31:T522,dot` digraph { rankdir = LR; node [shape = doublesquare]; incoming; node [shape = circle]; "Dispute Resolution" "DR Monitoring"; node [shape = doublesquare]; "full agreement" "partial agreement" "no agreement" "fully settled" "partially settled" "no settlement"; node [shape = tab]; "Transfer to Compliance"; node [shape = doublecircle]; Closure; incoming -> "Dispute Resolution" [ label = "from Assessment" ]; "no agreement" -> "Transfer to Compliance"; "partial agreement" -> "Dispute Resolution"; "Dispute Resolution" -> "Transfer to Compliance" [ label = "partial transfer" ]; "Dispute Resolution" -> "full agreement"; "full agreement" -> "DR Monitoring" ; "Dispute Resolution" -> "partial agreement"; "partial agreement" -> "DR Monitoring" ; "partial agreement" -> "Transfer to Compliance" ; "Dispute Resolution" -> "no agreement"; "DR Monitoring" -> "fully settled"; "DR Monitoring" -> "partially settled"; "DR Monitoring" -> "no settlement"; "fully settled" -> Closure ; "partially settled" -> "DR Monitoring"; "partially settled" -> "Transfer to Compliance" [label = "partial transfer"]; "partially settled"-> "Closure" [label = "partial closure" ]; "no settlement" -> "Transfer to Compliance"; "DR Monitoring" -> "Transfer to Compliance" [ label = "partial transfer" ]; } `32:T598,dot` digraph { rankdir = LR; node [shape = doublecircle]; "Dispute Resolution" "DR Monitoring" "Compliance" "Closed"; node [shape = doublesquare]; "Dispute Resolution" -> "Fully Settled" -> "Closed" [ label = "1" ] "Dispute Resolution" -> "Fully Settled" -> "DR Monitoring" -> "Not Implemented" -> "Compliance" [ label = "2" ] "Dispute Resolution" -> "Fully Settled" -> "DR Monitoring" -> "Partially Implemented" -> "Compliance" [ label = "3" ] "Dispute Resolution" -> "Fully Settled" -> "DR Monitoring" -> "Fully Implemented" -> "Closed" [ label = "4" ] "Dispute Resolution" -> "Partially Settled" -> "Closed" [ label = "5" ] "Dispute Resolution" -> "Partially Settled" -> "DR Monitoring" -> "Fully Implemented" -> "Closed" [ label = "6" ] "Dispute Resolution" -> "Partially Settled" -> "DR Monitoring" -> "Partially Implemented" -> "Closed" [ label = "7" ] "Dispute Resolution" -> "Partially Settled" -> "DR Monitoring" -> "Partially Implemented" -> "Compliance" [ label = "8" ] "Dispute Resolution" -> "Partially Settled" -> "DR Monitoring" -> "Not Implemented" -> "Compliance" [ label = "9" ] "Dispute Resolution" -> "Partially Settled" -> "DR Monitoring" -> "Not Implemented" -> "Closed" [ label = "11" ] "Dispute Resolution" -> "Partially Settled" -> "Compliance" [ label = "10" ] "Dispute Resolution" -> "Not Settled" -> "Compliance" [ label = "12" ] "Dispute Resolution" -> "Not Settled" -> "Closed" [ label = "13" ] } `33:T5c6,phases_chart_compliance = Object.assign(dot` digraph { rankdir = G; node [shape = doublecircle]; "Appraisal" "Investigation" "Monitoring" "Closed"; node [shape = doublesquare]; "Appraisal" -> "does not merit investigation" -> "Closed" [ label = "1" ] "Appraisal" -> "does not merit investigation" -> "monitoring closes satisfactory" -> "Closed" [ label = "2" ] "Appraisal" -> "does not merit investigation" -> "monitoring closes unsatisfactory" -> "Closed" [ label = "3" ] "Appraisal" -> "related investigation in process / recently completed" -> "Monitoring" [ label = "4" ] "Appraisal" -> "investigation merited" -> "Investigation" -> "monitoring not merited" -> "Closed" [ label = "5" ] "Appraisal" -> "investigation merited" -> "Investigation" -> "monitoring closes satisfactory" -> "Closed" [ label = "6" ] "Appraisal" -> "investigation merited" -> "Investigation" -> "monitoring closes unsatisfactory" -> "Closed" [ label = "7" ] "Appraisal" -> "investigation merited" -> "Investigation" -> "monitoring merited" -> "Monitoring" -> "monitoring closes satisfactory" -> "Closed" [ label = "8" ] "Appraisal" -> "investigation merited" -> "Investigation" -> "monitoring merited" -> "Monitoring" -> "monitoring does not close" -> "Monitoring" [ label = "9" ] "Appraisal" -> "investigation merited" -> "Investigation" -> "monitoring merited" -> "Monitoring" -> "monitoring closes unsatisfactory" -> "Closed" [ label = "10" ] } `, { style: "max-width:84%;height:auto;" }) 34:T854,phases_chart_complete = Object.assign(dot`digraph { rankdir = G; node [shape = doublecircle]; Intake Eligibility Assessment Ombudsman Compliance Closure; node [shape = circle]; "Dispute Resolution" "DR Monitoring" Appraisal Investigation Monitoring; node [shape = doublesquare]; withdrawn valid invalid eligible ineligible agreement "partial agreement" "no agreement" "fully settled" "partially settled" "no settlement" satisfactory unsatisfactory; node [shape = tab]; Closure "Transfer to Compliance"; "VP Trigger" -> Appraisal; Intake -> invalid -> Closure; Intake -> valid -> acknowledgement -> Eligibility; acknowledgement -> withdrawn -> Closure; Eligibility -> ineligible -> Closure; Eligibility -> eligible -> Assessment; Eligibility -> withdrawn -> Closure; Assessment -> Ombudsman; Assessment -> Compliance; Assessment -> withdrawn -> Closure; Ombudsman -> "Dispute Resolution" ; Ombudsman -> withdrawn -> Closure; "no agreement" -> "Transfer to Compliance"; "Dispute Resolution" -> agreement ; "Dispute Resolution" -> "partial agreement" ; "partial agreement" -> "DR Monitoring" ; "partial agreement" -> "Dispute Resolution" ; agreement -> "DR Monitoring" ; "Dispute Resolution" -> "no agreement" ; "DR Monitoring" -> "fully settled" ; "DR Monitoring" -> "partially settled" ; "DR Monitoring" -> "no settlement" ; "fully settled" -> Closure ; "partially settled" -> "DR Monitoring" ; "partially settled" -> "Closure" ; "partially settled" -> "Transfer to Compliance" ; "no settlement" -> "Transfer to Compliance" ; "Transfer to Compliance" -> Compliance; Compliance -> Appraisal ; Compliance -> withdrawn -> Closure; Appraisal -> Investigation ; Appraisal -> Monitoring [ label = "appraisal may be merged into monitoring" ]; Appraisal -> "satisfactory" -> Closure; Investigation -> Monitoring; Investigation -> "satisfactory" -> Closure ; Monitoring -> satisfactory; Monitoring -> unsatisfactory; unsatisfactory -> Monitoring [ label = "outstanding issues" ]; satisfactory -> Closure ; unsatisfactory -> Closure; }`, { style: "max-width:50%;height:auto;" })35:[] 2f:{"title":"CAO Case-Handling Data Model","cells":[{"id":0,"value":"md`\n# CAO Case-Handling Data Model\n`","pinned":false,"hidden":false,"mode":"ojs"},{"id":140,"value":"md`\nThis notebook is part of a series that seeks to define a set of common data attribute names to describe independent accountability mechanisms (IAMs), and specifically members of [IAMnet](http://independentaccountabilitymechanism.net/).\n\n`","pinned":false,"hidden":false,"mode":"ojs"},{"id":616,"value":"html`\n

\n \n IAMnet Members\n \n

Members of IAMnet* currently include:
^{[ALT. TABLE VIEW].}

\n\n

\n\n \n

\n_{*Please note that the acronyms I use to refer to IAM members (supplied in the table above) are my own creations. To help reduce ambiguity, I define IAM acronyms to also reference the institution it oversees. Where IAM names are similar, I will use full acronyms. Otherwise I use the prefix.}\n

\n\n

\n\n\n`","pinned":false,"hidden":false,"mode":"ojs"},{"id":84,"value":"iam_member_table = {\nvar html = \"\";\n html+=\"\";\n html+=\"\";\n html+=\"\";\nfor (var i = 1; i < iam_data.length; i++) {\n html+=\"\";\n html+=\"\";\n html+=\"\";\n html+=\"\";\n html+=\"\";\n html+=\"\";\n}\nhtml+=\"

\"+iam_data[0].iam+\"	\"+iam_data[0].iam_acronym+\"	\"+iam_data[0].institution+\"	\"+iam_data[0].institution_acronym+\"
\"+iam_data[i].iam+\"	\"+iam_data[i].iam_acronym+\"	\"+iam_data[i].institution+\"	\"+iam_data[i].institution_acronym+\"

\";\ndocument.getElementById(\"iam-member-table\").innerHTML = html;\n\n}","pinned":false,"hidden":false,"mode":"ojs"},{"id":518,"value":"md`\nIf you're looking for the notebook that addresses [case data](https://observablehq.com/@aaronkyle/iam-case-data-model) specifically, click [here](https://observablehq.com/@aaronkyle/iam-case-data-model).\n\n`","pinned":false,"hidden":false,"mode":"ojs"},{"id":246,"value":"md`---`","pinned":false,"hidden":false,"mode":"ojs"},{"id":826,"value":"md`### CAO Case Handling Processes
\nHigh-Level Overview`","pinned":false,"hidden":false,"mode":"ojs"},{"id":828,"value":"md`The [Compliance Advisor Ombudsman (CAO)](http://www.cao-ombudsman.org/) is the independent recourse mechanism for the International Finance Corporation (IFC) and Multilateral Investment Guarantee Agency (MIGA). The CAO responds to complaints from project-affected communities with the goal of enhancing social and environmental outcomes on the ground.`","pinned":false,"hidden":false,"mode":"ojs"},{"id":343,"value":"md`**Graphic Summary of the [${iam_data[1].iam}](${iam_data[1].iam_url}) Case-Handling Process**`","pinned":false,"hidden":false,"mode":"ojs"},{"id":298,"value":"CAO_case_handling = dot`\ndigraph {\n\trankdir = LR;\n\tnode [shape = doublecircle]; Intake Eligibility Assessment Ombudsman Compliance Closure;\n node [shape = smallsquare]; Acknowledgement;\n\tIntake -> Acknowledgement;\n\t Acknowledgement -> Eligibility;\n Eligibility -> Assessment;\n\tAssessment -> Ombudsman;\n\tAssessment -> Compliance;\n\tOmbudsman -> Compliance;\n\tOmbudsman -> Closure;\n\tCompliance -> Closure;\n}\n`","pinned":false,"hidden":false,"mode":"ojs"},{"id":44,"value":"md`At a high level, CAO's case-handing process is organized as follows: CAO receives a complaint (a stage referred to as \\`intake\\`) which is screened to determine that complaint is real and that complainants are not anonymous (think of this like a SPAM filter). Valid complaints are confirmed by an \\`acknowledgment\\` letter and then moved into an \\`eligibility\\` stage.\n\nCAO defined criteria for a complaint to be considered 'eligible' for CAO involvment. Cases that meet these criteria are termed 'cases'. Each eligible case is assigned a case name and then transferred into an \\`assessment\\` stage.\n\nFrom assessment, complainants and companies may voluntarily elect to enter a \\`dispute resolution\\` process (ombudsman), otherwise the case transfers to CAO's \\`compliance\\` function for an appraisal.`","pinned":false,"hidden":false,"mode":"ojs"},{"id":350,"value":"md`\nLater in this notebook, we'll try to name each of CAO's component stages as a data attribute.\n`","pinned":false,"hidden":false,"mode":"ojs"},{"id":879,"value":"md`\n**Example CAO Case-Handling Data Attributes**\n`","pinned":false,"hidden":false,"mode":"ojs"},{"id":355,"value":"attributes_CAO_phases = [\n { id: 'ifc_miga',\n institution: 'International Finance Corporation & Multilateral Guarantee Agency',\n intake: 'yes',\n acknowledgement: 'yes',\n eligibility: 'yes',\n dispute_resolution: 'yes',\n compliance: 'yes',\n advisory: 'yes' },\n]","pinned":true,"hidden":false,"mode":"ojs"},{"id":859,"value":"md`For now, let's explore some of the nuaunce of CAO's complaints-handling process.`","pinned":false,"hidden":false,"mode":"ojs"},{"id":779,"value":"md`---`","pinned":false,"hidden":false,"mode":"ojs"},{"id":696,"value":"md`## Case-Handling Pathways`","pinned":false,"hidden":false,"mode":"ojs"},{"id":845,"value":"md`\nWe'll delve further into key choices and decision points in CAO's process in the next section of this notebook. Let's first pause for a moment to appreciate where and how our high-level model gets more complicated within each of CAO's two major functions: dispute resolution and compliance. \n`","pinned":false,"hidden":false,"mode":"ojs"},{"id":815,"value":"md`Looking closer into the each function, greater detail emerges.`","pinned":false,"hidden":false,"mode":"ojs"},{"id":722,"value":"md`### Dispute Resolution`","pinned":false,"hidden":false,"mode":"ojs"},{"id":883,"value":"md`**Graphic Summary of the Dispute Resolution Process**`","pinned":false,"hidden":false,"mode":"ojs"},{"id":657,"value":"$31","pinned":false,"hidden":false,"mode":"ojs"},{"id":868,"value":"md`As indicated in the graph above, CAO's dispute resolution process proceeds until parties have resolved to reach an agreement in order to respond to a complaint, or otherwise have determined not to cooperate to reach an agreement.`","pinned":false,"hidden":false,"mode":"ojs"},{"id":873,"value":"md`Cases in CAO's dispute resolution fuction may be partially settled in agreements. Cases may partially transfer from dispute resolution to compliance.`","pinned":false,"hidden":false,"mode":"ojs"},{"id":698,"value":"md`### Compliance`","pinned":false,"hidden":false,"mode":"ojs"},{"id":885,"value":"md`**Graphic Summary of the Compliance Process**`","pinned":false,"hidden":false,"mode":"ojs"},{"id":660,"value":"dot`\n\ndigraph {\n\trankdir = LR;\n\tnode [shape = doublesquare]; incoming;\n\tnode [shape = circle]; Appraisal Investigation Monitoring;\n\tnode [shape = doublesquare]; satisfactory unsatisfactory;\n\tnode [shape = doublecircle]; Closure;\n\tincoming -> Appraisal [ label = \"from Assessment, DR, or VP trigger\" ];\n\tAppraisal -> Investigation;\n\tAppraisal -> Monitoring [ label = \"appraisal may be merged into monitoring\" ];\n\tAppraisal -> Closure;\n Investigation -> Monitoring;\n\tInvestigation -> Closure ;\n\tMonitoring -> satisfactory;\n\tMonitoring -> unsatisfactory;\n\tunsatisfactory -> Monitoring [ label = \"outstanding issues\" ];\n\tsatisfactory -> Closure ;\n\tunsatisfactory -> Closure;\n}\n`","pinned":false,"hidden":false,"mode":"ojs"},{"id":899,"value":"md`\nCAO's compliance process comprises three functions: appraisal, investigation, and monitoring. A complaint may enter into the compliance function from assessment, dispute resolution, or as a complaint triggered by the CAO Vice President or by the IFC/MIGA executive and top management.\n`","pinned":false,"hidden":false,"mode":"ojs"},{"id":717,"value":"md`---`","pinned":false,"hidden":false,"mode":"ojs"},{"id":705,"value":"md`## Case-Handling Decision Points`","pinned":false,"hidden":false,"mode":"ojs"},{"id":912,"value":"md`\nToward our overall aim of creating a 'data model' for CAO's case-handing process, let's map out each pathway that a complaint can take at CAO.\n`","pinned":false,"hidden":false,"mode":"ojs"},{"id":737,"value":"md`### Intake`","pinned":false,"hidden":false,"mode":"ojs"},{"id":758,"value":"dot`\ndigraph {\n\n rankdir = LR;\nnode [shape = doublecircle]; \"Intake\" \"Eligibility\" \"Closed\" \"Assessment\";\nnode [shape = doublesquare]; \"Acknowledgement\";\n\"Intake\" -> \"valid\" -> \"Acknowledgement\" -> \"Eligibility\" -> \"Eligibile\" -> \"Assessment\"[ label = \"1\" ]\n\"Intake\" -> \"valid\" -> \"Acknowledgement\" -> \"Eligibility\" -> \"Inligibile\" -> \"Closed\"[ label = \"2\" ]\n\"Intake\" -> \"withdrawn\" -> \"Closed\" [ label = \"3\" ]\n}\n`","pinned":false,"hidden":false,"mode":"ojs"},{"id":745,"value":"md`### Assessment`","pinned":false,"hidden":false,"mode":"ojs"},{"id":769,"value":"dot`\ndigraph {\n\n rankdir = LR;\nnode [shape = doublecircle]; \"Assessment\" \"Dispute Resolution\" \"Compliance\" \"Closure\";\nnode [shape = doublesquare];\n\"Assessment\" -> \"complainant(s) and company choose DR\" -> \"Dispute Resolution\"[ label = \"1\" ]\n\"Assessment\" -> \"complainant(s) choose DR; company chooses Compliance\" -> \"Compliance\"[ label = \"2\" ]\n\"Assessment\" -> \"complainant(s) choose Compliance; company chooses DR\" -> \"Compliance\"[ label = \"3\" ]\n\"Assessment\" -> \"complainant(s) and company choose Compliance\" -> \"Compliance\"[ label = \"4\" ]\n\"Assessment\" -> \"complaint withdrawn\" -> \"Closure\"[ label = \"5\" ]\n}\n`","pinned":false,"hidden":false,"mode":"ojs"},{"id":734,"value":"md`### Dispute Resolution`","pinned":false,"hidden":false,"mode":"ojs"},{"id":664,"value":"$32","pinned":false,"hidden":false,"mode":"ojs"},{"id":706,"value":"md`### Compliance`","pinned":false,"hidden":false,"mode":"ojs"},{"id":348,"value":"$33","pinned":false,"hidden":false,"mode":"ojs"},{"id":381,"value":"md`---`","pinned":false,"hidden":false,"mode":"ojs"},{"id":908,"value":"md`## Composing a Decision Map`","pinned":false,"hidden":false,"mode":"ojs"},{"id":921,"value":"md`\nHere's the complete CAO case-handing process for our 'data model'.\n`","pinned":false,"hidden":false,"mode":"ojs"},{"id":903,"value":"md`**Graphic Detail of CAO's Case-Handling Process**`","pinned":false,"hidden":false,"mode":"ojs"},{"id":790,"value":"$34","pinned":false,"hidden":false,"mode":"ojs"},{"id":923,"value":"md`\nBringing this all together, let's list out all the attributes we'll need to express this model.\n`","pinned":false,"hidden":false,"mode":"ojs"},{"id":256,"value":"md`\nOur collective list of descriptive data point on IAM case-handling processes currently comprises [${iam_attributes.length} attributes](https://observablehq.com/@aaronkyle/iam-case-handling-attributes).\n`","pinned":false,"hidden":false,"mode":"ojs"},{"id":124,"value":"iam_attributes = Object.keys(iam_data[0])","pinned":false,"hidden":false,"mode":"ojs"},{"id":72,"value":"iam_attrubtes_descriptive = iam_data[0]","pinned":false,"hidden":false,"mode":"ojs"},{"id":559,"value":"md`---`","pinned":false,"hidden":false,"mode":"ojs"},{"id":556,"value":"md`## Appendix`","pinned":false,"hidden":false,"mode":"ojs"},{"id":61,"value":"data_url = \"https://docs.google.com/spreadsheets/d/e/2PACX-1vQOJQag22Qyn48CyTUuqWCyZkc970keBEHIn6nbGSSW2Y6QFr-FHFjc9YqUN2kAHTgYimHVyIOaVrk8/pub?gid=2055378148&single=true&output=tsv\"","pinned":false,"hidden":false,"mode":"ojs"},{"id":65,"value":"iam_data = { // this is a JS Array of Objects; the key-value pairs consist of the column headers and the cell data\n let iam_data =[];\n const spreadsheet = await d3.tsv(data_url).then(data => data.forEach(d => iam_data.push(d))); // d3.tsv returns a Promise\n return iam_data;\n}","pinned":false,"hidden":false,"mode":"ojs"},{"id":8,"value":"d3 = require('d3')","pinned":false,"hidden":false,"mode":"ojs"},{"id":133,"value":"import {table} from \"@tmcw/tables/2\"","pinned":false,"hidden":false,"mode":"ojs"},{"id":296,"value":"dot = require(\"@observablehq/graphviz@0.2\")","pinned":false,"hidden":false,"mode":"ojs"},{"id":622,"value":"bootstrap_css = html`css `","pinned":true,"hidden":false,"mode":"ojs"},{"id":624,"value":"bootstrap = require('bootstrap@4')","pinned":true,"hidden":false,"mode":"ojs"},{"id":625,"value":"$$ = require('jquery').then(jquery => {\n window.jquery = jquery;\n return require('popper@1.0.1/index.js').catch(() => jquery);\n})","pinned":true,"hidden":false,"mode":"ojs"}],"files":"$W35","stdlib":"1","titling":"auto"}