-C1: Agreed national standards for multi hazard risk assessments	Yes = 1; No = 0
	[UN] PA2-C1: Common format for risk assessment	Yes = 1; No = 0
	[UN] PA2-C1: Is future/probable risk assessed?	Yes = 1; No = 0
	[UN] PA5-C4: Damage and loss assessment methodologies and capacities available	Yes = 1; No = 0
	[UN] PA5-C4: Post-disaster need assessment methodologies	Yes = 1; No = 0
	[UN] PA5-C4: Post-disaster needs assessment methodologies include guidance on gender aspects	Yes = 1; No = 0
Risk monitoring	[UN] PA2-C2: Are disaster losses and hazards systematically reported, monitored and analyzed?	Yes = 1; No = 0	Sum of variables [Range 0 to 4
	[UN] PA2-C2: Disaster loss databases exist and are regularly updated	Yes = 1; No = 0
	[UN] PA2-C2: Reports generated and used in planning by finance, planning and sectoral line ministries (from the disaster databases/ information systems)	Yes = 1; No = 0
	[UN] PA2-C2: Hazards are consistently monitored across localities and territorial boundaries	Yes = 1; No = 0
Risk management capability	[OECD] Does your government undertake efforts to develop risk anticipation capacity	Yes = 1; No = 0	Sum of variables [Range 0 to 5]
	[OECD] Does your government's national strategy for the management of critical risks promote measures to enhance risk prevention and mitigation?	Yes = 1; No = 0
	[OECD] Does your government have a critical infrastructure protection programme (CIP)?	Yes = 1; No = 0
	[OECD] Are inter-agency cooperation mechanisms built into your government's crisis management system?	Yes = 1; No = 0
	[OECD] Does your government encourage the private sector to take steps to ensure business continuity?	Yes = 1; No = 0
Preparedness	[UN] PA5-C1: Are future disaster risks anticipated through scenario development and aligned preparedness planning?	Yes = 1; No = 0	Sum of variables [Range 0 to 5]
	[UN] PA5-C1: Are there national programmes or policies for disaster preparedness, contingency planning and response?	Yes = 1; No = 0
	[UN] PA5-C1: The institutional mechanisms exist for the rapid mobilisation of resources in a disaster, utilising civil society and the private sector; in addition to public sector support.	Yes = 1; No = 0
	[UN] PA5-C1: Preparedness plans are regularly updated based on future risk scenarios	Yes = 1; No = 0
	[UN] PA5-C2: Risk management/contingency plans for continued basic service delivery	Yes = 1; No = 0
Disaster spending appraisal	[UN] PA4-C3: Are the costs and benefits of DRR incorporated into the planning of public investment?	Yes = 1; No = 0	Sum of variables [Range 0 to 6]
	[UN] PA4-C6: Are the impacts of disaster risk that are created by major development projects assessed?	Yes = 1; No = 0
	[UN] PA4-C6: Are cost/benefits of disaster risk taken into account in the design and operation of major development projects?	Yes = 1; No = 0
	[UN] PA4-C6: Impacts of disaster risk taken account in Environment Impact Assessment (EIA)	Yes = 1; No = 0
	[UN] PA4-C6: By national and sub-national authorities and institutions	Yes = 1; No = 0
	[UN] PA4-C6: By international development actors	Yes = 1; No = 0
International cooperation	[UN] PA2-C4: Does your country participate in regional or sub-regional actions to reduce disaster risk?	Yes = 1; No = 0	Sum of variables [Range 0 to 6]
	[UN] PA2-C4: Establishing and maintaining regional hazard monitoring	Yes = 1; No = 0
	[UN] PA2-C4: Regional or sub-regional risk assessment	Yes = 1; No = 0
	[UN] PA2-C4: Regional or sub-regional early warning	Yes = 1; No = 0
	[UN] PA2-C4: Establishing and implementing protocols for transboundary information sharing	Yes = 1; No = 0
	[UN] PA2-C4: Establishing and resourcing regional and sub-regional strategies and frameworks	Yes = 1; No = 0
Risk communications	[OECD] Does your government encourage a whole-of-society approach to risk communication?	Yes = 1; No = 0	Sum of variables [Range 0 to 3]
	[OECD] Has your government communicated the results of any such evaluations to the public in past?	Yes = 1; No = 0
	[OECD] Does your government make information that is used for the assessment of critical risks available to the public?	Yes = 1; No = 0
Early warning systems	[UN] PA2-C3: Do risk prone communities receive timely and understandable warnings of impending hazard events?	Yes = 1; No = 0	Sum of variables [Range 0 to 3]
	[UN] PA2-C3: Communication systems and protocols used and applied	Yes = 1; No = 0
	[UN] PA2-C3: Active involvement of media in early warning dissemination	Yes = 1; No = 0
Risk evaluationa and research	[OECD] Has your government conducted a post-disaster evaluation of policies that are designed to support the management of critical risks within the last three years?	Yes = 1; No = 0	Sum of variables [Range 0 to 3]
	[OECD] Have the results from such evaluations been used in the design of revised risk management policies?	Yes = 1; No = 0
	[OECD] Does your government provide support for scientific research that is meant to improve policies for the management of critical risks?	Yes = 1; No = 0
Table A.6 in the original PDF publication

See Chapter 10 for the full composition of the crisis and risk management indicator.