Einleitung - ការិយាល័យ ច្រក ចេញ ចូល តែ មួយowso.gov.kh/wp-content/uploads/2012/03/owso-proposal... · Web viewformulate district development

Ministry of Interior

Project Proposal on

One Window Service andOmbudsman

(OWSO)

As September 11, 2008

Table of Contents

1. Sector and Institutional Background of OWSO Project 11.1 Introduction 11.2 Decentralization and Deconcentration (D & D) Policies of the Royal Government of Cambodia 31.3 Administrative Reform in two Pilot Districts 4

2. Project Development Objectives, Key Benefits and Results Framework 82.1 Project Development Objective 82.2 Key Benefits 82.3 Results Framework and Monitoring Arrangements 9

3. Lessons learned and Reflected in Project Design 183.1 Passage of the Legal Framework 183.2 One Window Service Office 183.3 District Ombudsman Office (DO) 203.4 Project Institutional Arrangements 223.5 Training Requirements 233.6 Financing 243.8 New Models of People’s Participation 243.9 Other elements of the District Reforms 25

4. Detailed Project Description 254.1 Component 1: Expansion and Strengthening of the OWSO 264.2 Component 2: Extending and Strengthening the Capacity of the DO 294.3 Component 3: Implementing New Forms of Citizens Participation and Outreach 314.4 Component 4: Monitoring & Evaluation (M&E), and Learning to Ensure High Performance Standards in OWSO and DO 324.5 Component 5: Project Management 34

5. Estimated Project Costs 366. Financial Management 367. Procurement Plan 38

7.1 General Procedures 387.2 Assessment of the OWSO-DOs’ Procurement Capacity 397.3 Procurement Plan 407.4 Prior Review Requirement 408. Timelines 408.1 First Year Implementation Plan 40

9. Institutional and Implementation Arrangements 419.1 Summary of Project Management Structure 41

10. Monitoring, Evaluation and Learning 4510.1 M&E Capacity 4510.2 Monitoring Project Progress and Performance 4510.3 Evaluation and Learning 48

11. Communication Strategy and plan 5111.1 Audiences 5211.2 Objectives 5211.3 Tactics and Tools 5211.4 Monitoring & Evaluation of Communications Strategy 53

12. Participation and Partnership Plan 5312.1 Participation Strategy 5312.2 Partnership plan 54

13. Risk Assessment 5613.1 Reluctance of the Ministries to Delegate Functions to OWSO 5613.2 No incentives for Civil Servants at Sub-national Levels 5613.3 Lack of Staff Capacity 5713.4 Sustainability of the OWSO Operations 5813.5 Corruption in the OWSO 58

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13.6 Lack of Financial Resources 5814. Sustainability Issues and Arrangements 5915. Appendixes 59

Appendix 1: Detailed Budget of the Project 60Appendix 2: List of competences of OWSO in Siem Reap and Battambang 64Appendix 3: Number of Services 65Appendix 4 : Training Program 66Appendix 5: Strategic Communication Framework 69Appendix 6: Risk Management Matrix 72Appendix 7: Good Governance Framework (GGF) 77Appendix 8: Workplan 89Appendix 9: Procurement Plan for 18 Months 91Appendix 10: TORs 93

Position: Curriculum Development Specialist (International) 93Position: District Support Team Advisor (DSTA)-Operations 97Position: District Support Team Advisor (DSTA)-Policy 100Position: District Support Team Leader Grade: B1 103Position: District Support Technical Officer Grade: B3 105Position: DST Administration and Finance Officer Grade: B3 106Position: Consultanf for District Baseline Survey 107Position: Consultant for Client Exit Survey Consultant and DO Audit 115

Appendix 11: Matrix of Legal Requirements and Milestones 2008 124Appendix 12: Financial Sustainability Plan 125

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1. Sector and Institutional Background of OWSO Project

1.1 Introduction

The development in Cambodia in the past years has been encouraging. The political situation is stabile, the democratic structures have been extended (election of Commune Councils), the economy is growing quickly, and the living conditions for the people – at least those in the cities – have improved. But certainly most importantly, since 1998, there has been peace in Cambodia.

Still, this encouraging news is faced with deficits in other areas such as in health care, schooling and education and environmental protection.

The deficits in the public administration are particularly serious. The administration has a centralized structure and is bureaucratic and non-transparent. Simple administration procedures such as the registration of advertising signs, automobiles, and small businesses take disproportionately long, the procedures are barely comprehensible, and the fees that are charged for the services are not transparent.

The democratic structures are underdeveloped. Forms of people’s participation – aside from the election of the parliament - exist only on the communal level. Still the competencies of the commune councils are marginal. The ministries and the provinces decide on larger investments without the citizens being informed prior to the decision. The district administrations are primarily responsible for security and order; they have no influence over decisions that have to do with the economic and social development of the districts.

The quality of governance, including control of corruption, has a significant impact on economic growth and poverty reduction. This correlation has been comprehensively documented by studies in all parts of the world. Good governance and human rights have been ranked as important requirements for development and the reduction of poverty and their correlation has been acknowledged at international conferences (Ex: World Summit on Sustainable Development in Johannesburg) or in international declarations (Ex: UN Millennium Declaration). “Without ‘good’, or at least ‘good enough’, governance the fight against poverty cannot be won. Whether states are effective or not – whether they are capable of preventing violent conflict, fulfilling human rights obligations, helping business grow, and delivering essential public services to their citizens – is the single most important factor that determines whether or not successful development takes place.”1

There are varying opinions as to what is encompassed by the term “good governance.” The OECD describes the term as follows: Good governance has eight major characteristics. It is participatory, consensus oriented, accountable, transparent, responsive, effective and efficient, equitable and inclusive and follows the rule of law. It assures that corruption is minimized, the views of minorities are taken into account and that the voices of the most vulnerable in society are heard in decision-making. The World Bank adds the following criteria: Voice and Accountability, Political Stability and Absence of Violence, Government Effectiveness, Regulatory Quality, Rule of Law and the Control of Corruption

1 Governance, Development and Democratic Politics - DFID’s work in building more effective states, 2006

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Based on the World Bank’s criteria for good governance, Cambodia ranks as follows:

Voice and Accountability

Political stability/no violence

Government Effectiveness

Regulatory Quality

Rule of law

Control of corruption

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In comparison to other countries in East Asia, Cambodia also does not rank well in the area of good governance. It is only in Laos that good governance is even less developed as in Cambodia.

Government Effectiveness, Comparison across some Asian countries 2

Country Year Percentile Rank(0-100)

MALAYSIA 2005 80.4KOREA, SOUTH 2005 78.9VIETNAM 2005 45.0INDONESIA 2005 37.3CAMBODIA 2005 18.7LAOS 2005 12.0

1.2 Decentralization and Deconcentration (D & D) Policies of the Royal Government of Cambodia

Reforming the still largely centralized administration is the most important requirement to building a citizen friendly, transparent, and efficient administration. This is also the evaluation of the Cambodian government. Directly after the formation of the government in 2004, Samdech Prime Minister Hun Sen presented the Council of Ministers with the “Rectangular Strategy for Growth, Employment, Equity and Efficiency” (July 2004). The core of this strategy is to reduce the deficits in the area of good governance.

In the National Development Plan, which was passed in December 2006, it was stated that “[t]he reform of the Administration is a core governance strategy. The goal is to make Administration a potent instrument of public policy and make it more effective, efficient, neutral, transparent and responsive, to serve people better. With the foundations in place, the task ahead is to deepen and broaden reform processes to target poverty reduction while being sustainable. … Public services will become less bureaucratic, more effective, accessible and transparent through implementing a mix of tools such as One Window offices. The capacity of people and institutions within the Administration will be developed urgently to uphold principles of good governance and to improve performance. The gradual automation of management and service delivery processes through information technology will be continued to enhance the quality of transparency of public services.”3

In June 2005, the government passed the “Strategic Framework for Decentralization and Deconcentration Reforms” in which it was sketched out for the first time how the competencies between the authorities on national, provincial, district, and commune level should be distributed.

In October 2006, the Ministry of Interior published the “Preliminary Draft Organic Law on Sub-national Democratic Development” in which, among other things, it was stated:

All sub-national levels will receive a directly or indirectly elected council; The councils should be delegated substantial functions, among other things, the

responsibility for local facilities and institutions, for the infrastructure, and for public services;

The necessary funding and personnel for these tasks will be made available to the councils;

2 World Bank http://info.worldbank.org3 National Development Plan 2006 - 2008

http://info.worldbank.org/

The councils are required to operate in accordance with good government principles. The districts will be redefined. The goal is to create urban and rural districts. They should

receive different competencies and responsibilities.4

During the last quarter of 2007, the draft organic law was discussed through many rounds of consultations with all stakeholders. The input of these consultations was taken into consideration in preparing the final draft.After internal consultations by the National Committee for Decentralization and Deconcentration the final draft was presented in February 08 to the Council of Ministers for review and to the national Assembly by the end of March 2008. Once the law is adapted the preparation to implement the law will begin. Election of the Councils at District and Provincial levels will take place within the first year after the law has been passed by the National Assembly.

The One Window Service Office will continue to be one of the District offices under the management of the District administration and as such there will not be major changes due to the Organic Law.With the establishment of the new District Councils, the lines of responsibility and accountability of District Administration will change. The services provided through the OWSO by the various Line Department staff will also remain the same, however due to the law and depending on delegation of functions and personnel to the District; the management of the provided services by the OWSO will likely be changed. This however will all be regulated in the sub-legislation of the Organic Law.

During the pilot period of the OSWO in Battambang and Siem Reap, the District Ombudsman reported to the District Administration and the interim District Committee, which was established by MOI Prakas with special delegated functions. With the establishment of the District Council, sub-legislation will indicate the role of the District council and administration regarding the lines of accountability of the District Ombudsman.

1.3 Administrative Reform in two Pilot Districts

The Ministry of Interior’s outline for the Organic Law has been influenced by the experience gathered in Siem Reap and Battambang, the two pilot districts in Cambodia where a reform of the district administration was implemented. The districts in Cambodia, regardless of whether they are rural or urban, have very limited competencies. According to the Prakas 348 from March 16, 2000, the districts are responsible for, among other things, order, social affairs, environmental protection, and statistical surveys. But they do not have real decision-making authority, and public services are performed almost exclusively by the province and the respective ministries in Phnom Penh.

This is different in Battambang and Siem Reap. The pilot project in these two districts intended to strengthen the urban districts/towns of Battambang and Siem Reap as urban self-administration models. This included measures to introduce better public service delivery and to establish an institutional framework for transparent administration, participation of the people and interaction with citizens.

These completely new district administrations in Siem Reap and Battambang were constructed with the financial support of the European Union. The project was conducted by the Rhein-Sieg-Kreis (Germany), the City of Spoleto (Italy), the Konrad-Adenauer-Foundation in Cambodia, and BBJ servis, a German NGO specializing in the application and execution of projects. The first phase of the project was from: December 2001 – March 2004, the second phase: December 2004 – November 2007. The project has since been extended till March 2008, before which a final evaluation will be conducted.

4 Presentation of Ministry of Interior, October 4, 2006

The legal basis for these two districts was created with the approval of Decision 47 in June 2003. In addition, the Ministry of Interior has passed several Prakas regarding the Ombudsman (790), the structure of the new administration including the District Council (791), and the OWSO (792).

1.3.1 The Role and Tasks of the new District Administration

According to this Decision 47, it is the task of the administration to: promote good governance deliver public administrative services, which citizens, enterprises or companies need in

their daily life in a transparent way formulate district development planning with people’s participation coordinate and support all the communal councils in the District Enhance the effectiveness of the implementation of all national policies and all programs

of ministries and departments of the royal government.5

In addition, the districts are expressly charged to act as an experimental centre of the provinces, to meet the local demand and deliver public services to the locals.6

In implementing the pilot project the two districts shall be delegated with such power as to direct and/or to coordinate and /or to promote and/or to supervise the formulation of

master plan, land use planning, and all constructions as approved to build, repair and maintain roads to control traffic circulation to register vehicles, to issue licenses and permits to commercial and service companies and to small and

medium handicrafts, to handle educational, social, cultural and health care affairs to conduct civil registration or certify all documents and all photocopied papers.7

In order to respond to this new mandate a number of reforms have been introduced in the pilot districts such as (a) setting up of a “District Council“ consisting of representatives from all commune councils in the district, (b) establishment of a Citizen’s Information Office, (c) creation of District Spokesperson position, (d) introducing a participatory planning process for developing a ‘District Master Plan’ for development, and (e) various forms of capacity building for the District Administration and Council and introduction of various forms of ‘peoples participation’ for district governance. The two most prominent elements of the reform are, however, the setting up of the One Window Service Office (OWSO) and the introduction of the District Ombudsman’s office.

1.3.2 The One Window Service Office (OWSO)

The most visible and well-known result of the district reform is the OWSO that has made a name for itself well beyond the borders of the two districts. The OWSO, as the name suggests, is a single office for delivery of certain administrative services commonly required by citizens and small business at the local level. It consists of a ‘front office’ for interacting with citizens, giving out forms and collecting documents, and a ‘back office’ which consists of ‘competent agents’ who are delegated here from the 6 line ministries that have transferred functions to the OWSO. 8 The OWSO provides around 30 different services among others the

5 Decision 47, Article 36 Decision 47, Article 37 Decision 47, Article 48 The six services reflect the competencies delegated to the OWSO under the RGC decrees from six ministries/departments – (i) Commerce, (ii) Public Works and Transport, (iii) Tourism, (iv) Industry, Mines and Energy, (v) Culture and Fine Arts, and (vi) Land Management and Urban Planning.

registration of motorbikes, small shops and licenses for constructions for houses up to 500 square meters.9 The OWSOs in Siem Reap and Battambang have been in operation since early 2005

The thing that makes the OWSO unique in Cambodia is that the fees for the various services are transparent and are publicly displayed for all to see in the OWSO and the service is provided in a timely and consistent manner. This is markedly different from the old structures in these districts, and the system that exists in other districts of Cambodia, where there is no transparency of fees, and the majority of citizens and small businesses have to pay hefty unofficial fees and wait long periods to obtain the licenses and registrations required by law.

From evaluations done on the OWSO, it is clear that, despite some shortcomings, the offices are run efficiently and are greatly appreciated by citizens. As a result, there is a high degree of support and satisfaction from users for the OWSOs as picked up in mid-term evaluation of the pilot programs done by the Konrad Adenauer Foundation showed high rates of satisfaction amongst customers:

In response to the question of how the service in the OWSO was delivered, the customers answered:Very good 30.8 PercentGood 55.8 PercentAverage 13.4 Percent

In response to the question of how they were addressed by the OWSO employees, the customers answered:Very friendly 57.7 PercentFriendly 40.3 PercentUnfriendly 1.9 Percent These were further confirmed by the internal evaluation of the pilot programs done by the Ministry of Interior, as well as a set of independent ‘citizen’s forums’ on the OWSO undertaken by the Center for Social Development – a Cambodian NGO. Appendix-3 presents some statistics from the two OWSOs.

1.3.3 The District Ombudsman (DO) Office

The District Ombudsman (DO) was another important institution introduced in both pilot districts as part of the reforms. The DO is responsible for taking, and when possible, resolving complaints and conflicts of the citizens about the district administration; monitoring that the concerns of the citizens are served in line with laws and rulings; fighting corruption and building a good relation between businesspeople and the administration. In both districts a DO was selected by an Election Committee of the District Councils. It is a special committee of the District Council; it consists of 10 Members of the District Council, 3 Representatives from the local business people and 3 representatives from local NGOs.

Locally referred to as the “Citizen’s Office”, the DO has so far not been as successful as the OWSO in terms of attracting attention and citizen interaction. However, that being said, the internal evaluations by the MOI suggest that the DO remains a worthwhile innovation that carries significant potential if invested in (see Lessons Learnt section later on some solutions to strengthen the DO). The DOs have created a mechanism to strengthen transparency, to curb corruption, and to build up trust of citizens in the district administration. Further, there presence has indirectly played a big factor in ensuring the efficient and transparent running of the OWSOs themselves.9 Appendix 2 provides a list of the services covered in the OWSO, while Appendix-3 provides some statistics on the OWSOs.

1.3.4 Achievements and Links to DFGG

The innovations tried in the pilot district administrations fulfil many important criteria, which are set for good governance: The administration is accountable: District governors, their deputies, and the administration no longer operate behind closed doors; they must inform citizens about all important decisions, which affect the district.

The district administration is transparent: Decisions of the administration are publicized in the local media and on the information boards in the OWSO. In addition, the citizens are informed of the development of the district in an annual citizen’s assembly.

The citizens have a voice: They can participate in the public meetings of the district councils; thanks to the weekly citizen’s hour, they can directly address the district governor; in the DO they have a contact point when they are dissatisfied with the decisions of the administration.

The citizens receive better service: small businesses, restaurants, guesthouses, and mopeds can be registered non-bureaucratically and comparatively quickly. This means that at least portion of the public services has been organized so that it is effective and citizen friendly.

Corruption has been repressed: The fees for the services that are available in the OWSO are posted where all can see; the working procedures in the OWSO are organized so that there is no opportunity to charge “extra money”.

In other words, the new district administrations in Siem Reap and Battambang, including the OWSO and the DO exemplify various principles that underlie the DFGG project. The OWSO responds to DFGG by improving the efficiency, quality, and transparency of delivery of certain administrative services to citizens; while the DO office mediates DFGG by creating an avenue for feedback and dialogue between the public and public officials at the district level. The People’s Participation Measures help to promote and monitor DFGG by encouraging dialogue and feedback, transparency of district government policies and decisions, and participatory planning.

Based on these results, the Ministry of Interior’s working group, which is preparing the DFGG project, has submitted, among others, the following suggestions:

a) Continue the ongoing of the pilot project in Siem Reap province’s Siem Reap district and Battambang province’s Battambang district after the project of Asia-Urb is ended.

b) Extend the system to at least to one district/khan in each of the provinces/cities in Cambodia. For the extending to the districts/khan, the Royal Government of Cambodia must prepare the buildings of OWSOs, the pilot district/khan administrative management system, and human resources like the implementation in Siem Reap and Battambang districts.

c) Because the pilot project is prepared for implementing in both populated and rural districts, the preparation of the district/khan administrative structure must be done in accordance with the economic situation and the practical service needs of the citizens of each district/khan with effectiveness and transparency.

d) Coordinating with ministries and institutions concerned in order to overview the involved power delegation and the public administrative service providing so that they are fixed in accordance with the practical situation of each district/khan in both type and scale that are delegated; fixed in accordance with citizens’ service needs; and fixed in accordance with the capacity of the district administration staff and the technical agents.

e) In order to extend the pilot project to other districts/khan, the Ministry of Interior must ask permission from the Royal Government to make a decision based on article 19 of the decision No 47 dated June11, 2003 on the structure and management system of Siem Reap province’s Siem Reap district and Battambang province’s Battambang district.

The proposed component in the DFGG project outlined below responds to these recommendations.

2. Project Development Objectives, Key Benefits and Results Framework

2.1 Project Development Objective

The objective of this project is to strengthen demand for good governance in selected districts in all provinces in the country by (a) responding to the needs of citizens and small businesses for certain administrative services to be delivered in an efficient, transparent, and accountable manner, (b) providing an avenue for mediating complaints and concerns of citizens and small businesses regarding the district administration, and (c) promoting awareness and participation of citizens in decisions, policies, and programs of district governments. It will achieve this objective through: Establishment of a well functioning OWSO in one urban district of each province (likely

the provincial capitals) of Cambodia (except Phnom Penh) and one pilot rural district in the country that will provide citizen friendly administrative services in a professional, efficient, transparent and corruption free manner,

Setting up of a DO office in each of the above districts to provide opportunities for citizens to voice concerns, complaints and ask for clarifications to a neutral and democratically elected mediator between them and the District Government,

Delegation of a wide range of appropriate services to the OWSOs, and enhancing the mandate and powers of the DO, and

Introduction of a range of citizen’s participation and information mechanisms such as annual citizen’s forums, an OWSO website, monthly office hours with the district governor, and quarterly business and community representative forums in each of the target districts.

2.2 Key Benefits

The project is a key building block in the overall D&D strategy of the Royal Government of Cambodia (RGC). As the description of the institutional background shows, the Strategic Framework for D&D of the RGC has heavily drawn from the experience of the two pilot districts where the district reforms including the OWSO, DO, and People’s Participation measures were introduced. Now, depending on when the Organic Law on D&D is passed, the expansion of this project component will either provide a framework for further guiding its preparation or be the initial program in implementation of the Law at the district level. Either way, the project will provide a model of citizen friendly, transparent and accountable service delivery at the district level that will pave the way for further D&D reforms of the RGC.

The project will have a number of beneficiaries. These include:

Citizens: All citizens of the selected districts/khans profit very directly from better service from the administration, increased transparency and more possibilities to make themselves heard by the administration. Given the non-transparent and inefficient situation of service delivery in urban districts at present, the positive effects of the OWSO should arrive immediately upon its opening. Citizens of the districts where the OWSOs are opened will have an avenue to

avail of certain administrative services in an easy manner with full knowledge of the process and the official fees involved – something that is not the current norm in Cambodia.

Small Businesses: Likewise, the owners of small businesses, workshops, restaurants, and guesthouses benefit in particular. They can register their businesses quickly and without trouble in a well-functioning OWSO. The Ombudsman also shows his value quickly even if it takes some time before the citizens ask him directly for help. His random inspections of the OWSO, alone, guarantee that the rules of the OWSO are abided by.

Local Authorities: Beneficiaries are also the local authorities in the districts/khans who receive these new structures. They get more competencies that they can administer in the interests of their citizens. They will be thoroughly trained in their new responsibilities, and when they fulfil their responsibilities well, they will notice the satisfaction of the citizens.

Civil Servants at different levels: The civil servants at different levels will also get a benefit. At the district/khan level, the district civil servants will be prepared under the framework of the DFGG project for the new tasks and they will receive a performance incentive according to their work in the OWSO. The staff at the national level in MoI, who will constitute the ‘district support team’ that will manage the project will improve their skills among others in project management, monitoring and evaluation and financial management. The civil servants of the provincial administration get an indirect benefit. In the long term, they will be relieved of service tasks and can concentrate on the coordinating responsibilities of the province.

RGC: Finally, the project also draws benefits at the RGC level as well. This is because, with the introduction of a transparent OWSO model for delivery of district level administrative services, the likely motivation of citizens and small businesses to abide by registration and licensing laws is expected to go up (through easier and non-corrupt procedures). In this way, the RGC is likely to get more revenue through the delivery of these local administrative services than it is getting at present through the ad hoc system where records of fees and procedures are not clear.

2.3 Results Framework and Monitoring Arrangements

The following results framework summarises the project’s development objective and the intermediate outcomes for each project component. The framework also identifies key quantitative indicators for each of the expected outcomes. It should be noted that additional qualitative indicators have been identified for expected outcomes and impacts (see Section 10: Monitoring, Evaluation and Learning). The outcome indicators are separated into two categories – (i) those that will be used for aggregating overall project results by the PCO (core indicators), and (ii) those that will be used by the DST for its own management and reporting (OWSO-DO Specific Indicators).

Table 1: OWSO Results Framework Development Objective Summary Outcome Indicators10 Use of results informationThe objective of this project component is to strengthen DFGG in selected districts in all provinces in the country by (a) responding to the needs of citizens and small businesses for certain administrative services to be delivered in an efficient, transparent, and accountable manner, (b) providing an avenue for mediating complaints and concerns of citizens and small businesses regarding the

1. % of OWSO and DO office staff that report an increased effectiveness of their offices

2. % of targeted experts reporting an increased effectiveness of the OWSO and DO offices

3. % of citizens in targeted districts giving high satisfaction rating on quality and performance of the OWSO and DO offices

To evaluate the effectiveness of project support to the public in the target districts (evaluation information to improve OWSO/DO performance and to plan future initiatives/interventions).To learn lessons on the most effective means to promote social accountability at the district level.Further, to help in project management and for deciding on

10 While these summary indicators give a snapshot of the results of the OWSO-DO project, the NCDDS/DST monitoring and reporting is expected to present these along with all the detailed indicators at the component level as well to give a full sense of the outcomes achieved.

Development Objective Summary Outcome Indicators Use of results informationdistrict administration, and (c) promoting awareness and participation of citizens in decisions, policies, and programs of district governments.

incentives and remedial actions.

Outcomes for each Component Outcome Indicators for each Component Use of Outcome Monitoring for each Component

Component-1: Expansion and Strengthening of One-Window Service Office:Objective: To respond to the needs of citizens and small businesses in targeted districts for certain local administrative services to be delivered in an efficient, transparent and accountable manner through the opening of OWSOs). More accessible administrative

services.

Reduced graft and corruption in provision of administrative services.

Increased public trust and confidence in administration services offered at OWSO (transparency/accountability etc).

More cost effective OWSOs

1. Number of citizen service delivery transactions completed in OWSOs across targeted districts (total and by type)

2. % of clients satisfied with quality of services provided at OWSOs across targeted districts

3. Average cost recovery ratio (in %) of OWSOs (i.e., service fee revenue as proportion of operating costs)

4. No. clients served at OWSOs

5. No. of new and extended competencies available at OWSO

6. No. cases of unofficial fees demanded

7. Lower (unofficial) Costs in accessing administrative services

8. Faster time to clients in accessing administrative services

Studies and reports covering indicators will be reviewed and discussed by PST, TAG, DST, the specific OWSO and at public and citizen’s forums. Appropriate actions will be recommended and taken as needed to improve outcomes and project performance.Where available, outcome indicator information will be included in Quarterly and Annual Progress Reports to DFGG/RGC and donors (IDA).

Component-2: Extension and Strengthening of District Ombudsmen:Objective: To providing an avenue for mediating complaints and concerns of citizens and small businesses regarding the district administration through the election of a neutral District Ombudsman in targeted districts. Easier avenue for citizens to

raise concerns/complaints.

Improved government responsiveness in provision of administrative services.

1. Number of local disputes or complaints received and mediated by DOs across all target districts

2. % of local disputes or complaints successfully resolved by DOs across all target districts (where possible/feasible)

3. % of OWSO clients filing complaints to DO related to graft and corruption

Studies and reports covering indicators will be reviewed and discussed by PST, TAG, DST, the specific DO and at public and citizen’s forums. Appropriate actions will be recommended and taken as needed to improve outcomes and project performance.Where available, outcome indicator information will be included in Quarterly and Annual Progress Reports to DFGG/RGC and donors (IDA).

Component-3: Introduction of New forms of citizen’s participation:Objective: To promote awareness and participation of citizens in decisions, policies, and programs of district governments by making them more transparent through the provision of new information channels for the citizens and new measures for people’s participation. Strengthened community

participation in administrative reform.

Increased accountability of government agencies at the local level.

Greater awareness and faith of citizens in the district administration

1. % of citizens aware of local administration and services, and existence of OWSO, and DO (once established) in targeted districts

2. % of citizen and business representatives reporting high value/relevance of information on local administration, OWSO, and DO shared through people’s participation measures in targeted districts

3. Numbers of participants attending (by socio-economic group, sex etc) the annual citizen forum and semi-annual public forums.

4. Number of people attending monthly district governor citizen’s hours

5. Accountability perception rating scales/scores by both senior government staff and civil society representatives

Reports on indicators will be reviewed and discussed by PST, TAG, DST, District Administrations and public forums. In conjunction with qualitative information, the indicators will facilitate learnings on the effectiveness of participatory approaches in social accountability. Outcome indicator information will be included in Quarterly and Annual Progress Reports to DFGG/RGC and donors (IDA).

Component-4: Monitoring & Evaluation (M&E), and Learning to Ensure High Performance Standards in OWSO and DOObjective: To ensure that a continuous process of ‘learning by doing’ is embedded in project design so as to ensure that the OWSO and DO offices maintain high business standards for performance.

Development Objective Summary Outcome Indicators Use of results information A process of continuous

‘learning by doing’ is promoted across OWSOs and DO offices

High business standards are maintained at OWSO and DO offices

1. NCDDS/DST introduces independent monitoring of OWSO and DO offices through NSAs

2. NCDDS/DST and individual OWSOs and DOs use independent monitoring through NSAs to take management and/or corrective actions

This will be tracked to ensure that the project wide objectives of strengthening independent monitoring are being achieved. DST to use data from this for corrective actions in individual OWSO and DO offices.

Component-5: Project Management Objective: To ensure effective management of the project, with increased institutional capacity and effectiveness, as well as greater participation and partnerships. Increased institutional capacity

at OWSO and DO offices

Partnership approaches to functioning are introduced to ensure continuous dialogue and feedback with local community

Partnerships established under the project are effective and continue after the implementation period ends

1. % of DST, OWSO and DO office staff that report an increased understanding and institutional capacity to undertake their functions

2. % of targeted experts that report an increased institutional capacity of the OWSO and DO office to undertake their respective functions

3. Number of partnerships between DST/OWSO/DO and other SIs and NSAs established under the project

4. % of relevant stakeholders (including DST/OWSO staff, DO, partner agencies involved, donors, etc.) rating high effectiveness of the partnerships established under project

5. Number of new or existing partnerships for which DST/OWSO/DO (i) expresses interest, (ii) makes a concrete plan, and (iii) takes the first steps to continue engagement beyond life of project.

6. NCDDS/DST (i) expresses interest, (ii) makes a concrete plan, and (iii) takes the first steps to undertake new or continue existing DFGG activities beyond the life of the project.

Data will be used by NCDDS/DST and by the PCO as basis for assessing need and performance of capacity building programs for the OWSO and DO. Partnership data will be used to enhance dialogue between Sis and NDAs.

Table 2: OWSO Results Monitoring Arrangements11

Indicators BaselineTarget Values Data Collection and Reporting

YR1 YR2 YR3 YR4 Frequency and Reports

Data Collection Instruments Responsibility for Data Collection

Summary Outcome IndicatorsCore Indicators (to be aggregated at the overall DFGG project level)

1

% of OWSO and DO office staff that report an increased effectiveness of their offices

To be calculated in

pre-impl. Period

- 60% for new districts

- 80% Bi-annual; recorded in applicable

Annual Report

Sample survey of DST, OWSO, and DO office staff and ratings from KIIs and FGDs

PCO in MOI through contracted NGO/ firm/research institute

2

% of targeted experts reporting an increased effectiveness of the OWSO and DO offices

To be calculated in

Yr2

- 40% - 60% Bi-annual; recorded in applicable

Annual Report

Sample survey of D&D experts, donors (e.g. GTZ, UNCDF, DFID, etc.) and NSAs using KIIs and FGDs.


3

% of citizens in targeted districts giving high satisfaction rating on quality and performance of the OWSO and DO offices

To be calculated in

YR 2


Annual report

Mid-term & end term (citizen report card) surveys in sample of targeted districts. Data from clients will be collected separately thorugh the annual exit surveys at each OWSO (see below).

NGO/research firm contracted by NCDDS

Outcome Indicators for Each Component Component-1 : Expansion and Strengthening of One-Window Service Office: Objective: To respond to the needs of citizens and small businesses in targeted districts for certain local administrative services to be delivered in an efficient, transparent and accountable manner through the opening of OWSOs).Core Indicators (to be aggregated at the overall DFGG project level)

4

Number of citizen service delivery transactions completed in OWSOs across targeted districts (total and by type)

6000 transactions

over 2 districts12

60% increase (target 9,600 over 9 dist.)13

50% increase (target

14,400 over 17 dist.)

35% increase (target 19,440

across 24 dist.)

10% increase (target

21,385 over 24 dist.)

Annual compilation from OWSO

reports

OWSO records; aggregated by DST each quarter and then summed up annually

NCDDS (DST) compiles using OWSO officer reports

5 % of clients satisfied with quality of services provided at OWSOs

To be calculated in

YR 114

- 5% increase 5% increase 5% increase Annual; recorded in

Annual

Annual OWSO exit surveys and mid-term and end term evaluation studies (in form of citizen report cards). Exit survey to also ask

NGO/research firm contracted by NCDDS. Tools developed and tested in conjunction with PST

11 Note that not all data collection responsibilities are with the NCDDS/DST or with the OWSO. Instead, several of the core indicators will be collected through an NGO/firm/research institute to be contracted by the PCO in MOI.12 This represent the rounded off value of total transactions in Siem Reap (4673) and Battambang (1235) OWSOs in 2007.. 13 The target values are rounded off figures derived from an assumption of 500 transactions/OWSO for newly created OWSO offices, and a 10% increase in number of transactions in existing OWSOs. The lower target for new OWSOs is due to (a) fact that the existing OWSOs are in relatively big cities by Cambodian standards, and (b) the Siem Reap and Battambang OWSOs have been operational for about 3 years and therefore most citizens are well aware of their existence.14 The pre-implementation phase baseline will, however, measure the satisfaction rate among citizens in districts without OWSOs for services that will be provided by the OWSO once it is set up.




across targeted districts Progress Report

clients to compare situation prior to OWSO and DO regarding their confidence in the same administrative services provided at the various provincial offices of the participating Ministries.

Baseline, mid-term, and end-term evaluations will further collect data on this.

M&E Unit staff. Support provided by the DFGG M&E Adviser.

6

Average cost recovery ratio (in %) of OWSOs (i.e., service fee revenue as proportion of operating costs)

To be calculated for SR and BB

50% 60% 70% 80% Annual; recorded in

Annual Report

OWSO financial records; compiled by DST NCDDS (DST)

OWSO-DO Specific Indicators for NCDDS/DST Management Use

7

No. clients served at OWSOs

To be calculated in baseline

Dependent on district size and characteristics

unquantified increase (as no. services increases & community awareness increases)

unquantified increase


Quarterly compilation and reporting in Quarterly Reports

OWSO records – should register all clients who visit the office

OWSO officers report and DST M&E staff compile

8

No. of new and extended competencies available at OWSO

0 in new20 in SR and BB

20 23 26 29 Annually compilation and reporting in Annually Reports

DST and TAG data and OWSO records OWSO officers report and DST M&E staff compile

9

No. cases of unofficial fees demanded

Baseline plan prior to OWSO start

At least 90% decreased

At least 90% decreased for new

At least 95% decreased for existing

At least 90% decreased for new

At least 97% decreased for existing

100% decreased

Baseline, Mid-term, and End Evaluations

Annual OWSO exit surveys of clients to investigate transparency (no ‘extra fees’)


Annual exit surveys (of 5 days duration) at each OWSO.

Exit survey also to investigate situation prior to OWSO/DO regarding ‘extra fees’ to provide baseline information

Responsible research agency/NGO

Conducted by independent CSO/NGO. Tools developed and tested in conjunction with PST M&E Unit staff. Support provided by the DFGG M&E Adviser.

10 Lower (unofficial) Costs in accessing administrative services

Baseline planned prior to OWSO start

Targets need to be filled after baseline




Bi-annual; recorded in applicable Annual report (some may also be documented






as case studies)

11

Faster time to clients in accessing administrative services

Baseline planned prior to OWSO start





Bi-annual; recorded in applicable Annual report (some may also be documented as case studies)



Component-2: Extension and Strengthening of District Ombudsmen:Objective: To providing an avenue for mediating complaints and concerns of citizens and small businesses regarding the district administration through the election of a neutral District Ombudsman in targeted districts.Core Indicators (to be aggregated at the overall DFGG project level)

12

Number of local disputes or complaints received and mediated by DOs across all target districts

2 over 2 districts

10 over 9 districts

30 over 17 districts



Annual; recorded in

Annual Progress Report

DO records and independent audit by CSO NCDDS (DST) and independent local NGO/CSO

13

% of local disputes or complaints successfully resolved by DOs across all target districts (where possible/feasible)

0% Increase (target 20%)

25% increase (target 25%)



As above DO records and independent audit by local CSO

NCDDS (DST) and independent local NGO/CSO. Methodology

developed and tested in conjunction with PST M&E Unit staff. Support provided by the DFGG M&E Adviser where

necessary.OWSO-DO Specific Indicators for NCDDS/DST Management Use

14

% of OWSO clients filing complaints to DO related to graft and corruption15

0 Less than 10% of OWSO clients filing corruption complaints

Less than 5% of OWSO clients filing corruption complaints



Quarterly compilation and reporting in Quarterly Reports.

DO records

FGDs and Independent Review of DO

DOs report and DST M&E staff compile

CSO/NGO

Component-3: Introduction of New forms of citizen’s participation:Objective: To promote awareness and participation of citizens in decisions, policies, and programs of district governments by making them more transparent through the provision of new information channels for the citizens and new measures for people’s participation.Core Indicators (to be aggregated at the overall DFGG project level)15 % of citizens aware of

local administration and services, and existence of OWSO, and DO (once established) in targeted

To be calculated in

pre-impl. period

30% increase in

new districts

10%

10% increase from Yr2

Bi-annual; recorded in

relevant Annual Progress Report

Baseline, mid-term and end surveys in a sample of targeted districts


15 Note that OWSO hopes that citizens will feel free to make complaints while at the same time it hopes that there will be no graft and corruption to complain about.




districts increase in ‘old’16

districts

16

% of citizen and business representatives reporting high value/relevance of information on local administration, OWSO, and DO shared through people’s participation measures in targeted districts

To be calculated in

pre-impl. period17

5% increase 5% increase 5% increase 5% increase Annual; recorded in

Annual Progress Report

FGDs and KIIs with citizen and business representatives undertaken at the conclusion of annual citizen forum in each targeted district

NCDDS through the NGO hosting the Annual Citizen Forums

OWSO-DO Specific Indicators for NCDDS/DST Management Use

17

Numbers of participants attending (by socio-economic group, sex etc) the annual citizen forum and semi-annual public forums.

# and breakdown of participants in 2 citizen forums (in SR and BB)

Actual # and breakdown of participants




Annual; recorded in Annual Progress Report

DST and PST records (to include no. events, no. participants [disagg], issues raised, resolutions/actions proposed)Key issues, resolutions and lessons will be extracted from district forums to be discussed at national level forum.

DSTs report on district activities, DST on national events and DST M&E staff to compile

18

Number of people attending monthly district governor citizen’s hours

To calculate # and breakdown in SR and BB





Quarterly; recorded in Quarterly Progress Reports

District Governor Office to maintain records for submission to DST and PST noting issues raised, resolutions, follow-up etc.

District Governor Office; DST M&E Staff

19

Accountability perception rating scales/scores by both senior government staff and civil society representatives

Baseline should collect






Annual focus group discussions by independent CBO/NGO and reporting in Annual Progress Reports


Separate focus group discussions (govt & CS) at sample of target districts. Using perception scales /scores of changes in accountability and performance in delivery of admin. & registration services.This may involve a permanent panel approach.

Responsible research agency/CSO

Independent CBO/NGO/contractor.Methodology developed and tested in conjunction with PST M&E Unit staff. Support provided by the DFGG M&E Adviser where necess.

Component-4: Monitoring & Evaluation (M&E), and Learning to Ensure High Performance Standards in OWSO and DOObjective: To ensure that a continuous process of ‘learning by doing’ is embedded in project design so as to ensure that the OWSO and DO offices maintain high business standards for performance.

16 ‘Old’ districts refer to those that have an existing OWSO-DO office.17 This will only be done for the two districts where OWSO and DO offices exist in the pre-implementation period.




Core Indicators (to be aggregated at the overall DFGG project level)

20

NCDDS/DST introduces independent monitoring of OWSO and DO offices through NSAs

0 Yes Yes Yes Yes Annual Working Plans

Agreed in project proposal tracked in Annual Work Plans of the DST

NCDDS/DST

21

NCDDS/DST and individual OWSOs and DOs use independent monitoring through NSAs to take management and/or corrective actions

0 Yes Yes Yes Yes Annual; recorded in

Annual Progress

Report and Annual Work

Plan

Agreed in project proposal tracked in Annual Work Plans of the DST and reports of OWSO chiefs

NCDDS/DST and Provincial ExCOMs

Component-5: Project Management Objective: To ensure effective management of the project, with increased institutional capacity and effectiveness, as well as greater participation and partnerships.Core Indicators (to be aggregated at the overall DFGG project level)

22

% of DST, OWSO and DO office staff that report an increased understanding and institutional capacity to undertake their functions

To be calculated in

pre-impl. period

- 60% for new districts

- 80% Bi-annual; recorded in

Annual Report

Sample survey of DST, OWSO, and DO office staff and ratings from KIIs and FGDs


23

% of targeted experts that report an increased institutional capacity of the OWSO and DO office to undertake their respective functions

To be calculated pre-impl. period


Annual Report

Sample survey of D&D experts, donors (e.g. GTZ, UNCDF, DFID, etc.) and NSAs using KIIs and FGDs.


24

Number of partnerships between DST/OWSO/DO and other SIs and NSAs established under the project

0 TBD TBD TBD TBD Annual; recorded in

Annual Report

Recorded by DST at national level and aggregated from OWSO-DO reports

NCDDS/DST

25

% of relevant stakeholders (including DST/OWSO staff, DO, partner agencies involved, donors, etc.) rating high effectiveness of the partnerships established under project

To be calculated in

YR 2


Annual report

Mid-term and end-term targeted survey, KIIs, and FGDs of staff of involved institutions, experts, and other stakeholders relevant to these partnerships


26 Number of new or existing partnerships for

To be calculated in

- - - Actual Value

One-off; recorded in

Validated through KII with DST management, OWSO and DO

NCDDS/DST




which DST/OWSO/DO (i) expresses interest, (ii) makes a concrete plan, and (iii) takes the first steps to continue engagement beyond life of project.

YR 4 Final Completion Report for

project

representatives, etc. Recorded in final annual progress report

27

NCDDS/DST (i) expresses interest, (ii) makes a concrete plan, and (iii) takes the first steps to undertake new or continue existing DFGG activities beyond the life of the project.

To be calculated in

YR 4

- - - Yes One-off; recorded in

Final Completion Report for

project

End term survey, FGDs, and KIIs, of SI and NSA management and leadership; IA progress reports

PCO in MOI

3. Lessons learned and Reflected in Project Design

The Ministry of Interior’s evaluation from May 2007 and the Midterm Report of the Asia Urbs Project from June 2006 contain a whole series of information that has been considered in the preparation and implementation of the DFGG project in the expansion of the structures of the OWSO and Ombudsman. A summary of the lessons that were learned in the two pilot districts follows as well as some conclusions for the new project.

3.1 Passage of the Legal Framework

The passage of Decision 47 and the Prakas from the various ministries took a total of almost 2 years. This is certainly also related to the fact that following the last national elections, the Cambodian government was not able to act for almost a year. It is, however, also due to the fact that, particularly in the area of delegation of competencies, every little bit was bargained. The original list from the Asia Urbs Project of services that could be delegated to the OWSO was significantly shortened. The consequence was that the OWSO could not be opened in the first phase of the project, but rather in the second.

Recommendations/Modifications included in Project Design:1. Under the new project, the MOI will establish a inter-ministerial ‘Technical Advisory Group’ (TAG – see institutional structure section later) with a specific TOR to address concerns dealing with delays in passage of the legal framework. Along with the proposed District Support Team, the TAG will allow the project to have an ongoing and continuous pressure for speeding legal processes and implementation of require Prakas during the project.

2. Through the TAG, and under the aegis of the National Committee for Management of D&D reforms (NCDD) that houses the project, the MOI will begin work on all Prakas and Decisions that are needed for the start of the project during the pre-effectiveness period itself. These include: a) Decision of the RGC on the introduction of the OWSO and DO in all provincial capitals

(on the basis of Decision 47 from June 2003)b) Prakas of MoI for the introduction of the OWSO in all provincial capitals (on the basis of

Prakas 792 from June 2004))c) Prakas of MoI on the Structure and the Management of the Ombudsman (on the basis of

Prakas 790 from June 2004)d) Revised versions of the 7 Prakas from the different ministries for the transfer of the

already existing services as well as new ones to all OWSOs

3. To make the OWSOs more citizen-friendly and to ensure their sustainability, more competencies should be transferred to the OWSOs in the first project year. For this purpose, the NCDD/DST is working on:a) Different Prakas on the extension of competences that have been already delegatedb) At least three newly formulated Prakas for the delegation of new services to the OWSOs

for the ministries of Health, Education, and Agriculture.

3.2 One Window Service Office

International experience shows that OWSO models of service delivery are expanding to almost every country in the world – be it developed or developing. There are numerous models and innovations that have been applied (such as village kiosks, mobile OWSOs, web-based e-Governance, telephone hotlines, etc…). While not all have been successful (largely because of the delegation of ‘inappropriate’ services to the local level), they have become the preferred mode of service delivery as they greatly simplify and lower the costs of transactions for citizens.

The OWSOs in Cambodia likewise proved successful shortly after their opening. The number of customers who register their mopeds, businesses, and restaurants in the OWSO has continually risen over the past years following some initial difficulties. The income of the OWSO has likewise continually risen. The customers of the OWSO have been accordingly positive in their reception. As already seen, there is a high degree of satisfaction with the functioning of these offices in the two pilot districts.

Still, this good result cannot distract from the fact that the two pilot OWSOs still have some serious deficits. The key ones are summarized below:1) Not genuine ‘one window’ for some service: The concept that citizens can complete a registration in one office has not yet been realized for some services. One example: A restaurant with up to 50 seats can be registered in the OWSO, but the required health and fire safety certificates must be given by the provincial departments. Therefore, prior to coming to the OWSO, the citizen must visit other offices. This fact delays and complicates more than just the issuing of licenses. It also leads to irritation among the citizens, because many come to the OWSO believing that they can complete their entire registration there. Then they must leave empty handed because they do not possess the necessary documents for the registration.

2) Limited Competencies: The Ministries also only delegated very limited competencies to the OWSO due to understandable concerns. Some of these limits need to be examined. Experience has shown that some of these restrictions are impractical.18 They lead to conflicts over competencies between the OWSO and departments, leading to the irritation of the customers. They are not, practically-speaking, useful and are also a reason why the number of customers has remained relatively small.

3) High Staff-Client Ratio: The proportion of OWSO employees to the number of customers is quite high. At the moment, approximately 20 to a maximum of 30 citizens come to the OWSO, while the number of employees is 18 including the Deputy District Governors in charge of the OWSO. This means that a civil servant addresses on average one to two customers per day. This overload of personnel is due to the fact that all ministries, which have delegated services to the OWSO, have sent their specialists to the Back Office and they are exclusively responsible for the services of their ministries. This also leads to significant differences in respect to job requirements. While the specialists from the Department for Public Work and Transport, for example, complete the registration of 4,000 motorcycles, the number of services provided in the area of Commerce is about 120. The overload of personnel in the Back Office and the varying workloads of the employees are economically infeasible in the long run.

4) Delays for some services: Some services just take too long, in particular the registration of mopeds. Main cause: the license plates and ID-cards are made exclusively in Phnom Penh and must be picked up there by the district administration. In addition, there are also several regulations, which unnecessarily prolong the process, in the opinion of the chiefs of the OWSOs. They suggest that the process be evaluated and, where legally possible, simplified.

5) Low fees: The fees that are being charged for the various services in the OWSO are too low. The costs, which are required for the various services, were precisely calculated with the support of the Asia Urbs Project. The results are clear: The fees must be raised in order to cover the costs that are accrued by the OWSO.

6) Irregular Staff incentives: The civil servants in the OWSO are being paid different salaries. Some receive an additional payment (PMG), while others do not. This is objectively not

18 For instance, the limit on the size of advertisements (2 meters squared) that can get clearance through the OWSO requires measurement of each one individually, which adds unnecessary transaction costs. Likewise, the restriction on number of seats for a restaurant that can register in the OWSO is set at 50. Therefore there is no clarity on what happens if a restaurant expands from say 40 seats to 55 seats.

justifiable and in addition, leads to unnecessary conflict in the team. In the future, it is therefore necessary that the salaries be readjusted. They must be comprised of a basic salary plus a premium for performance. The regulations must be transparent and comprehensible to everyone.

7) Lack of Equipment: The OWSOs lack computers, office materials, a second copy machine and motorbikes. The required trips to customers to check the size of restaurants, for example, must be made by civil servants with their own motorbikes. The costs are not reimbursed.

8) Need to Consider Alternative Models for Rural Areas and Phnom Penh: Finally, the experience of the two pilot OWSOs suggested the need to extend some kind of similar innovation in rural districts as well as for a big city like Phnom Penh. Experiences from other countries show that there’s no single model for OWSOs; they must be adjusted to the respective structure of the district. This applies to rural areas with low population density as well as for big cities. Therefore, the OWSO model from Battambang and Siem Reap can neither be simply transferred to rural areas nor to Phnom Penh. While models such as the mobile OWSO can be considered for rural areas, in Phnom Penh some services would have to be de-centralized, others centralized. There are de-centralized OWSOs in comparable European big cities where citizens can receive everyday services, like registering and deregistering one’s address, documents, driver’s licenses etc. But obtaining business licenses or registering your car is organized centrally, e.g. in an automobile admission office.

Recommendations/Modifications included in Project Design:

1. Through the DST and the institutional set up that the project is proposing, there will be a continuous feedback loop to the national level that will allow authorization procedures, transaction times, and inconsistencies for different services to be simplified, reduced, and removed respectively. Independent feedback from civil society and small businesses will also be obtained on a regular basis and these will be looked into by the TAG and DST.

2. As mentioned earlier, the TAG will have in its mandate the regular inspection of the competencies available at the OWSOs. Using the feedback systems included in the project the meetings of the TAG will be used to enhance these over the life of the project (including some enhancements that will be done prior to project effectiveness).

3. To address the staff-client ratio, the project aims to reduce the overall staff of the OWSOs to a total of 16 persons, of which some of the Back Office staff (10 persons) will be recruited part time based on need. Further, during the life of the project, and depending on the passage of the Organic Law, the accountability of the competent agents in the Back Office will be transferred from their Line Ministries to the District Government, which would allow a pooling of their responsibilities as they would become general ‘District staff’.

4. The TAG and DST will be undertaking a periodic review of the service fees of the OWSO and compare this to the costs of service provision to ensure rationalization.

5. Salary incentives will be provided through the project through the accepted mechanisms of the NCDD and will be standard across all OWSOs. These too will, however, be phased out gradually by year 4 of the project.

6. The project will finance a large degree of technical equipment in all OWSOs including computers, motorcycles, photocopiers, etc…

7. Finally, the project will be undertaking separate studies to assess the appropriate OWSO model to apply in rural districts and in Phnom Penh. For the former, a pilot rural district OWSO model will be set up in year 3 of the project.

3.3 District Ombudsman Office (DO)

The election process of the DO is complex, but very democratic. First the Election Committee had to be elected, then the Ombudsman. This was not an easy process, because each of the

members of the Election Committee had the right to name two candidates. In Battambang, there were 16 candidates, in Siem Reap, 5.

The DO has the task to oversee the OWSO and the other offices of the district administration. According to Prakas 790 he/she has to be present for at least 12 hours each week. This way, irregularities should be prevented. This monitoring from the DO of the OWSO has proven successful.

However, as a contact point for general complaints, the DO has not yet been accepted by the citizens. The number of citizens who have come to the DO so far is negligible. In the course of two years, all in all (Siem Reap and Battambang) exactly two cases were registered.

The reasons for this could be complex. A positive interpretation might be: The two districts actually don’t give any reasons for complaints. The services are conducted relatively quickly; extra fees don’t have to be paid. This may be the case for OWSOs.

But more critical reasons probably lie in the fact that:

1. Firstly, many citizens don’t yet know about the DO’s existence. Although leaflets were handed out in both cities and several talk-back radio programs were financed, samples of citizens questioned have shown that the level of awareness is still pretty low. 2. Secondly, the DO is only responsible for complaints about the district administration. To handle other complaints is not under DO’s responsibility. This reduces the citizens’ opportunities to get support from the DO considerably.3. Third, the citizens don’t have the courage to complain about the administration. But since the DO sits in the district administration, and even in the OSWO itself in Siem Reap, it is not possible to visit him unobserved. The possibility that this keeps the people from asking the DO for help cannot be excluded. 4. Fourth, the people don’t believe the DO can help them with a conflict with the administration. That’s why they do without contacting him from the start. 5. Finally, the local name of the DO, viz. “Citizen’s Officer” is ambiguous in the Khmer language. It is not expressed clearly that he represents a contact point for complaints.

Recommendations/Modifications included in Project Design:

a) Given the strong potential of the DO, and the indirect role that they have played in ensuring the efficient running of the OWSOs, the institution will be included in the proposed Project. However, in order to strengthen their capacity, an expanded set of responsibilities and roles will be included in their mandate (as described below). Further, a mid-term evaluation of the DO will be undertaken to see if the institution requires more changes and improvements or whether it should be disbanded altogether.

b) The DO will receive their own office, if possible at a neutral place under the Project so that they are seen as independent of both the District Administration and the OWSO.

c) The Prakas on the DO will be modified to include within their mandate the right to accept all complaints against other public facilities at the district level (beyond the OWSO).

d) The title of the DO will be changed to becoming the “Citizens’ Adviser”. In this enhanced role, the DO will not just be a recipient of complaints, but will become a source of information for citizens can about important laws and decisions of the district administration.

e) The DO will become the mediator between the administration and society at large. Their mandate will therefore include pro-active outreach to NGOs, commune councils as well as the responsibility to take on an active role in setting up the new participation possibilities for the citizens being introduced in the project.

f) Additional communications strategies for the DO will be included within the project, including through the ‘Talk Back Program’ of the Radio National Kampuchea.

g) Finally, through support from the Provincial ExCom and the DST, the DO will be linked to other accountability measures at both the commune and provincial levels.

3.4 Project Institutional Arrangements The EU co-financed Asia Urbs Project had a simple and non-bureaucratic project structure: A consortium of six partners from Europe and Cambodia was charged with the complete realization of the project (preparation, implementation, finance management, monitoring, and evaluation). Parallel to this consortium, the Ministry of Interior appointed a Provincial Coordination Committee (PCC), which coordinated the implementation of the reforms, solved problems, and set forth suggestions for improvements. All ministries, which delegated competencies to the OWSO, were represented in the PCC, as well as the district governors of the pilot districts and their deputies (in charge of the OWSO) and the head of the OWSO. The chairman of the PCC was the provincial governor or one of his deputies.

Arrangement of the Asia Urbs Project

Strengths of this Arrangement:

The preparation of the legal framework and the negotiations with the ministries were completely in the hands of the TCO. This meant that the project was always appraised of the current status; there were no cases of loss of information or coordination problems; this also strengthened the negotiating position opposite the ministries.

Through the PIOs in the two districts, very good and close cooperation was formed with the districts, problems were quickly identified and, wherever possible under the authorization of the project, these problems were solved. This is how it happened that, among other things, additional trainings had to be quickly organized prior to the opening of the OWSO in order to make it functional. The PIOs at the same time guaranteed that the scheduled activities, for

Technical Implementation Office (TCO) in Phnom PenhPreparation of legal framework, development of concepts on OWSO and the new structure of the administration; cooperation and negotiations with the ministries; coordination of all project activities in Cambodia;; financial reports on expenses in Cambodia;

Consortium(Six partners from EU and Cambodia)Responsible for coordination of activities in Europe, monitoring and evaluation, financial management and reporting to the EU

Project Implementation Office (PIO) in Battambang and Siem ReapCoordination of all activities in the districts; close cooperation with district administration and province

EU

MoI and other ministries

Provincial Coordination Committee

District Administration

example the election of the Ombudsman, were also executed. They also helped the districts to master these new responsibilities. Without these follow-ups by the PIOs, and without their support, all of these processes would have taken much longer.

Weakness of this Arrangement On the national level, there was a lack of effective coordination. The PCC made an effort, especially with the initial technical questions, but the representatives of the ministries and the provinces do not have any decision-making authority. Therefore, the coordination was always very, very slow.

Suggestions for improvement from the districts were largely positively received by the PCC. They were not, however, put into practice. These were primarily suggestions to remove unrealistic and impracticable restrictions, to delegate new services to the OWSO, and to solve the financial problems of the OWSO.

Further, the pilots did not establish a sustainable basis for scaling up through the MOI. Since project activities were undertaken by an independent executing agency there was no significant capacity built at the national level to implement the project. The significant international TA costs also added to the overall budget of the pilots.

Recommendations/Modifications included in Project Designa) In view of the above weaknesses, the proposed project will be managed ‘internally’ by the

MOI under the aegis of the NCDD. A separate District Support Team (DST) consisting of permanent staff of the MOI along with technical consultants would be in-charge of policy/technical aspects of project implementation, while the Program Support Team (PST) in NCDD and the Provincial Executive Committees (ExCom) would be in charge of support functions (like accounting, procurement, and contracting) at the National and Provincial levels respectively.

b) A separate Technical Advisory Group (TAG) composed of high-level representatives (at least Deputy General Secretary) from the line ministries, which delegate competencies to the OWSO, is also being set up as mentioned earlier.

c) Additional ExCom staff at the provincial level will also be included to monitor day-to-day activities and management issues of the OWSOs. Partnerships with local CSOs and NGOs will also help to ensure smooth functioning of the institutional structure.

3.5 Training RequirementsThe demand for training is high and the know-how of the civil servants from the classic Cambodian district administrations is limited. These training requirements are related to the question of how the services should be executed, and on the basis of good governance, goals for Cambodian D & D politics, etc. This is also true for the civil servants in the provinces and the departments.

Still, the trainings that have to be held in the framework of the Asia Urbs Project have shown that the most effective training is ‘training on the job.’ This was particularly noticeable with regards to the civil servants of the OWSO. In Siem Reap as well as in Battambang, the civil servants were provided with an expert who helped them in the first months to cope with their everyday workdays.

Recommendations/Modifications included in Project Designa) A very comprehensive training program is included in the Project. This is being

developed during the pre-implementation period to be delivered in each participating district of the Project in a phased manner. This program will include basic training in good governance, which will begin at an early stage in order to prepare the civil servants in the selected districts and provinces for the new project. These basic courses should be offered to all civil servants in the district administrations and selected representatives of the provinces and departments.

a) On the job training, study tours to Siem Reap and Battambang, and periodic internships have also been integrated into the design of the Project.

b) In the first weeks following the opening of the OWSO, experts from the DST and ExCom will be on the spot in order to support the OWSO team

c) Learning and cross-support is also envisaged through an annual good governance forum that will be undertaken at the national level that will bring together the different OWSO chiefs.

3.6 Financing Although it is specifically stated in Decision 47 that personnel, material, and financial support must accompany the delegation of competencies to the OWSO, the ministries have not made any money available to the OWSOs in Siem Reap and Battambang. This has had the consequence that the two pilot districts have had and continue to have significant difficulties in covering the running costs of the OWSO.

Recommendations/Modifications included in Project Designa) The MOI has developed a ‘financial sustainability’ model as part of project preparation

and negotiation with the Ministry of Economy and Finance (MEF) – see appendix 12. As can be seen, with some fairly realistic assumptions, the OWSOs should be able to recover almost all their costs by the fourth year of project implementation. Pending passage of the Organic Law, a mechanism for retention of OWSO revenues at the district level will be negotiated with the MEF during the life of the Project.

b) Further, to push for the general financial sustainability of the OWSOs, the Project will only cover 50% of all recurrent costs of the OWSO in Year 3 and 0% of all recurrent costs in Year 4 of implementation. The financial sustainability model above will be developed under this assumption.

c) Building costs for the third year of implementation will likewise be provided by the RGC.

3.7. Information NeedsWith the opening of the OWSO and the election of the Ombudsman, the success of these structures is far from guaranteed. In addition, intense publicity work is needed.

Information campaigns with autos with loudspeakers that drive through the districts and stop at populated locations to distribute flyers, hold personal conversations, and answer the questions of the citizens are useful in publicizing the OWSO and the Ombudsman. The Asia Urbs Project successfully used this form of advertising. Still, a single information campaign is not sufficient. They must be repeated in regular intervals. In addition, Cambodia’s most important medium, radio, should be used for advertising.

Recommendation/Modifications included in Project Designa) A comprehensive communications strategy has been developed for the OWSO and DO

(see section 11), which includes a significant budget for various media and publicity tools to increase awareness about the new institutions.

b) The information campaigns will be undertaken regularly and have been budgeted annually.

c) The DO will further undertake active outreach as described above to create greater awareness about his/her mandate and role.

3.8 New Models of People’s ParticipationSince the beginning of 2007, there is a citizen’s consultation-hour in Siem Reap as well as in Battambang. Once a week citizens can talk to the district governor in person. If the district governor is unavailable, one of his deputies performs the task. The crowds the administration had feared didn’t appear. In Siem Reap one or two citizens come to the consultation-hour on average; in Battambang the consultation-hours are held so irregularly that by now, nobody

turns up anymore. The main reason: The actual existence of these consultation-hours is still almost unknown. Only once, at the start, it was reported in the media at all.

Recommendations/Modifications included in Project Design

a) The offers to participate in the administration’s planning are appreciated by the citizens, NGOs, businesspeople etc. and will therefore be continued, especially because they align with the core principles of the DFGG Project as a whole

b) A Citizen’s Forum will be made an annual event in each of the participating districts so as to institutionalize the idea of regular dialogue between citizens and the district administration. To encourage partnership with the non-state sector and ensure independence these Forums will be undertaken by an independent local NGO.

c) The consultation-hours must be made known. As long as the citizens are not informed, they cannot appreciate the offer of services. Therefore, information campaigns around the Citizen’s Hours are also included in the Project.

d) Citizen’s consultation-hours must take place as announced, and regularly. If citizens come to the consultation-hour several times in vain, they lose their trust in it. To ensure this, the DO will be tasked with the job of monitoring the Citizen’s Hours and an independent NGO will monitor their effectiveness annually in each participating district.

3.9 Other elements of the District ReformsAs mentioned earlier, the reforms in Siem Reap and Battambang Districts involved a number of innovations and elements beyond the OWSO, DO, and people’s participation measures. Most prominently, this included the establishment of an indirectly elected ‘District Council’, introduction of a ‘District Spokesperson’, and capacity building programs for the District Administration in order to help develop District Master Plans for local development.

Evaluations by the MOI and by the Asia Urbs project, suggest that these measures have also on the whole worked well. However, in the absence of the Organic Law there is a huge question mark on the issue of delegation of roles and responsibilities, as well as the legal status of the District Council and other programs of the District Administration that have been piloted in Siem Reap and Battambang. What is more, other donor programs, in particular the “District Initiative” of the multi-donor ‘Program to Support D&D’ (PSDD) and the Rural Investment and Local Governance (RILG) project of the World Bank itself are investing on a much large scale on district level planning and local development investments. Therefore issues of scaling-up these elements of the district reforms in the two pilot districts carry coordination problems within the RGC and across donors.

Recommendations/Modifications included in Project Design

a) In view of the above, it was agreed that Project support would not focus on the entire package of district reforms undertaken in the two pilot districts, but would focus only on the OWSO, the DO office, and initiatives related to People’s Participation.

b) Other elements such as the setting up of District Councils and support for District Planning would be excluded as these will likely be part of a broader multi-donor package, once the Organic Law is passed, although the project would retain some degree of flexibility in its design to align itself with the Law and link up to these other programs.

4. Detailed Project Description To attain its objectives mentioned in Section 2.1, and taking into account the lessons learnt as described in Section 3, the project activities will be focused on five main components. The first three of these represent the three core reforms that the project will introduce – introduction of the OWSO, DO, and new forms of people’s participation – and the results framework for the project are based on these. The fourth and fifth components relate to monitoring & evaluation, and learning, and project management respectively. These are the

supporting components that would help to operationalize the reforms. These components are described in more detail below.

4.1 Component 1: Expansion and Strengthening of the OWSO In response to the high demand for setting up OWSOs similar to that in Siem Reap and Battambang, the first component deals with extending the OWSO to one additional district in all provinces of the country. In addition, there will be two studies to look into the options for the Phnom Penh Municipality and a rural district and based on the findings of the latter a pilot rural OWSO will be attempted in year 3 of the project.

Therefore, in total the project will open 22 new OWSO - one in each of the 21 remaining provincial towns or densely populated urban districts, and one pilot rural district. In the first year of the project, MoI will establish the OWSO and DO in the following 7 districts: Takhmao (KDL), Stung Sen (KTM), Mittapheap (SHV), O Chrov (BMC), Kratie (KRT), Tbong Khmom (KPC), Peam Ro or Kampong Leav (PVG). In year 2, eight new OWSOs/DOs will be established and in year 3 seven involved in this process are preparatory and supervisory elements of the establishment, set up and equipping of the OWSOs. The issuance of the required legislation in order to set up the OWSO and DO is also part of this sub-component.

However, the intention is not to just copy the existing OWSO in Battambang and Siem Reap during the expansion, but rather it is to significantly improve and strengthen the OWSO in the new districts through a number of measures. These include a comprehensive training and capacity building program, expansion of competencies, delegation of competencies from at least three new ministries, and including a website and added information available at the OWSO.

The detailed activities involved in this component are as follows:

Activity 1: Establishment of Legal Framework for setting up and extending the competencies of the OWSOs.The DST under NCDDS will handle the drafting of the legal framework for the extension and improvement of OWSOs and DOs to other districts. The table in Appendix 11 provides a list of all the legal decisions and Prakas that will be required at different stages of the project. Some of these will be covered during the pre-implementation phase of the project. For instance:a) The Establishment of Inter-Ministerial Technical Advisory Group and OWSO District

Support Team;b) Sub-decree or decision of the RGC on the extension to targeted districts;c) Prakas on the set up and structure of OWSO of MOI;d) Prakas on the transfer of competences of the relevant Ministries to the district OWSOs.

The sub-decree on the extension and the Prakas on the set up and structure of the OWSO will be approved by the end of 2007 itself. After project implementation commences, the work on the legal and policy side will be undertaken by the DST along with the TAG and will focus on:

a) Extension of competences. Together with the experts of OWSO Siem Reap and Battambang the NCDD will draft a concept of extension of competencies that have already been delegated. The NCDD will handle the drafting of the required parkas and the negotiations with the Ministries to extend these competencies as necessary to the new districts through the TAG and NCDD decisions.

b) Provision of new competences. In year 1 the NCDD will draft a concept on the transfer of new competencies in the area of health, education and agriculture. The concept will developed in cooperation with representatives of business, NGOs and experts of the line departments. The NCDD will handle the drafting of the parkas and the negotiations with the ministries.

c) Expansion number of ministries. Expand the existing numbers of involved ministries from 7 to 10 (include Agriculture, Health and Education).

Depending on the passing of the Organic Law, modifications or additional legal requirements may be considered by the DST.

Activity 2: Preparation and Renovation of OWSO buildings and Equipping of Offices. Prior to the start of the project, as well as before each phase of expansion, the DST will assess all offices needs regarding constructions and renovations in each targeted district.

The OWSO buildings will be centrally located and be within easy reach. Each office will be renovated so that it has at least four rooms, two very large (front office and back office), a room for the head of the OWSO, and one for the DO. These specifications will be discussed with the Provincial and District Governors of all provinces and the target districts so as to ensure that they are able to release an adequate building for the OWSO’s purposes. As all OWSO buildings are meant to be on existing government property or renovations of existing buildings, no involuntary resettlement or relocation issues are anticipated.

The internal appearance of the OWSOs will be uniform and a common ‘symbol’ for all OWSOs will be developed. They will be, wherever possible, uniformly furnished as well. To ensure this, the internal architect and national and provincial infrastructure specialists in the NCDD (which handled construction of the ExCom Offices) will be used along with suggestions from the district governments themselves to help prepare this common look for the OWSOs prior to the effectiveness of the project. Design of new construction and renovation and preparation of bidding documents will be completed before project effectiveness, while actual construction and renovation will begin after implementation starts.

In order to ensure ownership and financial sustainability, the renovations and additional constructions of buildings of the OWSO facilities during year 1 and 2 will be covered by the project cost. In year 3 the costs will be covered by the RGC.

Each OWSO office will be well furnished and modern and it will get enough technical equipment for delivering the services in a professional way. Soon after the building renovations are complete, the furnishings and equipment for the OWSOs will be procured through the agreed procurement system and delivered to each office. Bidding documents for these will also be prepared prior to project effectiveness.

As was the case with the buildings, the recurrent costs of the OWSOs will gradually be transferred over to the RGC to ensure financial sustainability of these offices. It has been agreed that the project will cover only 50% of recurrent costs in year 3, and 0% in year 4 so that there is a complete transfer of budget to the RGC before the close of the project.

Activity 3: Staff training and Capacity Building.As mentioned above, the OWSO model is a radical change from the current state of local service delivery in most districts in the country. Therefore, a very critical element of the project and the success of the OWSOs themselves, relates to training, generating awareness and capacity building of the OWSO staff, the district administration, and the Provincial administration as well in all the new districts and provinces to which the OWSO will expand. This training will be done in a phased manner – part of it conducted prior to the opening of the OWSO (during the construction phase), and part of it later as part of on-the-job mentoring as well as peer learning and exchange. Appendix 4 provides a complete list of the various training events that will be conducted as part of this capacity building program.

The training activities are to be handled by the MOI/NCDD’s DST, although an international curriculum development specialist and national advisor will be recruited to help design the

materials and a series of ‘training of trainer’ (TOT) events will be taken up to ensure the smooth roll out of the capacity building program.

The specific steps involved in this activity include the following:

a) Designing the Training Programs and Manual. The training programs and manual for prospective officers and staff of the OWSOs as well as for local authorities and officials of the line departments will be prepared. These activities will be completed before the start of the project.

b) Identification of Trainers. The DST will identify the trainers that will carry on the training programs for the subsequent years of establishment of the OWSO/DO.

c) Conduct TOT training. After the designing of the training programs and identification of the trainers, TOT training will be conducted for selected stakeholders of national level and all target provinces and districts. Refer to appendix 1 for subject and budget.

d) Conduct training of OWSO staff. Direct or cascaded training methodology will be applied depending on various subjects.

e) Organize study tour, internship and on-the-job training. During year one the Siem Reap and Battambang OWSOs can function as resource while year two and three the newly established OWSOs can host study tour and internship as well.

In addition to the above there will be some preliminary ‘sensitization’ that will be undertaken with the Provincial authorities in each of the targeted provinces by year. Learning activities will continue through annual forums and peer exchanges in later years of the project as well.

Activity 4: Provision of Additional Information at OWSO and Design of OWSO Website.As part of the efforts to strengthen the OWSO so that it becomes more useful for citizens, efforts will be made to have available in the OWSO additional information available at the offices which could be of use to them. This would include information, forms, and fees for both services which can be delivered by the OWSO as well as services which will be provided at provincial level. Obtaining this information is not an easy task for citizens, nor it will it be for the DST to get it from the relevant Ministries. Therefore efforts through the TAG and NCDD will be undertaken to make the information on other services available at the OWSO so that citizens can at least conduct a ‘limited transaction’ on these.

This activity will also set up a website for the OWSO with links to individual districts so that there is an opportunity for citizens to have access to all this information on the web. Since the OWSOs will be completely equipped with computers, some selected workplaces will be networked so that procedures can be electronically executed as much as possible paving the way for future digitalization of transactions. A databank will also be constructed in which all registrations are saved and where possible, the communes’ registry of residents will also be incorporated in this databank so that OWSO customers can get a back-up access to their registry documents (like marriage and birth certificates) through this office. In this way, the specific elements of this activity are:

a) Information on other services. DST will work with the TAG and partner with other ongoing initiatives (such as the Council of Administrative Reform-GTZ study to produce a ‘Yellow Pages’ for Government Services) to find relevant information on fees, forms, and procedures for other services that are not offered through the OWSO available for easy access by citizens. Hard copies of forms and fees for all these services that are not delegated functions will be available to the citizens at OWSO.

b) The OWSO Website. During the first year of implementation, a Website for OWSO will be set up. All information on the OWSO, DO and other data related to situation of

target districts will be made available in the Website, including the fees that are required and the necessary forms. In addition, the information, forms, and fee tables for the services, which are still under the responsibility of the provinces and departments, will be presented in the website as well.

Activity 5: Study on Potential OWSO Model for Phnom Penh. The decision on opening an OWSO in Phnom Penh must be deferred because of a lack of basic information on the adequate model to use in a city that size, since the district/khan unit of operation may not be cost effective there. Therefore, the project will fund a study on the existing service delivery mechanism and structure of the Phnom Penh Municipality to find out the options for the establishment of OWSO. This will include an assessment of costs of operation and study of other city level models being used in neighboring countries.

Based on these results the possibility of funding the implementation of an OWSO in Phnom Penh will be considered after the mid-term evaluation at the end of year 2 of the project. The funding for this will either require supplemental financing of the project or a re-allocation of budget away from other districts or cost categories.

Activity 6: Study on Potential Pilot OWSO Model for Rural Districts. Similar to the above case, for piloting the OWSO in a rural district, the project will finance a study on the existing service delivery mechanism and structure of the rural districts to find out the options for the establishment of OWSO in year 2 of the project. This study will include the “demand side” analysis of what key services really require a OWSO as well as a “supply side” analysis of what would be the best system, for example a “mobile front office”. Lessons from other developing countries like India that have experimented with rural OWSO models will be drawn in and the support of other development partners such as GTZ, who may be working in this area will be sought.

Based on the findings, a pilot OWSO will be launched in a rural district in year 3 of the project and a budget for this that includes supplemental resources for the possibility of a mobile office has been allocated in the overall project costs.

4.2 Component 2: Extending and Strengthening the Capacity of the DOThe second component of the project deals with the replication and enhancement of the DO model to all the targeted districts of the project where OWSOs are being set up. As outlined in section 3.3, there are serious deficiencies in the way that the current DO model has been operating in the two pilot districts of Siem Reap and Battambang, and therefore the project will try and address these through various innovations, and then include a mid-term evaluation of progress and consider further options (including the possibility of disbanding the institution if it continues to not be considered effective based on citizen surveys).

As mentioned in the earlier recommendations, the DO will now become a “Citizen’s Advisor” for citizens of the targeted districts. In addition to the existing functions of the DO in Siem Reap and Battambang, following functions will be included: Linked with the MONASRI function of law dissemination in the DFGG project, the DO will

assist in dissemination and clarification of laws (starting with the Land Law) to the public. Facilitate citizen’s participation activities, quarterly forum, annual forum, citizen’s hour,

radio talkback programs, TV spots and information dissemination strategies Receive and consider complaints of people regarding services which are disseminated at

the OWSO outside their competences. Facilitate these complaints with the relevant line departments and provide feedback to the citizens

Facilitate legal complaints for the citizens within the district administration Monitor the functioning of the OWSO (already within current mandate).

To facilitate the extension of the DO with the above expanded role to the new target districts, the following key activities would be undertaken:

Activity 1: Design of a New Election System for the Ombudsman and Amendments to Existing PrakasGiven that the existing DOs in Siem Reap and Battambang were elected by the District Council, which is not included in the current project, an alternative method for DO elections needs to be devised. This should not, however, be a difficult task since the District Councils in the two pilot districts constituted of already elected officials and some nominated representatives. Therefore one can replicate the system and procedure by forming a ‘local election committee’ to elect the DO. This committee would include representatives of district, communes, NGOs, local business and other related associations. In effect, the committee would look the same as the ones that were set up in the pilot districts.

To establish this new election procedure as well as to allow for the expanded role of the DO, the Prakas and decisions regarding their set up would have to be amended. This will be done by the DST in cooperation with the TAG during the pre-effectiveness phase of the project.

Activity 2: Training and Election of OmbudsmanOnce the new election system has been devised and approved, all participating groups in the target districts will get a basic training on the role of the DO and the election system. The phasing of this training will be done in the same way as for the OWSOs (i.e. 6 districts in the first year, 7 in the second, and 9 in the third). The DST will provide guidance and training to the target districts on the election procedures.

After the trainings, the various groups elect their representatives for the Election Committee; the various groups name their candidates and finally the Election Committee selects the Ombudsman. According to experiences in Siem Reap and Battambang, the whole process takes at least two months. The DST and the Provincial ExCom representatives will oversee the election process to ensure that it is fair and transparent

Activity 3: Setting up the Office of the DO. As with the case of the OWSO, the DO will be given an office which is located in a neutral area, but close to the OWSO so that he/she can provide the supervisory role there. The office will also be equipped with the necessary furnishings and stationary. Although, the existing Prakas for the DO includes the provision of an ‘Assistant’ to the DO, this function will only be included after the mid-term evaluation of the DO if it is seen that there is a sufficient work program for an assistant to be justified.

Activity 4: Capacity Building and Support to the Ombudsman. Once the DOs have been democratically elected in the target districts, they will be given training on their roles and responsibilities. The DST will further support their capacity through regular field missions and backstopping on their additional functions. With the help of the TAG and the DFGG Project Coordination Unit, links of the DO to other state institutions such as MONASRI and RNK will be ensured so that the additional roles and responsibilities of the DO can be performed. The DST will also link the DOs to other systems of accountability at local level such as accountability working group, which are run through the MOI.

For generating awareness and publicity about the DO, a communications campaign will be run for them (see component 3) and they will also be encouraged to do pro-active outreach to NGOs, communes, and the private sector.

4.3 Component 3: Implementing New Forms of Citizens Participation and Outreach

In every district where the OWSO and DO will be established, new forms of participation will be introduced. These will aid in improving the relationship between citizens and the

administration, and they will offer the citizens’ possibilities to voice their problems, criticisms and concerns. They will thus allow for a more transparent district administration and encourage good governance and public administrative reform. What is more, in order to ensure for greater independence as well as promote state-non-state partnership, the management and running of these people’s participation measures will be given to local NGOs and to the DO rather than done via the NCDD or MOI.

The various forms of people’s participation and outreach envisaged are as follows:

Activity 1: Conduct of Annual Citizen’s Forum in Each Target District. In all the districts in which the OWSO is opened, an annual citizen’s forum will be undertaken. This is a forum which is open to all citizens and covers issues related to the OWSO and DO offices and how these can be further improved, as well as other issues related to governance at the district level. The forum will be chaired by the District Governor. The organization of the forum will be contracted out by District governors to a local NGO as mentioned above.

A pilot test of these citizen’s forums is planned during the pre-effectiveness phase of the project in the two districts of Siem Reap and Battambang so that the lessons from there can be used to make these events more meaningful for citizens.

Activity 2: Conduct of Semi Annual Forum in Each Target District. In order to get more sustained and targeted feedback, a quarterly meeting with business and citizen’s representatives will be set up at a more informal level. These quarterly meetings with business and citizen’s representatives will be organized by the District Governor, OWSO chief and DO to get periodic and frequent feedback on their operation as well as suggestions for improvement. They will become the basis for further work and research needed on issues such as management systems, licensing procedures, service fees, and extension of competencies at the OWSO, which will be fed back to the DST for discussion with the TAG and NCDD.

Activity 3: Conduct of Annual Good Governance Forum at National Level. The stakeholders of OWSO and DO will participate and present the experiences and lesson learned on good governance in implementation of OWSO and DO to the good governance forum at the national level. The DFGG Project Coordination Unit is responsible to organize this Good Governance Forum. This forum will include a broad audience of all stakeholders and reflect on the Governance aspects of all components of the DFGG project.

Activity 4: Setting up of Monthly Citizen’s Hour (or Citizen’s Consultation) with the District Governor in Each Target District. An additional mechanism to increase participation, awareness, and reduce the hurdles between the administration and the citizens is the citizen’s hour of the district governor. In Siem Reap and Battambang, these citizen’s hours now take place once a month, and when the district governor is busy, one of his deputies addresses this responsibility. During these sessions citizens have the opportunity to consult, ask questions, get clarification or express concern with the Governor on any issue related to the OWSO, DO, or District Administration at large. This opportunity is made use of by citizens on a regular basis. Over the course of the project, this mechanism will be applied in all target districts.

Activity 5: Conduct of Periodic Information Campaigns on OWSO and DO. Directly after the opening of the OWSO, a weeklong information campaign will be executed to inform the citizens about the new institution. For this task, the districts will be provided with corresponding flyers, posters, and stickers. At the same time, in cooperation with RNK and other broadcasting stations Talk Back programs will run on the radio in which the district governor and the head of the OWSO make themselves available for questions from citizens.

This information campaign will be conducted at least once per year/district, including schools, C/S Councils and other local institutions.

Wherever possible, the information campaigns for the OWSO will also be used to make the DO more widely known. In addition, there are, however, additional necessary efforts, such as Talk Back programs on the radio with the DO, a visit of the DO to all local NGOs, poster advertising with a short description of the responsibilities of the Ombudsman and stickers with a telephone number.

4.4 Component 4: Monitoring & Evaluation (M&E), and Learning to Ensure High Performance Standards in OWSO and DO

As the OWSO and DO model is relatively new in the Cambodian context and given that its success relies on it showing high business and ethical standards, the role of regular M&E and continuous ‘learning by doing’ is a core part of the project and a significant part of the project costs is being allocated to this. The M&E and Learning functions under the project will be handled both ‘internally’ and ‘externally’ through independent monitoring that is undertaken through a respectable NGO or research agency as well as a number of local NGOs (See Section 10 for the suggested tools for this purpose)

The internal M&E will be done by the monitoring and evaluation unit at the central level within NCDD, which will be responsible to document not only the achievements of the OWSO and DOs in terms of operational and performance indicators, but also to evaluate outcomes, efficiency and effectiveness and to learn lessons associated with good governance. In addition to this, at every level, there will be available staff responsible for M&E and supervision. The M & E Unit will develop a framework for regular reporting to the NCDD on the input and output targets, the progress of implementation and achievement of outcomes. Output and selected outcome indicators will be monitored quarterly. The M & E and Learning Adviser based in the project coordination unit of the DFGG will help in the development of reporting formats and tools for M&E, and train staff in their use. These will provide the basis for monitoring the inputs, outputs, and outcomes, and assessing the efficacy of the project management systems. The Adviser will also assist in data analysis, drawing conclusions and learning from the studies that will be conducted.

For the external or independent monitoring of performance of the project, a reputable NGO or research firm along with a set of local NGOs (operating at the provincial or regional levels) will be contracted to undertake a series of M&E tools including a baseline, mid-term, and end evaluation survey, annual ‘exit surveys’ and informal audits, participatory focus group discussions, and exit interviews during the different citizen and public forums. (See section 10 for a discussion of the tools envisaged).

The various activities involved in the M&E and learning part of component-4 include:

Activity 1: Finalizing the Design of the M&E System and Survey Tools and Instruments. In cooperation with DFGG M&E advisor and a national TA advisor from the DST, the MOI will finalize the design of the M&E system for the OWSO and DO during the pre-effectiveness phase of the project. This will include the design of the various survey tools and instruments that will be used for monitoring performance. The OWSO and DO M&E system and procedures will be integrated with overall M&E framework of NCDD.

In close cooperation with PCSU, the design of the M & E and Learning Framework will be participative and will involve not only members of the Inter-Ministerial Technical Advisory Group (TAG), but also officers and staff of the existing M & E Unit of the NCDDS.

Activity 2: Selection of a Reputable NGO/firm to Design and Conduct Baseline Assessment.

An external agency will be hired by the NCDDS to conduct the baseline assessment for the target selected districts with the assistance of the M & E and Learning Adviser of the DFGG. In this baseline assessment, the external agency will not only gather baseline indicators on the field using quantitative techniques, but also learning from the communities specifically those that have benefited from OWSO and DO in Battambang and Siem Reap. In addition, the assessment will also include those who have not experienced OWSO and DO services. Learning mechanisms will include qualitative methods such as focus group discussions, client exit surveys and client score cards, and case studies in the different communities to be surveyed. The indicators to be captured in the assessment will be drawn from the outcome indicators that were highlighted in the results framework for the project in section 2.

The writing of the TORs, hiring, and the actual conduct of the baseline study are all expected to take place in the pre-effectiveness phase of the project.

Activity 3: Implementation of Internal Performance Monitoring Activities. With the assistance of the TA from the DFGG Project Coordination Unit, routine M & E activities will be carried out by the officers and staff of the OWSOs, the DST and M & E Unit of the NCDDS/PST based on the final M&E and learning system that is designed. See Section 10 for a list of performance indicators to be covered, responsibilities for collecting information, and the reporting system and schedule.

Activity 4: Implementation of External Regular Evaluation Tools. A number of more evaluative and learning-oriented studies will be conducted by local civil society or non-government organisations (CSOs or NGOs) in each of the targeted districts. The methods and tools will be developed and tested in conjunction with PST M&E Unit staff. Support will be provided by the DFGG M&E and Learning Adviser.

These activities will cover all services provided by OWSO and DO, and methodologies will include the following:

a) a voluntary client scorecard on the performance of the OWSO - these will be collected in a box in each OWSO and can be filled by any OWSO customer. They will be periodically analyzed and reported in the status reports of the office,

b) an annual exit survey of OWSO customers, independent audit of OWSO efficiency and effectiveness, and review of DO actions – in this the CSO will use independent evaluators/enumerators to conduct randomized exit interviews, and do a quick audit of OWSO and DO records. One of these is expected every year in all target districts,

c) a qualitative survey consisting of focus group discussions (FGD) and key informant/beneficiary interviews – this will be an annual survey carried out in only a sample of say 5 districts to provide more qualitative and analytical data on the performance of the OWSO, DO, and people’s participation measures and how these can be improved,

d) a series of exit interviews and working group discussions – these will be held as part of the citizen’s forums and other people’s participation events to obtain community perceptions on the performance of the district administration in general, and the new reforms (like OWSO and DO) in particular.

These learning and evaluation activities are planned in all years of the project in a process of formative or real time evaluation. The resulting recommendations and lessons will be the basis for improving implementation of OWSO and DO during the four years of the project, and may justify the funding for further expansion. Results on outcome indicators for these studies will be included in the internal annual reporting that will be done by the DST.

The different forms of external monitoring and evaluation will be contracted out to local NGOs or they could be made into a single large contract based on the feedback received in the CSO consultations that will be undertaken prior to the Project appraisal.

Activity 5: Conducting Learning ActivitiesTo support the cross/peer-learning across the target districts, periodic learning events such as study trips and internships will be undertaken (as also mentioned in activity 3 of component 1). These will become particularly relevant in year 3 and 4 when all the new OWSOs and DO offices become operational. The Provincial ExCom and DST teams will manage this cross-learning and it will also get support from the DFGG Project Coordination Unit.

Activity 6: Mid-Term EvaluationThe Mid-term evaluation will be undertaken at the end of the second year or beginning of the third year of the project implementation period. It will also be contracted out to a reputed NGO or research firm (the possibility of the same firm undertaking the baseline, mid-term, and end evaluations is also being considered so long as it meets procurement requirements).

The mid-term evaluation will only target the districts launched in the first year of project implementation and the two existing pilots as these would have had sufficient time for operating to pick up meaningful results. The format of the survey will be the same as the one used during the baseline assessment and it will inform the project on the progress in meeting the agreed upon outcome indicators in the results framework. The mid-term assessment will be used to decide upon some critical aspects of project design and implementation – e.g. should one continue with the DO (or what enhancements are required), what further improvements to the OWSO are needed, what will be the model for the rural pilot, will there be a re-allocation of budget to cover a OWSO model in Phnom Penh, etc…

Activity 7: End of Project Evaluation: This evaluation will be conducted at the end of the project by an independent agency (possibly the one that undertook the baseline and mid-term assessments) to enable the RGC, WB and other development partners to evaluate end of project outcomes and impacts; assess efficiency, effectiveness and sustainability of OWSO and DO services; and consider further expansion and continuation of the project.

4.5 Component 5: Project ManagementThe General Department of Local Administration as the Secretariat of NCDD (NCDDS) will act as project implementation and executing agency. The NCDD will establish an Inter-Ministerial Technical Advisory Group (TAG) and a District Support Team (DST) under direct supervision of the NCDDS to coordinate policy components of the project such as, preparation of legal frameworks, training, policy monitoring and evaluation, facilitating structuring and set up on OWSO and DO, preparing annual work plan and budget (AWPB), organizing and conducting workshops with related ministries and other partners.

NCDDS will use the structures and capacities of the existing Program Support Team (PST) of NCDDS to implement and coordinate the operational components of the project such as, implementing of the procurement plan, supervision and monitoring of contract implementation, fund transfer, facilitation of administrative matters, reviewing of ExCom progress and financial reports, preparing financial and operational progress reports to NCDDS.

At the Sub-national level, the existing structures of ExCom/PRDC will be used to facilitate the operational implementation of the project such as, preparing an AWPB, preparing and contracting sub-contracts with district/OWSO (if applicable), provision of technical support to district/OWSO, managing of project funds, reporting to NCDDS through PST and DST.

Using the above structures will reduce cost and also promote harmonization. Resources that will be made available to the project management office will include coverage for external

consultancy services, provision of administrative support, including the procurement of equipment, furniture, fixtures, and other requirements of the project component.For Project Management, the following key activities are envisaged (more details on the roels of the different actors is provided in Section 9):

Activity 1: Establishment of the TAG. As explained earlier, the TAG led by MOI will consist of senior officials of the related ministries and institutions. The TAG may invite the representatives of civil society to join any meeting if necessary.

Invitations for establishing the TAG have already been sent out, and it is expected that it will become operational before appraisal of the DFGG project.

Activity 2: Establishment of DST. The DST will be established by the General Department of Local Administration (GDLA) and consist of officials from various departments of GDLA. The DST is meant to be the core division in the NCDD/MOI in charge of harmonizing all district level projects and initiatives that are being undertaken by the NCDD, starting with the OWSO-DO initiative under the DFGG project. It will largely be composed of permanent MOI staff, although supplemental contract staff may also be required in the initial years of project implementation to ensure that there is adequate capacity in the institution to implement all the project activities.

Activity 3: Recruitment of support staff and TAs. Two staff will be recruited to work with PST and one additional staff for each ExCom/PRDC. These additional staff will support the PST and ExCom Units to assist in the additional workload of OWSO and DO project.

Two national advisers will be recruited to provide support to DST and international TA will be contracted on a need basis only.

Activity 4: Information/ participation strategy. It is crucial for the entire project that people have access to information: know where they can get information and are fully aware of the mechanisms to voice their opinions, complaints or concerns. In order to facilitate this, an information/participation strategy and materials will be developed and prepared for implementation at National and Sub-National level. Both strategy and dissemination materials will be developed in a participatory way including OWSO/ DO, Province and national level.

The national level will provide technical support to the provinces and districts OWSO/DO to implement the information campaigns and participation strategies.

Referring to activity 5 in component 3, the information strategy will be implemented in close cooperation with other project components such as RNK, MONASRI etc.

Activity 5: Managing Procurement. NCDDS/PST will be responsible for the procurement of goods and services of the central project office as well as for the OWSOs and DOs to be established in the target districts according to the procurement plan. Where possible, the procurement at the sub-national level will be handled by PRDC/ExCom.

Activity 6: Coordination and harmonization. The OWSO and DO is one of the 5 DFGG components. In addition there are a number of other Governance related NGO and other projects operational in the various provinces. Coordination and harmonization will be an important aspect both at the national and sub-National level. The TAG and DST will assist NCDDS to coordinate all projects related studies, evaluations, missions, trainings, workshops and seminars. At the Sub-National level,

the PRDC/ExCom as well as the district OWSO/DO will coordinate all activities to ensure a harmonized approach at the District and local levels.

The TAG and DST are also responsible to assist the NCDDS to harmonize other district-focused projects and programs supported by development partners such as district initiative, and the inter-commune program.

5. Estimated Project CostsThe grand total budget of the project is USD 3,597,028.40 including USD 65,600.00 for pre-implementation activities. In addition to this budget the RGC has agreed to contribute USD 1,230,287.00. This amount covers costs of OWSO offices in year 2 and year 3, recurrent costs of the OWSOs: 50% in year 3 and fully in year 4 and costs of MPBI and PMG for DST and OWSO staff members.

Please refer to Appendix 1 of the detailed grand budget.

6. Financial Management

Financial Management AssessmentAs mentioned above, the expansion of the OWSO and DO offices under this project will be managed by the NCDD, which is an inter-ministerial committee established at the national level to manage the political and economic development of local government (provinces, districts, and communes). Under the NCDD secretariat, a Program Support Team (PST) takes executive responsibility for program management in procurement, contracts administration, financial management and monitoring and evaluation of on-going donor programs. All donor funds including World Bank funds are channelled through NCDD/PST

The proposed DST will function parallel to the PST, and will manage development activities at the District Level starting with the OWSO-DO expansion. The main responsibility of DST will be, under the guidance of the TAG, to draft policies and legislation for improved governance and services at district level, implement agreed policies, facilitate setting up OWSO at selected districts, carry out training and workshops, and monitor project progress.

The financial and administrative support to DST will be provided by the PST operational units at the national level. The financial management of the OWSO component of DFGG will be undertaken by the Financial Unit (FU) of the PST. This unit currently manages Bank’s Rural Investment and Local Governance (RILG) Project. In addition, FU manages projects on behalf of IFAD, DANIDA, UNDP, SIDA, DfID and others. The FU has 8 full time staff headed by a Chief of Unit. An international Financial and Administration Advisor and National Financial Systems Advisor provide advisory support to FU. FU has a well documented Finance & Administration Manual. All accounting is computerized, using Peachtree software. The FU’s financial management systems are considered satisfactory and they have existing FM manuals and procedures that meet minimum requirements of the Bank..NCDD has established an Internal Audit Unit with two staff. The activities of the OWSO will be included in the existing annual internal audit program of the Committee.

Financial Management Arrangements - Organization and StaffingAs indicated in section 9 (institutional arrangement), PST/Financial Unit will provide financial management services to OWSO through ExCom FU. The Head of FU will be designated Chief Financial Officer of the project. PST will recruit an additional financial officer to support OWSO activities at the PST. The responsibilities of PST/FU accounting officers will include (a) budgeting, (b) invoice and payment voucher processing, (c) management of banking and

petty cash advances, and (d) accounting for transactions and preparing interim and final financial reports.

The OWSO will have disbursement at provincial level for meeting expenditures of offices at each of the participating districts. PST accounting is carried out at provincial level by PRDC/Ex-Com Finance Units (ExCom FU). These units are adequately staffed and operate under the guidance of PST/FU. The operating costs of OWSOs and training and seminar costs will be incurred at the district level. These expenditures will be managed by ExCom FU staff. As each province will have only one OWSO, no additional staff at provincial level is required for financial management purposes.

Fund FlowPST will open a Designated Account in a commercial bank acceptable to IDA and MEF for deposit of IDA grant funds. The Designated Account will be managed by FU and authorized signatories will include Head of PST (Project Director) and at least one other person nominated by MOI. For purposes of provincial disbursement, each ExCom FU, where there is an OWSO, will open a Provincial Imprest Account in a commercial bank acceptable to MEF. Advances to Provincial Imprest Account will be in accordance with the Finance & Administration Manual sections dealing with provincial banking and cash management. Provincial Imprest Account shall not be used for paying any MBPI salary to OWSO staff.

Only IDA eligible expenditures will be paid through the Designated Account and Provincial Imprest Account. Any government financing will be paid through Provincial Treasuries and should not be co-mingled with IDA financing.All payments of eligible expenditures will be paid out of the Designated Account except direct payments requested to be paid out of the IDA grant account. PST/FU will process payment requests for project activities in accordance with the established procedures in the Finance & Administration Manual of NCDD. All payments will be made by check or bank transfer. Service standards will be established for processing of payment requests to avoid delays in payments. The internal auditors shall monitor that these service standards are maintained.PST/FU will be responsible for preparation of withdrawal applications for the initial advance and subsequent replenishment of the Designated Account. The replenishment applications will be based on Statement of Expenditures. The withdrawal applications with supporting documents will be submitted to MEF with copy to the DFGG Project Coordination Office (PCO). MEF will review all applications for compliance with grant agreement and forward to IDA.

Bank reconciliations for the Designated Account and Provincial Imprest Accounts shall be prepared at the end of each month in accordance with the Finance & Administration Manual. The reconciliation statements shall be reviewed and approved by the Project Director and submitted to Financial Management Advisor of the PCO.

Accounting Policies & Procedures and SystemsPST/FU has well established accounting policies and procedures and these will be applied to accounting for the OWSO. The systems are computerized with Peachtree software. FU in consultation with DFGG PCO will develop a unique chart of accounts for the OWSO project. The OWSO account will be segregated in the FU systems facilitating preparation of separate project accounts and financial reports.

Cash basis of accounting will be used for recording transactions. The financial statements will be prepared based on internationally accepted accounting standards (IAS). FU shall prepare interim financial statements on an agreed format and annual financial statements. These will be submitted to the DFGG PCO, MEF and IDA.

Budget System

FU will assist DST to prepare detailed budgets annually based on the agreed annual project costs. The budgets shall be prepared for project as a whole and for each OWSO planned at provinces. The budgets will include both financial and physical targets. OWSO budget will be reviewed by the Project Director and the IDA financed budget will be submitted to the DFGG PCO for approval.

ExCom FU will institute a budget monitoring system that will include comparison of actual progress quarterly and analyzing of variances and taking corrective action. The interim financial reports will be generated by the computerized accounting system. The reports, with explanations of variances from budget, will be submitted to the PCO, MEF and IDA.

Audit ArrangementsInternal auditing will be carried out by NCDD internal auditors. PCO Internal Audit Unit will jointly work with NCDD internal auditors based on agreed audit plan. Audit plans will be agreed with the OWSO management at the beginning of each financial year. Additionally, the DFGG project as a whole will be audited by an independent auditor appointed for the project. OWSO will prepare separate project financial statements and these will be audited by the appointed external auditor.

7. Procurement Plan

7.1 General ProceduresProcurement for the OWSO–DO component of the project would be carried out in accordance with the World Banks’ “Guidelines on Procurement under IBRD Loans and IDA Credits” dated May 2004, and revised in October 2006; and ”Guidelines on Selection and Employment of Consultants by World Bank Borrowers” dated May 2004, and revised in October 2006. The general description of various items under different expenditure categories are described below. The different procurement methods and consultant selection methods for each contract to be financed by the IDA grant, which includes the estimated costs, prior review requirements, and time frame, are agreed on between the recipient and the Bank project team is in the Procurement Plan. The procurement plans should be updated annually to reflect the actual project implementation needs. Guidance for implementing procurement requirements is provided in the Procurement Manual (PM) specified in the Kingdom of Cambodia’s Sub-Decree No. 14 dated February 26, 2007, on promulgating of the Standard Procedures for Implementing the World Bank (WB) and the Asian Development Bank (ADB) assisted projects.

Procurement of Goods

The project provides, for the procurement of vehicles, computers and printers, office and audio visual equipment, and furniture and fittings. The mode of procurement is governed by the threshold for each package and the need for after sales service and spare part availability for vehicles and equipment required for the project. The procurement packages for goods are relatively small and will be limited to National Competitive Bidding (NCB) and Shopping. The threshold for the bid packages are in line with the thresholds specified in Annex 5, Volume 1, of the PM referred to above. The exception is the package which covers computers, printers, scanners, cash register, photocopiers, and fax machines which has a budgeted cost estimate of approximately US$ 104,700 in the first year, as against the threshold of below US$ 100,000 for NCB. NCB is however the preferred mode of procurement for the reasons indicated above and the value of the package is unlikely to attract foreign bidders. In Cambodia, the availability of spare parts and after sales service is limited to the few brands of vehicles and office equipment being represented in the country. NCB procedure will be applied in accordance with paragraph 3.3 and 3.4 of the Banks’ Procurement Guidelines. Goods estimated to cost less than the equivalent of the US$20,000

per contract will be procured through Shopping procedure in accordance with paragraph 3.5 of the Banks’ Procurements Guidelines.

Procurement of Works

The procurement of civil works for this project component is limited to renovation and new construction of office buildings. Works estimated to cost below US$300,000 per contract could be procured following NCB procedures in accordance with the provisions of paragraph 3.3 and 3.4 of the WB Guidelines. Works estimated to cost less than the equivalent of $ 40,000 per contract maybe procured through Shopping in accordance with paragraph 3.5 of the WB Procurement Guidelines. The thresholds specified above are in line with Annex V, Volume I of the PM for the Kingdom of Cambodia.

Selection of Consultants

Consulting services for this project will be for the most part limited to the recruitment of Individual Consultants (IC) for providing professional services and training. IC will be selected based on the consultants’ qualifications and in accordance with the provisions in paragraph 5.1-5.4 of the WB Guidelines, on Selection and Employment of Consultants. Firms or institutions may be used for small specialized assignments following the selection based on consultants’ qualifications (CQS) in line with paragraph 3.7 of the WB Guidelines.

Training Work Shops and Incremental operating Costs

Contracts for training and workshops and related procurements should follow one of the available methods under the WB Consultants’ Guidelines and Procurement Guidelines. Incremental Operating Costs can be incurred on the basis of an annual or semi-annual plan approved in advance by the WB. The ‘Financial Management and Disbursement Manual’ prepared for the Project specifies procedures for the financial control and approval of training and related expenditures.

Use of Nongovernmental Organizations (NGO)

NGOs are voluntary nonprofit organizations that may be uniquely qualified to assist in certain aspects of the proposed project, largely because of their involvement and knowledge of local issues and community needs. Qualified NGOs may be included in the short list if they express interest. The Implementing Agency (IA) should preferably not include consulting firms in the short list for services for which NGOs are better qualified. For assignments that emphasize participation and considerable local knowledge, the short list may comprise entirely of NGOs. If so, the Quality and Cost Based Selection (QCBS) procedure should be followed, and the evaluation criteria shall reflect the unique qualifications of NGOs, such as voluntarism, nonprofit status, local knowledge/presence, scale of operation, and reputation. This is in line with the WB Guidelines referred to above.

The IA may select the NGO on a single-source basis, provided the criteria outlined in paragraph 3.10 of the Banks’ Guidelines on the Selection of Consultants are fulfilled.

7.2 Assessment of the OWSO-DOs’ Procurement CapacityThere is an administrative unit in the PST of the NCDD in which an established procurement team is present and this team is designated to undertake the procurement for OWSO-DO. The team has many years of experience in the procurement of good, works and consulting services both nationally and internationally. This includes procurements funded by WB, IFAD, DANIDA and the UNDP. This unit is well staffed and equipped to undertake the procurements for the OWSO-DO component.

No additional support on procurement is considered necessary.

7.3 Procurement PlanThe procurement plan for procurement at the national level is provided in Appendix 9. The procurement plan provides the list of goods, works, training and consultant services which will be the basis for the procurement methods and also the basis for review by the WB. The Procurement Plan will be updated annually to reflect the actual project implementation needs.

7.4 Prior Review RequirementBased on the current procurement plan, International Competitive Bidding (ICB) for Goods and Works or Direct Contracting is not foreseen. However, except as the WB shall otherwise determine by notice to the recipient, the following contracts shall be subject to prior review by the WB: (a) each contract for goods procured on the basis of ICB; (b) the first NCB contract for goods procured by the IA and (c) the first contract for goods procured on the basis of the Shopping method. Prior review is also required with respect to each contract for the employment of Individual Consultants (IC) estimated to cost the equivalent of $50,000 or more, and the first contract for employment of IC, regardless of the value. The report on the qualification and experience of all evaluated candidates, the terms of reference and the terms of employment of the consultants will be subject to prior approval by the Bank. Each contract involving Single Source Selection of firms or IC, irrespective of value will be subject to prior review by the WB. All other contracts will be subject to post review by the WB.

8. TimelinesThe implementation of the 22 new OWSOs and DOs, one in each of the 21 remaining provincial towns or densely populated urban districts and one pilot rural district will be undertaken in phases. The phases are summarized in the table below:

Phase Number of New Districts Tentative List of Provinces Covered

Phase 1: 2009-10 7 Kandal, Kampong Thom, Sihanouk Ville, Banteay Meanchey, Kratie, Kampong Cham and Prey Veng

Phase 2: 2010-11 8 8 provinces which will be identified in 2009Phase 3: 2011-12 7 7 provinces which will be identified in 2010

The 4th year of the project will involve monitoring and support to the existing OWSOs and a learning program and end evaluation will be undertaken to draw lessons and make recommendations to ensure that the successful continuation of the reforms after the project.

A mid-term evaluation of the project will be taken at the end of year 2 or start of year 3 as described in the M&E component above. This will be the basis for any adjustments that are required in the project timeline.

8.1 First Year Implementation PlanThe detailed implementation plan for the pre-effectiveness period as well as the first year of the project implementation is provided below in Appendix 8.

9. Institutional and Implementation Arrangements

9.1 Summary of Project Management StructureThe overall management of the project is in the hands of the NCDD, through its Secretariat (NCDDS) that is housed in Directorate of Local Administration in the MOI. The implementation activities can be separated into two parts – policy issues that deal with the actual reforms and supervision of core activities, and operations issues that deal with more of the administrative and back-end support functions such as contracting, procurement and accounting.

The operations arm of the project at the national level will be managed by the PST of the NCDDS and at the provincial level by the Executive Committee (ExCom) of the Provincial Rural Development Committee (PRDC). Presently the NCDDS through assistance of the Programme Support Team (PST) and at provincial level the PRDC ExCom is implementing a 74 million dollar annual workplan and budget through a total of 14 different projects. The PST provides services in contract management, procurement, financial management, monitoring and evaluation. Through the NCDDS programme audits, project feasibility studies and evaluations are implemented. The existing system both national and sub-national level are appropriate to provide adequate services to OWSOs and DOs.

The policy arm of the project will be managed by the DST that will be set up prior to project effectiveness. This will be the office of the NCDD that will look after all district level initiatives and projects of different donors, starting with the OWSO-DO initiative of the DFGG project. It will in addition also merge with the established District Initiative Working Group has already been providing coordination and support to district focused projects and programmes such as District Initiative Programme (DIP), and the inter-commune cooperation project (ICC).

Supporting the DST will be the Inter-Ministerial TAG that was mentioned earlier. Together they will directly supervise and monitor the implementation of the OWSO-DO policy reforms and will have a direct line of contact with the individual districts.

For day-to-day support and regular monitoring, however, a designated staff in the PRDC ExCom will be recruited to act as the focal point for the OWSO and DO and would report to the DST. All OWSO level expenditures will be funded through service contracts with the ExCom, which would monitor their operational performance, or directly serviced via the ExCom.

The payment for salary incentives to the OWSO staff will be implemented in accordance with the sub-decree 29 of the RGC on Merit Based Performance Incentive (MBPI). This process will ensure greater autonomy, accountability, and high performance standards for the OWSOs and the DO.

These institutional arrangements are summarized in Figure below and a matrix summarizing the key institutions in the project management structure as well as their main roles and responsibilities is provided thereafter.

Summary of Project Management Structure:

NCDD

CAU PAU M&E FU District Support Team

PRDC EXCOM

FU CAU PLAU TSU

Inter Ministerial Technical Advisory Group

Programme Support Team

District Administration:OWSO

Operations Policy

NCDD Secretariat/ Directorate of Local Administration

WB DFGGS

UNIT Staff/ Who Functions Financial flow ReportingNCDD Secretariat/Directorate of Local Administration

- Director General of General Department of Local Administration/Chief of NCDD Secretariat (including 5 departments)

- Project Implementation institution.- Agreement with PST to implement the

operational aspects of the project- Contracting with TAG to implement the

policy aspect of the project- Contract and manage TA.

- Project Account Holder. - Report to NCDD on operational and financial aspect.

- Report to MEF/WB according to agreement.

Programme Support Team/ Units

- As of existing structure with additional staff in CAU and FU (2 staff).

- Support the NCDD Secretariat for the operational aspects of the project:

- Prepare and issue ExCom contracts- Collect and review ExCom reports

(financial and progress report)- Monitor and supervise contract

implementation.- Implement procurement plan according to

agreement.- Facilitate administrative matters for NDCC

Secretariat.

- Assist NCDDS to transfer budget installment to the implementing ExCom and TAG according to contracts.

- Prepare financial report for NCDD Secretariat for ExCom and TAG

- Prepare contract implementation progress reports.

Inter-Ministerial Technical Advisory Group

- Lead by MoI - Membership of involved

ministries/ institutions

- Review drafted policies and legislation from the DST.

- Present policy through NCDDS to NCDD for approval

- Provide directives and guidelines for DST on project policy issues.

- Implement policy related budget according to contract.

- Meeting on monthly basis or as needed.

- Receive fund from NCDD Secretariat through PST.

- Prepare financial report and statement to PST.

- Prepares policy progress report to through NCDDS for NCDD.

District Support Team

- 1 team leader from MoI.- 8 technical support officers.- 2 National TA.- 1 Administrative/ Finance

Assistant- On need basis input from technical

staff of involved ministries.

- Serve as full time unit to support and implement set policies TAG:

- drafting legislation and guidelines- Dissemination of approved legislation and

guidelines- Training curricula.- Cooperate with relevant government

ministries and departments of DGLA in conducting the training

- Conducting TOT - Monitor and evaluate policy

- Manage the policy budget on behalf on TAG.

- Prepare policy implement progress report for TAG and copy to PST

- Prepare financial report for PST according to contract on behalf of TAG.

UNIT Staff/ Who Functions Financial flow Reportingimplementation progresses.

- Facilitate structuring and set up on OWSOs- Organize and review seminars/ workshops

according to agreement. - Coordinate all district focused projects on

policy issues. ExCom and Units

- Exiting structure with 1 additional staff in ExCom Unit

- Facilitate project operational implementation by OWSO.

- Prepare contract for OWSO.- Monitor implementation of contract- Back stopping of OWSO on finances and

contract administration.

- Receive fund from NCDDS through PST.

- Transfers fund to OWSO if applicable

- Prepare financial and contract progress report to PST and copy to TAG.

OWSO - Deputy District Governor- Chief of OWSO- Deputy Chief of OWSO- 3 Front Office staff- 8 Back Office staff (in average)- 1 DO chief- 1 DO assistant

- Provide OWSO services according to legal agreements/Prakas and following the agreed upon code of ethics/conduct

- Receive fund from ExCom if applicable.

- Collect revenues of services.

- Prepare financial report to ExCom copy to DST.

- Prepare program progress report to DST copy to ExCom.

10. Monitoring, Evaluation and Learning

10.1 M&E Capacity An M&E Unit has been established within the structure for the PST within NCDD. This unit is not yet fully staffed but will comprise 7 members (3 to 4 national staff, 2 national advisers and 1 international adviser) before the commencement of the project. This M&E Unit will have primary responsibility for technical backstopping and advice. The national District Support Team (DST) will be comprised of 12 persons including 2 national advisers and 2 specific M&E technical officers. The DST will design reporting formats to meet the information needs of project management and external stakeholders.

OWSO staff and DOs will also have important roles in recording and reporting key progress and performance information (see Table below). The DST focal persons for M&E will compile and analyse the progress and performance information coming from the districts.

The M&E focal persons within DST and OWSO will receive training in basic principles of M&E, and specific training in collection of the required data and completion of the reports and forms. Training will be provided to these staff prior to project commencement.19

On-the-job and specific skills-oriented training will also be required following project commencement. This will be provided by the DFGG M&E and Learning Adviser and other short-term trainers as necessary. This training will be particularly important for the design, testing and implementation of new M&E tools and procedures. Where local CSOs and NGOs are available to support M&E and learning activities, they will also be provided on-the-job training (if required) to enable them to be more effective this role.

10.2 Monitoring Project Progress and PerformanceProgress and performance information is required to manage the project activities efficiently and effectively. This will include management of physical resources, project inputs and outputs, finances, and processes and procedures. Progress and performance will be measured against the project 4 year plan and budget, and the annual implementation plans and budgets. Quality of performance (in terms of delivery of outputs and services, and achievement of selected outcomes) will be assessed with the participation of beneficiaries and service users (see 10.3). Performance/progress monitoring will take place continuously to provide the necessary information for decision makers at all levels: the DFGG steering committee and management team, the NCDD Secretariat, the PST, DST, OWSOs and DOs as well as external stakeholder including the World Bank. Managers at each level will be concerned with different information and different levels of detail.

The following table provides a list of the key progress and performance indicators, the frequency with which they should be reported, and the responsible unit for collecting the information and completing the reports. (Note that financial monitoring indicators and reports are discussed in more detail in Section 6 – Financial Management)

19 Project preparation funds will be utilised for in-country training by a local training provider. A 5-day training course is proposed – 3 days on the general principles of M&E and generic M&E skills, and 2 days on the specific requirements of DFGG and the 5 projects (including the development marketplace). The training will be designed to fall within a maximum cost of $10,000 including training fees and participants’ travel and accommodation costs for participants residing outside of Phnom Penh.

Key progress and performance (input and output) indicators, reporting frequency and responsibility

Key progress and performance indicators Reporting frequency

Responsibility

OWSO:List of competencies (services provided) at each OWSO Annual OWSO/DSTNumber and names of Ministries represented at each OWSO Annual OWSO/DSTNumber of transactions under each competency/service at each OWSO Quarterly OWSOIncome generated for each type of transaction at each OWSO Quarterly OWSOTotal revenue generated at each OWSO Annual OWSOProcessing times for key transactions at each OWSO Quarterly OWSO

DO:Number of complaints lodged at each DO by type of complaint Quarterly DOProgress in addressing and resolving complaints at each DO Quarterly DOAverage processing times to address and resolve complaints Quarterly DONumber of complaints successfully resolved Annual DO

Participation and outreach:Number of citizen’s forums held, no. participants (disagg by sex etc), issues Quarterly DSTNumber quarterly pubic forums held, no. participants (disagg by sex etc), issues

Quarterly DST

Number and duration of ‘citizen’s hours’ conducted, no. partic’s (disagg), issues

Quarterly DST

Number, type and duration of information campaigns conducted Quarterly DSTProgress in actioning issues arising from the above activities Quarterly DST

M&E:Number of district baseline surveys conducted Quarterly PSTNumber of OWSO exit surveys conducted, by location, sample size Quarterly PSTNumber of annual audits conducted of OWSO efficiency and effectiveness Quarterly PSTNumber of reviews of DO complaints resolution processes and outcomes Quarterly PSTNumber of focus group discussions (FGDs) conducted on gov’t accountability (incl score card approach)

Quarterly PST

Number of web sites hits (on the various pages), number forms downloaded Quarterly PST

Project management:Number of staff training events by skill, location, number, position and sex of participant

Quarterly PST, DST

Study tours conducted and internships (no., position and sex of participant) Quarterly PSTList of workshops held (incl number, type and sex of participants) Quarterly PST, DSTMeetings of project m’g’t & coordination bodies (Secretariat, PST, TAG) Quarterly PSTProject staffing complement by position, location etc (incl no staff in OWSOs) Annual PST, DSTProject expenditure against budget Quarterly PSTLiquidation of petty cash advances Monthly PSTProcurement status Quarterly PSTAssets held by location (for project-procured assets) Annual PST

It is expected that other indicators of progress and performance will be identified, after the project has commenced to meet emerging needs of managers and stakeholders, and following consultation with CBOs and NGOs and community representatives in the target districts. It will be important however, to limit the information collected to match the capacity of staff to collect and report it and managers to use it for decision-making.

In addition to the above progress and performance information that will be reported regularly, there are a number of important project milestones that must be carefully monitored and their completion reported in the routine reports.

Box 1: Milestones – to be reported in next quarterly report following completion

At each district the completion of the following milestones and the respective dates should be recorded:

Construction of each OWSO Procurement of OWSO and DO equipment for each district Full staffing of each OWSO OWSO services commence Election of DO Commencement of DO service PRDC Excom staffed District baseline study completed Citizen Forums held Information Campaigns completed Other people’s participation measures launched

Project level milestones: PST staffed DST established/staffed Technical Advisory Group established and first meeting conducted Basic monitoring systems, tools and report formats developed and in use Website completed and operating Training manuals completed for OWSO and DO Training manuals tested and approved Legislation drafted (new/upgraded competencies, new Ministries, adjusted fees etc) Legislation enacted Studies completed on OWSO in rural district and Phnom Penh End of project evaluation study completed

10.2.1 Project reporting

The following regular reports will be required to communicate progress and performance information (also see Section 5 – Institutional and Implementation Arrangements):

Annual Workplan. Those responsible for the project implementation will produce a detailed annual action plan. These action plans form the framework against which to monitor progress and performance, and evaluate outcomes. They must be carefully developed with the key stakeholders and implementing officers, and must be realistic. The DST will have primary responsibility for drafting these plans. The annual action plan will include an implementation schedule, a resources schedule and cost schedule for the next year of project implementation.

District Monthly Report. Each month, the OWSO and DO will report basic performance information to the PRDC/ExCom. This will include the number of customers in the OWSO, the associated income generated at the OWSO, and the number of complaints registered with the Ombudsman (including any complaints on corruption at the OWSO).

Quarterly Progress Report. The purpose of quarterly report is to provide concise and factual information on progress and performance against plans and budgets, and present provisional results of the key indicators. Divergences from the action plan must be highlighted and briefly explained, and actions must be recommended to address any associated problems in

implementation.20 The performance indicators and milestones described above should be compiled and summarised. The report will also provide a summary of project expenditure in the quarter and cumulative expenditure to date (against budget). Quarterly reports will be compiled by the DST with contributions from the PST related to finance, procurement and contract administration. Project quarterly reports will be approved by the NCDD Secretariat before forwarding to the DFGG Project Coordinator.

Annual Progress Report. Following the end of each project year, an annual report will be prepared. It will collate and summarise the information from all district annual reports covering all performance indicators and milestones listed above. The annual report will also provide information on the outcome indicators described in the results framework and findings from evaluation studies described below. Progress of key activities against plan will be presented, including associated issues and problems, and actions and recommendations. A summary of annual expenditure against budget and the progress of procurement against the procurement plan will be included. The risk assessment matrix will be reviewed and changes to the communications and partnerships strategies described. The action plan for the upcoming year should be attached to the annual report. The annual report will be compiled by the DST with contributions from the PST.

10.3 Evaluation and LearningTables 1 and 2 (in Section 2) provide a description of the quantitative outcome indicators selected for inclusion in the results-based framework, and the associated means for data collection. However, quantitative indicators are not the only means to assess outcomes. Methods to collect qualitative information are also required as they will often provide richer and more explanatory information for learning from our innovations with agencies, CSOs and the community. For example, increases in stakeholder awareness by x % may provide a quantitative measure of the outcomes from an information, education and communication campaign. But arguably, the nature of their awareness (What exactly are they aware about? Is their awareness correct? Is this information relevant or of value to them? What else do they need to know? etc) and their perceptions of the campaign and its procedures will be more important for project learning. These evaluative and learning-oriented activities will be conducted by local civil society or non-government organisations (CSOs or NGOs). The methods and tools will be developed and tested in conjunction with PST M&E Unit staff with support provided by the DFGG M&E and Learning Adviser. They include citizen’s report cards, exit surveys, focus group discussions, beneficiary interviews, and reviews of DO reports.

These activities are planned to take place throughout the project and the resulting recommendations and lessons will be the basis for improving implementation of OWSO and DO. They will also be of value in evaluating the outcomes and impacts of the project, the efficiency and effectiveness of good governance approaches, and some cases will contribute to an understanding of the financial sustainability of OWSO. A summary of the evaluation and learning tools is provided in the table below.

20 The progress of all key activities in the plan should be described in narrative (progress against plan), any issues and problems arising should be identified, and the actions taken or recommended should be proposed.

Summary of evaluation and learning tools – objectives, frequency and costsTool/Method Objective Frequency Estimated costDistrict baseline survey(conducted by contractor)

To provide general baseline information on costs and accessibility of services to clients before OWSO establishment.It will cover formal and unofficial costs for the service, the number of trips and time required, transport costs to complete the process, perceptions (ratings) of transparency, client satisfaction ratings/scores, and means and ease of making complaints etc

Once prior to project effectiveness. The baseline will cover all target districts plus possibly a control group.

$45,000

Client score cards (filled by customers on voluntary basis and evaluated periodically)

To provide a quantitative score of OWSO performance from the perspective of clients.Voluntary exit surveys will include a client score card to score OWSO in terms of client satisfaction with the services provided (using a range of criteria) and transparency of services.

Filled on voluntary basis by any OWSO customer. Evaluated quarterly by OWSO staff and DO.

No additional cost as it is part of job

description for DO and OWSO chief.

Annual OWSO exit surveys (conducted by CSO/NGO)

To investigate community satisfaction with and confidence in services, transparency (no ‘extra fees’), and cost/time savings to clients. The exit survey will also investigate the situation prior to OWSO/DO regarding ‘extra fees’ to provide additional baseline information; the situation prior to OWSO and DO regarding their confidence in the same administrative services provided at the various provincial offices of the participating Ministries; and the cost/accessibility of those earlier services compared with OWSO21.

Once every year for 5 days at each OWSO. Two independent enumerators interview clients after they have left the OWSO.

($500 per OWSO per year)

$,35,500

Annual independent audit of OWSO efficiency & effectiveness(conducted by CSO/NGO)

To provide an independent audit of OWSO efficiency & effectiveness (this can be against service delivery standards if standards have been developed)

Once a year at each OWSO to take place immediately after the exit survey as part of the same CSO/NGO contract/agreement (part of M&E activity at each OWSO that includes the exit-survey)

(Part of above)

Independent review of DO actions(conducted by CSO/NGO)

To provide independent local review of DO actions to address and resolve complaints. This will involve a review of DO records and selected interviews with complainants.

Once a year for each DO(part of M&E activity)

(Part of above)

Focus group or panel group discussions on government accountability with community and government stakeholders(conducted by CSO/NGO)

To assess changes perceived changes in government agency accountability and performance in delivery of administration & registration services from the perspectives of both the community and senior government management. This will use perception scales (ratings or scores) in separate focus group discussions (govt and CS) at a sample of target districts. If deemed appropriate these focus groups may become permanent panels to make the assessment on an annual basis.

Conducted annually at a sample of 5 of the targeted districts (part of a separate 5 day M&E activity in each of the 5 districts).Two independent facilitators.

($500 per district per year)

$10,000

FGDs on community perceptions of their constraints to using OWSO services

To understand why citizens use or don’t use registration services. To rank the constraints to using OWSO services To determine whether improved services at the OWSO will result in an increase in compliance with registration requirements (and consequently impact on government

Conducted annually at a sample of 5 of the targeted districts (part of a separate 5 day M&E activity in each of the 5 districts).

(Part of above)

21 Not all clients to the OWSO will have sought the same service prior to the commencement of the OWSO – therefore the direct comparisons may be limited.

Tool/Method Objective Frequency Estimated costrevenue and OWSO sustainability). (For example: Are speed of services, accessibility of offices, reduced numbers of offices to visit, clear procedures, transparency etc important factors in community compliance? Is the lack of enforcement of registration a more important factor?).

Two independent facilitators.

FGDs Community/stakeholder perceptions of DO effectiveness and independence etc. To incorporate a community report card approach.

To determine community perceptions on the value of the DO and the strength and independence of the DO to address and resolve their complaints. To score the DO service using a range of criteria.To learn how to improve the DO service.

Conducted annually at a sample of 5 of the targeted districts (part of a separate 5 day M&E activity in each of the 5 districts).Two independent facilitators.

(Part of above)

FGDs on community and participant perceptions of value of forums etc (duration, opportunity to raise issues) and receptiveness & responsiveness of officials to the concerns raised/discussed.

To asess community/participant perceptions on the value of forums etc including perceptions of improved accountability and responsiveness of government to community needs/concerns.To score these new forms of citizens participation and associated government accountability/responsiveness.To learn how best to promote accountability and responsiveness from the perspectives of the community.

Part of CSO/NGO reporting on the conduct of the forum etc

Included in the costs of running the forums

FGDs on community and participant perceptions of value/relevance of information provided in information campaigns and forums.

For the community to assess and score (using a range of criteria) the information provided through campaigns and forums.To learn what works best.

Part of CSO/NGO reporting on the conduct of the campaign

Included in the costs of running the

campaigns and forums

FGDs on community and participant perceptions of the opportunity to participate in planning, decision-making at district level.

To assess community perceptions of the opportunities available for them to participate in administrative reform at the district level (eg in planning, decision-making, M&E): the extent and effectiveness of these opportunities.To learn how to better enable/promote community participation in reform.

Part of CSO/NGO reporting on the conduct of the forum

Included in the costs of running the forums

Mid-term evaluation survey(conducted by contractor)

To provide mid-term information on costs and accessibility of services to clients; which can be compared with baseline data in a robust and statistically representative manner. It will cover formal and unofficial costs for the service, the number of trips and time required, transport costs to complete the process, perceptions (ratings) of transparency, client satisfaction ratings/scores, and means and ease of making complaints etc

Once at the end of year 2 or start of year 3 in only the districts that were targeted in the first year of implementation, plus the existing two pilot districts and possibly a control group.

$30,000

End of project evaluation(conducted by independent contractor)

To provide an independent evaluation of project efficiency, effectiveness, relevance, impact/outcomes and sustainability. To provide recommendations to continue similar program of support or extend the project, if appropriate. And to document lessons for similar or future activities.

A once-off activity near the end of the project at a sample of the target districts

$30,000

All training will be evaluated with a standard questionnaire. These questionnaires will be distributed to the participants at the end of each training session. The evaluation of these questionnaires is an important instrument in checking the quality of the training activities and, when necessary, to improve or offer additional training.

11. Communication Strategy and planThe description in Section 1 above shows that the OWSO and DO have been piloted with relative success in two provinces in Cambodia. People who use the OWSO are relatively satisfied with the service. The OWSO and DO represent the commitment of the government to streamline services that are in demand, providing a one window services (with exceptions) for key services in a few areas. It models the transparency, and efficiency/effectiveness of services components of Good Governance. There appears to be excess supply for demand in the two pilot areas. Part of the reason that people may not use the service is that they cannot really do everything at the OSWO.

The expansion of the OWSO-DO model is going to be done in a phased manner. Because the services will not be available nationwide for some time, use of national media to target potential customers will not be possible in the first years, even though that provides cost effective outreach for the project . Part of the communication strategy need to address these ministries, because without a sufficiently broad range of services, OWSO will continuously face a supply vs. demand gap. This in turn will affect the success of the service. Word of mouth communication will be key here, and with fewer satisfied voices, the ripple effect will be slowed down.

The current outreach efforts, essentially announcing the service through dissemination locally using megaphones, have resulted in the current rate of use of the service. In addition flyers are used to help existing customers generate new business. National media could not be envisaged as the service is limited to two provinces. The challenge is to expand the demand in the existing areas, through a more assertive outreach campaign – and by improving the service delivery itself. Making the service more responsive to the perceived needs of the community by including more services, is not an issue for the communication strategy per se, but needs to be flagged as an issue. In the meantime, OWSO should have a sort of referral card that indicates where a customer can go for a complimentary service (i.e. a health certificate for a new restaurant). This would also show other ministries the spirit of collaboration of OWSO, as a client centred service that has the best interest of the customer in mind.

The OWSO may benefit from the outreach efforts of the RNK in particular, but this needs careful thought, as it may generate demand for services in areas that the MoI is not ready to provide them. This would have a demobilizing effect on the audience. Face to face communication supported by billboards may be an effective strategy. In addition, the service should be clearly indicated through signage. In Battambang, the sign for the service is in the courtyard, whereas if it were outside it might help attract more traffic.

Because there are service delivery points involved, it is relatively cost effective to capture individual inputs, but a random sampling methodology would be needed in addition to or instead of the current voluntary feedback provided on the client satisfaction forms that are currently used. In addition a more proactive DO service could help generate feedback that can be used in making operational decisions in the future. This is important as negative word of mouth can be generated through customers’ perceived inefficiency of the services. These small “coffee stains” can lower confidence in the programme as whole. (In the 1970s Northwest Airlines research suggested that if a passenger found a coffee stain on the drop down tray, they felt that there was also a possibility that the engine might fall off!)

The more existence of a DO, may help to keep the District Officials in line, in a passive way. However a more proactive DO may indeed help generate more demand for the service. The DO appears to undertake limited outreach efforts, but could for example be present in the physical location of the OWSO on a certain day to gather complaints and feedback.

11.1 Audiences Primarily there are three main audiences that are concerned directly with the intervention: the potential customers for the services, limited to those that would be interested in the available services; the provincial and district officials; and other ministries of the government where it would be logical to include their services into the OWSO.

Secondary audiences would include: Senate and Assembly Members as a possible pressure group Business associations and chambers of commerce that can also act as pressure groups

and transmit information down the line to their members.

At the tertiary level international donors are an important group to keep abreast of the progress of the OWSO and opportunities for convergence that may exist.

11.2 Objectives Three main objectives can be proposed: 1. Potential customers understand the benefits of the OWSO and DO, use the services, and

talk about them with others. 2. Increase understanding and appreciation of the OWSO and how other ministries can

benefit from integrating selected services into the OWSO framework. 3. To expand the demand in the existing areas, through a more assertive outreach

campaign and by improving the service delivery itself.

Messages

1. The OWSO provides transparent and efficient services that can help citizens get on with their business with the government. As such it is a new page for Cambodia, working in a small but important way to build the country.

2. Communicate the benefits of the service to other ministries. For example that they are part of a winning government strategy or that they will be better perceived by the public.

3. The DO is a key way for citizens to feedback about district services, and for the government to improve. It is an example of responsiveness by the government. It is fair and confidential and using it will help build a better society.

4. OWSO does not provide all services, but is trying to provide those most in demand. Include referral information about the services that are not provided in this message.

11.3 Tactics and ToolsSuggested communication activities might include:1. Improving simple print materials at the local level, to include information that refers the

customer to the other services that are not available through OWSO (but are complementary)

2. An annual award for the commendable service by staff at OWSO. Different categories could be developed. The awards could be given at a high profile ceremony. Resulting media coverage would put pressure on civil servants in other ministries, and potentially influence their integration in the service.

3. As the One Window Service will be provided in at least one urban centre in each of Cambodia’s provinces a nationwide campaign should be envisaged using mass media. This campaign should be carefully conceived so as not to generate demand in areas where the service is still not available. The nationwide campaign should be supported

and enhanced by localized campaigns announcing the service through face to face meetings, local public service announcements, and use of billboards.

4. Feature stories on RNK about satisfied customers to reinforce behaviour of the customers and to generate curiosity and interest In provinces where the services are not yet available.

5. Orientation sessions for other ministries with information that includes data on the use of the services, customer satisfaction, and possibly eyewitness accounts. This could be accompanied by a short video production (15 minutes) detailing the service and how it works. Could be filmed at one of the pilot OWSO.

6. Proactive Road Shows by the District Ombudsman, so that the services can be promoted. DO should target conventional as well as unconventional venues. Could also be linked with the MONASRI complaint mechanism.

7. Annual publication of statistics about One Window, in a semi glossy format – possibly on a CD ROM, that could be distributed to Donors and the Media. Dissemination could be linked with the Merit Awards ceremony.

8. Organizing media site visits at the time of the opening of the OWSO. These mini launches could help generate additional free media coverage.

11.4 Monitoring & Evaluation of Communications StrategyPlease see the Strategic Communication Matrix in Appendix 5 on specifics related to process, outcome and impact indicators for the communications strategy.

12. Participation and Partnership PlanCooperation with all of the social groups and other development organizations that are active in Cambodia is an important requirement to the success of the project. Representatives of the NGOs, the business sector and other stakeholders are in touch with the problems of the people, and they know which services the people most desperately need in order to ease their day-to-day lives. Therefore, it is necessary that they be included in the discussions about the delegation of further competencies to the OWSOs, that their suggestions be considered, and where possible also implemented. Since the representatives of NGOs, business and other stakeholders are at the same time customers of the OWSO, they are also an important source of information. Their feedback about the services of the OWSO is therefore particularly important and should regularly be collected.

12.1 Participation Strategy

1) With the new approaches and strategies that will be adopted in the OWSO/DO Project, the Ministry of Interior needs to expand its staff skills. Hence, the Capacity Building and Training Plan being developed for the OWSO/DO key staff should be able to address these. Consultation with relevant government agencies and non-government organizations (CSOs) will be undertaken to review and further develop its Capacity Building and Training Plan both in preparatory and implementation phases. In these consultations, their views in the design of training programs and manual, selection of trainers, implementation of TOT training and organization of study tour, internship and on-the-job training and the time table for the activities in the plan will be discussed. This process will ensure that the capacity development plan to be implemented will be effective in developing and/or strengthening capacity of the staff of the OWSO and DO.

2) DST will try hard and work for a meaningful participation where the key stakeholders are present and are fully involved in key decision making processes (dialogues, meetings, workshops). Participatory tools and methods should be used to generate a meaningful participation from key stakeholders. An orientation on participatory methods and tools

can be considered to include in the capacity development plan for key project implementors from the OWSO/DO. Building the capacity of the OWSO/DO project staff on this can be part of collaboration activity/partnership with Non-State Institutions.

3) The participatory activities outlined in Component 3: Implementing New Forms of Citizen’s Participation and Outreach will be further tested, refined and institutionalized in the project to promote genuine participation from the key stakeholders and thereby promote good governance. The following will be explored and adopted in some of the proposed participatory activities:a. Conduct of the Citizen’s Forum is planned to be carried-out jointly with an NGO not

only to promote collaboration between state and non-state institutions but more importantly to allow for more participatory preparatory processes to be done prior to its actual conduct. The NGO selected will initiate preparatory activities prior to the annual citizen’s forum: Initiate consultation meetings with identified citizen’s groups/organizations to

make them aware of OWSO and DO objectives, functions and activities and to discuss objectives and agenda of the forum. The outcome of this meeting is the agreement from the groups/organizations to participate in the annual forum and to select the right representatives to send.

Initiate coordination meetings with the DST and District Administration to prepare the specific objectives, agenda/program for the annual forum;

Send invitations, post reminders for the forum in public places.b. Coordination Meetings: NGOs and development organizations that work in the field

of decentralization and good governance meet regularly (2-4 times a year) in order to coordinate their programs and avoid overlap. Representatives from the District Support Team or key staff of the project will participate in these meetings to present OWSO/DO on-going and planned activities. Cooperation with the following groups in this respect is especially important: the District Initiative Project (Capacity Building on District Level), the Inter-commune Cooperation Project (social services on commune level), UNICEF and IFAD (agriculture).

12.2 Partnership planThis section elaborates the potential partners such as CSOs/NGOs and other DFGG State Institutions. The OWSO and DO component by MoI should collaborate with them in order to integrate and/or complement their respective activities and make these sustainable.

The following partnership strategies and proposed actions will be undertaken.

1. The DO office will be linked with the proposed law dissemination function being piloted under the MONASRI component in the DFGG project. The DO can become an ‘advisor’ for citizens on various laws and can have information on government programs and policies available at their office.

2. There is also good potential to institutionalize links between the OWSO-DO component and AC, MONASRI, RNK and the Non-state Window components of the DFGG project as they can carry out complementary activities related to (a) grievance redress and law dissemination, (b) dissemination of information on district policies and feedback on performance, and (c) monitoring of the OWSO and DO offices.

The following table shows potential collaboration activities. It also presents the requirements/actions needed to further develop the partnership plan and formalize agreements between DST, other DFGG State Institutions and CSOs.

Potential Collaboration Activities Envisaged with Other State Institutions and with CSOs:

A. COLLABORATION ACTIVITIES WITH OTHER STATE INSTITUTIONS

PARTNERSHIP REQUIREMENTS/ACTIONS PRIOR TO PROJECT IMPLEMENTATION

1. RNKa. RNK to help disseminate the OWSO and DO

project activities through its Talk Back Program (TBP), Features and News programs

b. RNK will help explain the OWSO services through its TBP and Features RNK to help clarify the role and functions of the DO through its TBP and Features

c. OWSO to help disseminate RNK’s programs in its Citizens’ Forum

d. OWSO will provide space in its offices for RNK’s posters, leaflets and brochures to advertise RNK’s program schedules and other activities

a. RNK and OWSO will nominate contact person/focal pointb. DST will provide RNK with information on its plans and

programs for dissemination specific to each of RNK’s programs: TBP; News; and for consideration and incorporation in its final draft project proposal. Further negotiation meetings between RNK and OWSO/DO through MoI will be done to formulate MOU that will formalize collaboration between the 2 State Institutions prior to project implementation

c. RNK will come-up with posters, leaflets/ brochures for distribution (e.g. at OWSO offices)

d. Both will establish regular coordination meetings to discuss progress, issues and plans

2. MoNASRIa. MoNASRI to help disseminate the Prakas on

OWSO and DO roles and functions and services through its planned dissemination activities e.g public forum

b. MoNASRI will forward complaints received which are specifically related to OWSO. DO will also send relevant complaints received to MoNASRI

c. MoNASRI to help disseminate accomplishments of OWSO and DO during its dissemination activities

d. DO can help MoNASRI to disseminate the mechanisms, systems and procedures for complaints reception and schedules of DFGG activities of MoNASRI for law dissemination

e. DO can help distribute MoNASRI’s brochures or leaflets explaining land laws and complaints reception and handling mechanisms at OWSO district offices

a. MoNASRI and DST will nominate contact person/focal point

b. Both will establish regular coordination meetings (monthly basis) to discuss progress, issues and plans

c. DST will provide MoNASRI the legal documents (Prakas/circulars) concerning OWSO/DO mandate, roles and functions and services and vice versa

d. MoNASRI will formulate brochures and leaflets or posters to be given to OWSO/DO

COLLABORATION ACTIVITIES WITH OTHER STATE INSTITUTIONS

PARTNERSHIP REQUIREMENTS/ACTIONS PRIOR TO PROJECT IMPLEMENTATION

3. ACa. AC to help disseminate the Prakas on OWSO and

DO roles and functions and services through its planned dissemination activities

b. AC to help disseminate accomplishments of OWSO and DO during its dissemination activities and vice versa

c. OWSO/DO can help AC to disseminate its arbitration mechanisms, systems and procedures

d. DO can help distribute AC’s brochures and other dissemination materials.

a. AC and DST will nominate contact person/focal point b. Both will establish regular coordination meetings (monthly

basis) to discuss progress, issues and plansc. DST will provide AC the legal documents

(Prakas/circulars) concerning OWSO/DO mandate, roles and functions and services and vice versa

d. AC will provide dissemination materials to OWSO/DO

B.COLLABORATION ACTIVITIES WITH CIVIL SOCIETY

ORGANIZATIONSPARTNERSHIP REQUIREMENTS/ACTIONS PRIOR TO

PROJECT IMPLEMENTATION1. CSOs can provide assistance in the further development

and conduct of OWSO/DO’s Capacity Building and Training Plan

OWSO/DO project will initiate consultation meetings/workshop to present Capacity Building and Training Plan to relevant and/or interested CSOs and identify potential collaboration

1. CSO/s can help OWSO/DO undertake preparatory activities for conducting the Citizen’s Forum and actual conduct of the Citizen’s Forum

DST to conduct further consultation sessions with potential CSOs/NGOs to establish and firm up the specific partnership arrangements on this during project pre-effectiveness period

2. CSOs can be involved in the monitoring and evaluation of the project

-ditto-

3. Qualified and trained staff will be designated by the project to follow-up on further development of the partnership plan leading to its operationalization/implementation. Specifically, the designated staff should pursue the implementation of the partnership requirements and actions needed as indicated in the above tables.

The following two key actions will be pursued by the Project related to the participation and partnership plan during the pre-effectiveness phase:

DST will organize a follow-up workshop with CSOs and other DFGG State Institutions to present its participation and partnership plan and strengthen activities for collaboration and joint undertaking. Representatives from the Program to Enhance Capacity for Social Accountability (PESCA) and The Asia Foundation (TAF) will be invited in this workshop. One of the program goals of PECSA is to enhance the capacity of CSOs in building partnerships to do social accountability. The TAF on the other hand, has been designated to manage the Non-State Window Component of DFGG; and

DST will also follow-up with CSOs and line ministries to review and finalize its Capacity Building and Training Plan. Representatives from PESCA and TAF will also be invited to participate in this workshop.

13. Risk Assessment

13.1 Reluctance of the Ministries to Delegate Functions to OWSOBased on the previous experiences of the OWSO project it is considered this is a “key issue” or foremost risk in the expansion of the project under DFGG. The core objective of the OWSO as a pilot is the delegation of public service functions from the line ministries to the sub national levels. So far, seven ministries have delegated functions to the OWSO and three (Agriculture, Health, and Education) have yet to do so. Experience from the pilots in Siem Reap and Battambang suggests that some ministries are concerned about “turf” issues and are reluctant to delegate functions to OWSO. Ministries sometimes delegate peripheral or superfluous functions to the district-level OWSOs, such as the process of licenses for very small guest houses and restaurants that have practically no public demand at the districts. Those delegated functions and staff members assigned to the OWSOs may not have support from the Ministries in terms of resources and managerial attention.

Measures to address this issue:

The Technical Advisory Group at the national level can help in resolving this problem by mobilizing political support at the highest levels in the ministries for this project. If high ranking officials of a delegating Ministry is included in this Group, the corresponding ministry is likely to lend its support for delegating functions to the OWSO.

The decision of the RGC should include clear instructions to the involved ministries to delegate functions to the OWSOs.

13.2 No incentives for Civil Servants at Sub-national LevelsIncentives for the OWSO and DO staff in addition to their basic salary will motivate them to do their work effectively. In the first two years MBPI will be financed from the project’s funds; in the third year the government will provide 50% of the costs, in the fourth year MBPI will be financed solely by the government.

If there are no budget provisions for the MBPI on sub-national levels from the third year, and hence the government will not be able to provide funds to sustain the scheme, then the OWSO staff will suffer a substantial pay cut resulting in loss of motivation and reduction of quality of work. This increases the risk that corruption finds its way also into the OWSO.

Measures to address this issue:

The MoI reaches an agreement with the MoEF stating that the OWSO’s proceeds will be placed at the disposal of the district administration, so that there will be enough funds to pay for sustaining the salary incentives from the third year on and cover operational cost at the end of the project.

The present sub-decree 29 on MBPI is not clearly understood by the implementing agencies how to apply it. This issue is to be raise with the CAR and MEF for clarification. Pending the result from this clarification, the existing structure of providing sub-national incentives through the NCDD will be pursued.

13.3 Lack of Staff CapacityThe OWSO and the DO are visible signs of the RGC’s intention to decentralize Cambodia’s administration and to redesign it in a more transparent and citizen-friendly way. That is why it is important to take care during the implementation that the offices are designed in a customer-friendly fashion, they are easily reached and the citizens are treated friendly and politely. That is why not only technical know-how (procedures of service delivery) must be delivered, but also a new etiquette of courteous, responsive and professional by civil servants must be developed. The citizens are not subjects any longer, but customers to be treated politely.

The risk that not enough staff is available for the OWSOs is low. Since the ministries have the ability to transfer their officers into the OWSO, no big difficulties are to be expected in this regard. However, the selection of staff should start in time, immediately after the project is approved for funding by the World Bank.

Measures to address this issue: Immediately after the approval of the legal framework, the MoI will begin discussions with

the provinces and districts which should receive OWSOs in the first project year. The goal is to determine what personnel capacities (in terms of numbers and experience) are available in the provinces.

On the basis of this assessment it will be decided whether additional people are needed and if so, how they should be identified. A set of criteria for selection could be worked out by OWSO in consultation with the sending line departments.

Identify opportunities for multi-skilling of staff, supported by clear and easily administered procedural manuals detailing Standard Operating Procedures for each service. Each staff member will be provided with a clear job description for their position and will be required to commit to an agreement under the MBPI in order to be eligible for incentive payments under this scheme.

After the selection of the staff for the OSWO and its first training, it must be determined how much training is needed on a continuing basis to upgrade the skills and refresh the attitudes and ethos of the civil service.

Performance management is critical to managing service delivery. Procedures for selection and induction of staff, evaluating staff performance, providing appropriate incentives and rewards (under the MBPI) and for follow-up training to build staff capacity on an ongoing basis must be put in place.

A staff plan will be developed for each office providing details of activities relating to:1. Selection and placement of staff;2. Performance Appraisal requirements;3. Staff training and development; and4. Incentive and rewards to be provided.

A confidential Customer Complaint Procedure through the voluntary client scorecard forms is prominently displayed in all OWSO offices and business premises

13.4 Sustainability of the OWSO Operations It is a concern that the expanded OWSO activities may have to be rolled back once funding under the DFGG Project ceases. Public demand for services will be unmet and the raised expectations during the Project will be similarly unsatisfied.

Measures to address this issue: OWSO to use the Project period to build a track record and demonstrate to the RGC the

demand for its services. It could use this track record to secure RGC’s commitment to support the OWSOs after the DFGG project cycle.

The project will also work with the MOI’s law enforcement arm to ensure that there is adequate compliance to registration and licensing laws.

Study global examples to assess if revenue generation and local finance models could work in the Cambodian context.

Seek funding from international agencies interested in supporting local governance reforms.

13.5 Corruption in the OWSODue to the systems in place in the BTB and SRP OWSO, barely any corruption was reported and observed. These systems ensure a high level of transparency and cover following: Published fees of all service costs at the OWSO Announced time for delivery of services Elected ombudsman available for the citizens Established public forums The complaints procedure is prominently displayed in appropriate formats in client waiting

areas. Organize dissemination campaigns including fees, time, roles, responsibilities, available

services etc.

Additional Anti-corruption Measures: Standard Operating Procedures (SOPs) for each service clearly documented and

displayed publicly in the OWSO Front Office in a form appropriate to all clients and stakeholders.

Raise awareness of the client population about service standards, SOPs and codes of conduct, etc. through RNK’s Talkback Program.

Random inspections of the OWSOs at least four times a year by DST and random visits by the Ombudsman.

Check cash balance and receipts regularly to ensure proceeds are properly accounted for.

Survey customers for their feedback on the quality of services and signs of corruption. Feedback from citizen forum and public forum on the service quality and areas for

improvement. Cooperation with Provincial Accountability Working Group to improve oversight of the

project activities.

13.6 Lack of Financial ResourcesIn the project, it is planned that the costs for the buildings for OSWO and DO will be paid for by the government from the third year on. But whether these funds will really be provided is not clear yet. The Ministry of Interior has promised to negotiate the issue with the MoEF in time, so the expenses will be taken into account in the budget plan for 2010.

Measures to address this issue: MoI will discuss financial issues regarding the budget for the buildings with MoEF.

MoI will make a request to the MoEF for the 2010 budget to provide for funding for the third year

In case such agreements are not reached by the end of year 2, then as mentioned above, the project will cover the additional costs but scale down the expansion to a total of 15 districts.

Please see Appendix 6 for a Risk Assessment Matrix and Appendix 7 for the Transparency and Good Governance Plan for the Project.

14. Sustainability Issues and ArrangementsThe OWSO, the DO, and new forms of people’s participation support the government and parliament’s goals of making Cambodia’s administration more efficient, citizen friendly, and transparent. In other words: The core of the Rectangle Strategy will be supported by this project.

Another positive: The Ministry of Interior is working on a draft of the Organic Law. It is a good chance that the law will be passed by the time the DFGG project is ready for effectiveness. According to the new structure of the administration at the sub-national level, the urban districts – according to the present plans – will receive a new and more important role. The Organic Law will very likely safeguard the things that will be tested and implemented during the DFGG project. This is one of the most important conditions for the sustainability of the OWSO project.

But nevertheless as long as the RGC cannot assure the financial support for the buildings of the OWSOs, for the incentives from the third year on, the sustainability of the OWSOS is not guaranteed yet. Therefore, in the course of the project the following measures must be taken:

Agreement with the MoEF that the fees of the OWSO can be used for the financing of the running costs and as far as possible for staff incentives.

The number of persons employed in the OWSO, in particular in the back office must be checked and if possibly reduced.

The competences transferred to the OWSO must be extended to increase the generated revenue of the OWSO.

If these three conditions become effective, the OWSO can be continued without additional financial support of the government. To facilitate these, the project has undertaken a financial sustainability analysis (Appendix 12) which will be presented to the MOI as a basis for negotiation and shall be monitored during project implementation. Separately, the back office staff of the OWSO will be retained on a part-time basis and if the system for providing incentives to them through the ExCom is approved then this will ensure that the offices remain financially viable. Finally, the work on delegating additional competencies to the OWSO shall be pushed through the TAG and NCDD throughout the life of the project and the communications and outreach campaigns that will be conducted will target existing and potential ministries to ensure that more functions are given to the OWSO and it can become an even more useful resource for its customers.

15. Appendixes

Appendix 1: Detailed Budget of the Project

# of unit cost/unit total # of unit cost/unit total # of unit cost/unit total # of unit cost/unit totalComponent 1: Expansion of OWSO and DO to New target districts and upgrade OWSO of BAT and SRP

Act1 The establishment of legal frameworks1.1 Formulation of policy/legal document Lum 10 500.00 5,000.00 5 500.00 2,500.00 5 500.00 2,500.00 5 500.00 2,500.00 12,500.00

Sub-total Act 1 5,000.00 2,500.00 2,500.00 2,500.00 12,500.00Act2 Preparation and Renovation of OWSOs

2.1 Office building/renovation 7 50,000.00 350,000.00 8 0.00 0.00 7 0.00 0.00 0 0.00 0.00 350,000.002.2 Computer sets (5 set/ new district and 2 set/old district) per set 39 900.00 35,100.00 40 900.00 36,000.00 35 900.00 31,500.00 0 900.00 0.00 102,600.002.3 Printer (2/district) 14 350.00 4,900.00 16 350.00 5,600.00 14 350.00 4,900.00 0 350.00 0.00 15,400.002.4 Cash registers (1 set /district per set 7 2,800.00 19,600.00 8 2,800.00 22,400.00 7 2,800.00 19,600.00 0 2,800.00 0.00 61,600.002.5 Photo Copier ( 1 set/district) per set 7 3,500.00 24,500.00 8 3,500.00 28,000.00 7 3,500.00 24,500.00 0 3,500.00 0.00 77,000.002.6 Motorbikes (2/district) per set 18 1,250.00 22,500.00 16 1,250.00 20,000.00 14 1,250.00 17,500.00 0 1,250.00 0.00 60,000.002.7 Safes (1/district) per set 9 250.00 2,250.00 8 250.00 2,000.00 7 250.00 1,750.00 0 250.00 0.00 6,000.002.8 Mainternance cost lum/distrct 9 300.00 2,700.00 17 300.00 5,100.00 24 150.00 3,600.00 24 0.00 0.00 11,400.002.9 Phone system (2 lines/district) installation 7 150.00 1,050.00 8 150.00 1,200.00 7 150.00 1,050.00 0 150.00 0.00 3,300.00

2.10 Phone charges 108 75.00 8,100.00 204 75.00 15,300.00 288 37.50 10,800.00 288 0.00 0.00 34,200.002.11 Furniture/infromation boards per set 7 4,475.00 31,325.00 8 4,475.00 35,800.00 7 4,475.00 31,325.00 0 4,475.00 0.00 98,450.002.12 Stationary per place 108 250.00 27,000.00 204 250.00 51,000.00 288 125.00 36,000.00 288 0.00 0.00 114,000.002.13 Extra motorcycle for OWSO in rural district 0.00 0.00 2 1,250.00 2,500.00 0.00 2,500.002.14 Fuel for motorcycles 216 15.00 3,240.00 408 15.00 6,120.00 600 7.50 4,500.00 600 0.00 0.00 13,860.002.15 OWSO utility cost (electricity, water...) 108 120.00 12,960.00 204 120.00 24,480.00 288 60.00 17,280.00 288 0.00 0.00 54,720.002.16 Incentives for OWSO and DO assistant staff district/year 9 14,644.80 131,803.20 17 14,983.80 254,724.60 24 14,102.40 338,457.60 24 13,221.00 317,304.00 1,042,289.402.17 Incentives for DO district/year 9 1,356.00 12,204.00 17 1,356.00 23,052.00 24 1,356.00 32,544.00 24 1,356.00 32,544.00 100,344.002.18 Annual Award for OWSO staff Awards 10 100.00 1,000.00 10 100.00 1,000.00 10 100.00 1,000.00 0 0.00 0.00 3,000.00

Sub-total Act 2 690,232.20 531,776.60 578,806.60 349,848.00 2,150,663.40Act3 Staff training and capacity building

3.1 Indentification of trainers 0.00 0.003.2 Developing of training material and conducting of TOT on 1 3,375.00 3,375.00 0.00 0.00 3,375.003.3 Training of OWSO staff at district level 7 1,070.00 7,490.00 8 1,070.00 8,560.00 7 1,070.00 7,490.00 0 1,070.00 0.00 23,540.003.4 Developing of training material and conducting of TOT on 1 3,375.00 3,375.00 0.00 0.00 3,375.003.5 Training of OWSO staff at district level 7 1,070.00 7,490.00 8 1,070.00 8,560.00 7 1,070.00 7,490.00 0 1,070.00 0.00 23,540.003.6 Development training material and conducting of TOT on 1 3,375.00 3,375.00 0.00 0.00 3,375.003.7 Training OWSO staff at district level 7 1,070.00 7,490.00 8 1,070.00 8,560.00 7 1,070.00 7,490.00 0 1,070.00 0.00 23,540.003.8 Computer skills 3 per/district 27 150.00 4,050.00 24 150.00 3,600.00 21 150.00 3,150.00 0 150.00 0.00 10,800.003.9 Technical Training on public work 7 430.00 3,010.00 8 430.00 3,440.00 7 430.00 3,010.00 0 430.00 0.00 9,460.00

3.10 Technical Training on tourism 7 430.00 3,010.00 8 430.00 3,440.00 7 430.00 3,010.00 0 430.00 0.00 9,460.003.11 Technical Training on comerce 7 430.00 3,010.00 8 430.00 3,440.00 7 430.00 3,010.00 0 430.00 0.00 9,460.003.12 Technical Training on land and construction 7 430.00 3,010.00 8 430.00 3,440.00 7 430.00 3,010.00 0 430.00 0.00 9,460.003.13 Technical Training on cultures 7 430.00 3,010.00 8 430.00 3,440.00 7 430.00 3,010.00 0 430.00 0.00 9,460.003.14 Technical Training on mine and industry 7 430.00 3,010.00 8 430.00 3,440.00 7 430.00 3,010.00 0 430.00 0.00 9,460.003.15 Technical Training on Health 9 430.00 3,870.00 8 430.00 3,440.00 7 430.00 3,010.00 0 430.00 0.00 10,320.003.16 Technical Training on Education 9 430.00 3,870.00 8 430.00 3,440.00 7 430.00 3,010.00 0 430.00 0.00 10,320.003.17 Technical Training on Agriculture 9 430.00 3,870.00 8 430.00 3,440.00 7 430.00 3,010.00 0 430.00 0.00 10,320.003.18 Technical Training on document legalization 7 430.00 3,010.00 8 430.00 3,440.00 7 430.00 3,010.00 0 430.00 0.00 9,460.003.19 Trainings of support staff (DSA) persons/month 72 25.00 1,800.00 136 25.00 3,400.00 192 25.00 4,800.00 192 25.00 4,800.00 14,800.003.20 TrainingTravel cost for support staff person/trip 36 20.00 720.00 68 20.00 1,360.00 96 20.00 1,920.00 96 20.00 1,920.00 5,920.003.21 Study tours to BAT and SRP 7 1,000.00 7,000.00 8 1,000.00 8,000.00 7 1,000.00 7,000.00 0 1,000.00 0.00 22,000.003.22 Internship for OWSO chief and DO for 5 days 7 340.00 2,380.00 8 340.00 2,720.00 7 340.00 2,380.00 0 340.00 0.00 7,480.00

Sub-total 81,225.00 79,160.00 71,820.00 6,720.00 238,925.00Act4 General information

4.1 Web site design, update and install lum 1 3,000.00 3,000.00 1 3,000.00 3,000.00 1 3,000.00 3,000.00 0 3,000.00 0.00 9,000.004.2 Information on the other services district/year 9 50.00 450.00 17 50.00 850.00 24 50.00 1,200.00 24 50.00 1,200.00 3,700.00

Sub-total 3,450.00 3,850.00 4,200.00 1,200.00 12,700.00Act 5 Study on potential OWSO model for Phnom Penh

5.1 Study on PNP city options 1 15,000.00 15,000.00 0.00 0.00 0.00 15,000.00Sub-total 15,000.00 0.00 0.00 15,000.00

2nd Year 3rd Year 4rd Year TotalCode Activity Unit

1st Year

Atc 6 Study on potential pilot OWSO model for Rural District6.1 Study on rural district options 1 10,000.00 10,000.00 0.00 0.00 0.00 10,000.00

Sub-total 10,000.00 0.00 0.00 10,000.00Sub-Total Component 1 804,907.20 617,286.60 657,326.60 360,268.00 2,439,788.40Component 2: Expending and Strengthening the Capacity of the DO

Act1 Design of new election system for the DO1.1 Design of new election system for the DO lum 0 500.00 0.00 0.00 0.00 0.00 0.00 0.00

Sub-total lum 0.00 0.00 0.00 0.00 0.00 0.00Act2 Training and Election of Ombudsman

2.1 Training on DO election procedures 7 304.00 2,128.00 8 304.00 2,432.00 7 304.00 2,128.00 0 0.00 0.00 6,688.002.2 Organizing of election lum 7 300.00 2,100.00 8 300.00 2,400.00 7 300.00 2,100.00 0 6,600.00

Sub-total 4,228.00 4,832.00 4,228.00 0.00 13,288.00Act3 Setting up the Office of the DO (including in component 1 act 2) 0 0.00 0.00 0 0.00 0.00 0 0.00 0.00 0 0.00 0.00 0.00

Sub-total 0.00 0.00 0.00 0.00 0.00Act4 Capacity Building and Support to the DO

4.1 Training for DO on roles/res/functions 7 250.00 1,750.00 8 250.00 2,000.00 7 250.00 1,750.00 0 250.00 0.00 5,500.00Sub-total 1,750.00 2,000.00 1,750.00 0.00 5,500.00

5,978.00 6,832.00 5,978.00 0.00 18,788.00Component 3: Implementing New form of Citizen Participation and Outreach

Act1 Conduct Annual Citizen's Forum 1.1 Organizing of citizen's forums (contacting out with NGOs) per unit 9 1,000.00 9,000.00 17 1,000.00 17,000.00 24 1,000.00 24,000.00 24 1,000.00 24,000.00 74,000.00

Sub-total 9,000.00 17,000.00 24,000.00 24,000.00 74,000.00Act2 Conduct Semi-Annual Public forum

2.1 Orginizing of Semi-Annual Public forum 18 200.00 3,600.00 34 200.00 6,800.00 48 200.00 9,600.00 48 200.00 9,600.00 29,600.00Sub-total 3,600.00 6,800.00 9,600.00 9,600.00 29,600.00

Act3 Good governance forum (organized by DFGG) 0 0.00 0.00Sub-total

Act4 Setting Up of Monthly Citizen's Hours 0 0.00 0.00 0 0.00 0.00 0 0.00 0.00 0 0.00 0.00 0.00Sub-total 0.00

Act5 Conduct Periodic Information campaign on OWSO and DO5.1 Information campaign on OWSO and DO at district per unit 9 1,000.00 9,000.00 17 1,000.00 17,000.00 24 1,000.00 24,000.00 24 1,000.00 24,000.00 74,000.005.2 Posters, Leaflets, Stickers per unit 9 2,000.00 18,000.00 8 2,000.00 16,000.00 7 2,000.00 14,000.00 0 2,000.00 0.00 48,000.005.3 Radio Campaign /TV per unit 9 1,000.00 9,000.00 17 1,000.00 17,000.00 24 1,000.00 24,000.00 24 1,000.00 24,000.00 74,000.005.4 Short Video on OWSO and DO lum 1 5,000.00 5,000.00 5,000.00

Sub-total 41,000.00 50,000.00 62,000.00 48,000.00 201,000.0053,600.00 73,800.00 95,600.00 81,600.00 304,600.00

Companent 4 : M&E and Learning and Ensuring High Performance Standards in OWSO and DOAct1 Finalizing the Design M&E system

1.1 Designing M&E and database report system (pre-implementation) 1 0.00 0.00 0.00 0.00 0.00Sub-total 0.00 0.00 0.00 0.00 0.00

Act2 Besed line studies2.1 Conducting of Based-line study (pre-implementation) lum 1 0.00 0.00 0.00 0.00 0.00

Sub-total 0.00 0.00 0.00 0.00 0.00Act3 Implemementation of Internal Performance Monitoring activities

3.1 Implemementation of Internal Performance Monitoring activities (included in management cost) 0.00Sub-total 0.00 0.00 0.00 0.00 0.00

Act4 Implementation of External Regular evaluation tools4.1 Conduction of client exit survey survey/dis 9 750.00 6,750.00 17 750.00 12,750.00 24 750.00 18,000.00 24 750.00 18,000.00 55,500.004.2 Conduction of focus group discussion (FGD) 5 500.00 2,500.00 5 500.00 2,500.00 5 500.00 2,500.00 5 500.00 2,500.00 10,000.00

Sub-total 9,250.00 15,250.00 20,500.00 20,500.00 65,500.00Act5 Conducting of Learning Activities

5.1 Conducting of Learning ActivitiesSub-total 0.00 0.00 0.00 0.00 0.00

Subtotal component 2

Subtotal component 3

Act6 Comduct Mid-Term of project evaluation6.1 Conducting of mid-term of project evaluation (include in BS) 0.00 1 30,000.00 30,000.00 0.00 1 0.00 0.00 30,000.00

Sub-total 0.00 30,000.00 0.00 0.00 30,000.00Act7 End of project evaluation

7.1 Conducting of end of project evaluation 0.00 0.00 0.00 1 30,000.00 30,000.00 30,000.00Sub-total 0.00 0.00 0.00 30,000.00 30,000.00Subtotal of component 4 9,250.00 45,250.00 20,500.00 50,500.00 125,500.00Component 5: Project Management

Act1 Establishment of TAG (no cost)Act2 Establishment of DST

2.1 Supplement for District Support TeamSupplement for DST leader (1persons) per/month 12 270.00 2,916.00 12 270.00 2,754.00 12 270.00 2,592.00 12 270.00 2,430.00 10,692.00Supplement for district support team members (5 persons) per/month 60 250.00 13,500.00 60 250.00 12,750.00 60 250.00 12,000.00 60 250.00 11,250.00 49,500.00DST Contract staff (4 people) per/month 48 450.00 21,600.00 48 450.00 21,600.00 48 450.00 21,600.00 48 450.00 21,600.00 86,400.00Salary for driver (2 persons) per/month 26 150.00 3,900.00 26 150.00 3,900.00 26 150.00 3,900.00 26 150.00 3,900.00 15,600.00Sub-total 2.1 41,916.00 41,004.00 40,092.00 39,180.00 162,192.00

2.2 Equipment for DST officeOffice renovation, aircon, set up network lum 1 1,500.00 1,500.00 0.00 0.00 0.00 1,500.00Fax machine set 1 250.00 250.00 0.00 0.00 0.00 250.00Desktop computers set 5 900.00 4,500.00 0.00 0.00 0.00 4,500.00Computers desks set 5 70.00 350.00 0.00 0.00 0.00 350.00Laptop computers set 2 1,700.00 3,400.00 0.00 0.00 0.00 3,400.00Printers set 2 350.00 700.00 0.00 0.00 0.00 700.00Scanner set 1 150.00 150.00 0.00 0.00 0.00 150.00Photo copiers set 1 3,500.00 3,500.00 0.00 0.00 0.00 3,500.00LCD set 1 1,500.00 1,500.00 0.00 0.00 0.00 1,500.00Digital camera set 1 500.00 500.00 0.00 0.00 0.00 500.00Desk and chairs set 5 250.00 1,250.00 0.00 0.00 0.00 1,250.00Meeting Table/Chairs set 1 1,500.00 1,500.00 0.00 0.00 0.00 1,500.00Filing Cabinet set 5 150.00 750.00 0.00 0.00 0.00 750.00Safe set 1 300.00 300.00 0.00 0.00 0.00 300.00Vehicles Vehicle 2 25,000.00 50,000.00 0.00 0.00 0.00 50,000.00Subtotal 2.2 70,150.00 0.00 0.00 0.00 70,150.00

2.3 Office OperationOffice stationary month 12 150.00 1,800.00 12 100.00 1,200.00 12 100.00 1,200.00 12 100.00 1,200.00 5,400.00Fuel for 2 vehicles vehicle/month 24 130.00 3,120.00 24 130.00 3,120.00 24 130.00 3,120.00 24 130.00 3,120.00 12,480.00Vehicle maintenance and insurance vehicle/month 24 65.00 1,560.00 24 65.00 1,560.00 24 65.00 1,560.00 24 65.00 1,560.00 6,240.00Communication (phone, internet...) month 12 250.00 3,000.00 12 250.00 3,000.00 12 250.00 3,000.00 12 250.00 3,000.00 12,000.00Subtotal 2.3 9,480.00 8,880.00 8,880.00 8,880.00 36,120.00

2.4 Meeting/Worshop/fieldmonitoring/missionsNational workshop ws/year 2 5,000.00 10,000.00 1 5,000.00 5,000.00 1 5,000.00 5,000.00 1 5,000.00 5,000.00 25,000.00Regular meetings (materials, documents...) times/month 24 20.00 480.00 24 20.00 480.00 24 20.00 480.00 24 20.00 480.00 1,920.00DSA for field monitoring and intervention support per/day 200 20.00 4,000.00 200 20.00 4,000.00 200 20.00 4,000.00 200 20.00 4,000.00 16,000.00Information production/dissemination/compaign lum 1 10,000.00 10,000.00 1 10,000.00 10,000.00 1 10,000.00 10,000.00 1 10,000.00 10,000.00 40,000.00Study tours time 1 0.00 0.00 1 0.00 0.00 0 0.00 0.00 0 0.00 0.00 0.00Subtotal 2.4 24,480.00 19,480.00 19,480.00 19,480.00 82,920.00

2.5 Management cost for additional staff to ExComSupplement for ExCom additional staff (1person/Pro) per/month 108 80.00 8,640.00 204 80.00 16,320.00 276 80.00 22,080.00 276 80.00 22,080.00 69,120.00Motorcycles motor 9 1,250.00 11,250.00 8 1,250.00 10,000.00 6 1,250.00 7,500.00 0 1,250.00 0.00 28,750.00Computers set 9 900.00 8,100.00 8 900.00 7,200.00 6 900.00 5,400.00 0 900.00 0.00 20,700.00Printers set 0 350.00 0.00 0 350.00 0.00 0 350.00 0.00 0 350.00 0.00 0.00Communication (phone, internet...) month 108 35.00 3,780.00 204 35.00 7,140.00 276 35.00 9,660.00 276 35.00 9,660.00 30,240.00Motorcycle fuel and maintenances month 108 15.00 1,620.00 204 15.00 3,060.00 276 15.00 4,140.00 276 15.00 4,140.00 12,960.00Subtotal 2.5 33,390.00 43,720.00 48,780.00 35,880.00 161,770.00Sub-total Act2 179,416.00 113,084.00 117,232.00 103,420.00 513,152.00

Act3 Recruitment of support staff and TA3.1 National TA for policy (2 persons) 24 1,200.00 28,800.00 24 1,200.00 28,800.00 12 1,200.00 14,400.00 12 1,200.00 14,400.00 86,400.003.2 National TA for operation 24 450.00 10,800.00 24 450.00 10,800.00 24 450.00 10,800.00 24 450.00 10,800.00 43,200.003.3 International TA (pre-implementation) month 0.00 0 12,000.00 0.00 0 12,000.00 0.00 0.00 0.00

Subtotal Act3 39,600.00 39,600.00 25,200.00 25,200.00 129,600.00Act 4 Information/participation strategy (under budget of component 3)Act 5 Managing Procurement (no cost occurred)Act 6 Coordination and harmonization (under budget of component 5 in act 2.4

Sub-tatal component 5 219,016.00 152,684.00 142,432.00 128,620.00 642,752.00Subtotal 1+2+3+4+5 1,092,751.20 895,852.60 921,836.60 620,988.00 3,531,428.40Contingency cost (3%) 0.00 0.00 0.00 0.00 0.00

1,092,751.20 895,852.60 921,836.60 620,988.00 3,531,428.40

Additional Items to add to budget for pre-implementation1 Designing M&E and database report system 0.00 0.002 Conducting of Baseline study 1 30,000.00 30,000.00 30,000.003 International TA for Development of Training Materials 0 0.00 0.00 0.004 National TA (Policy) during Pre-Implementation person months 8 1500 12,000.00 12,000.005 National TA (Operations) during Pre-Implementation person months 8 450 3,600.00 3,600.006 Additional Training and Material Costs Pre-Implementation trainings 6 2000 12,000.00 12,000.007 TWG/DST DSA + Travel during Pre-implementation days 200 30 6,000.00 6,000.008 Pilot of Citizen Forum in SR and BB Pre-Implementation event 2 1000 2,000.00 2,000.00

TOTAL Additional 65,600.00 65,600.00GRAND TOTAL AFTER ADDITIONAL EXPENSES 3,597,028.40

Grand Total

Appendix 2: List of competences of OWSO in Siem Reap and Battambang

Sector Transferred competencies

Public Work and Transport Registration motorcycle, tricycle, motor tricycle

Licenses for business with bicycle trailer, motorcycle trailer, tricycle and motor tricycle

Culture and Fine Art Other performing programs Sell of Arts products Showing the movie and video (movable)

Movable video producers and photographers (exploitation)

sell of cassette, movies and video products Signs of other exploitations of no more than 02 meters square (except banner of advertisement)

Exploitation concerning to the microphone

Control over bookshops Exploitation of sculptural Arts (small size)

Industry, Mine and Energy Handicraft business of up to 5.000.000 Riels and using the engine of up to 12 CC except beverages, food, drug and chemical productions.

Tourism 5-seat taxi, moto-taxi and motor-cart guest house up to 5 rooms and

moveable folded beds restaurant up to 50 seats, canteens, canteen at resort sites, food stores, cafes and soup shop massage up to 5 beds

MLMUPC Constructions up to 500 square meter and maximal 2 floors

Commerce Issuing the business and services permissions to businessmen and service-suppliers that are not bound to pay income taxes

Appendix 3: Number of Services

Year 2005 2006 2007 Total

Siem Reap 7,073 9,934 4,673 21,680

Battambang 2,153 6,313 1,235 9,701

Income of the OWSO (in Riels)

Year 2005 2006 2007 Total

Siem Reap 48,100,300 51,951,900 21,841,600 121,893,800

Battambang 22,762,500 69,837,200 12,444,700 105,044,400

Processing Time of Services

Sector Processing Time Comparison to before

Motobike registration 30 days On average 1 ½ months

Small business registration Between 3 and 6 days On average, 20 days

Small Restaurant Registration Between 3 and 6 days On average, 20 days

Small Guesthouse Registration Between 3 and 6 days On average, 20 days

Registration of small public meetings

Between one and 3 days On average, 10 days

Legalization 15 min up to one day

Appendix 4 : Training Program

I. Trainings on the national level

a) Training of Trainers

In order to train the staff in the new OWSOs and DOs, a team of trainers will be assembled and trained. Experience representatives of the district administrations in Battambang and Siem Reap will function as resource persons for the national training team. The general topics on administration management, planning etc will be covered by DST while specific subjects related to functions of the involved ministries will mainly be covered by the technical staff of the respective ministries.

Content of the Trainings: General development concept Good governance Administration Management Planning and budgeting Structures, functions and procedures of OWSOs DO election procedures DO function, roles and responsibilities, working procedures Services of Public Work and Transport Services of Culture and Fine Art Services of MIME Services of MLUCP Services of Ministry of Commerce Services of Ministry of Tourism Services of MOH Services of MAFF Services of MOEYS Services of Documentation and legalization

b) Several trainings of representatives of Province, the District Governors and Deputies. Training sessions will cover topics such as management, facilitation skill, project planning and budgeting etc.

c) Basic SeminarsPrior to and directly after the start of the project, a series of seminars will take place. They will be used to prepare the responsible parties in the respective provinces and districts for the new tasks and to motivate them.

Content: Good Governance and Models of OWSOs The Legal Basis for the OWSO and Ombudsman Study tour to Siem Reap or Battambang Follow up trainings

d) Training of the Ombudsmen

Following the election of the first Ombudsmen, training will take place with all of the Ombudsmen (including those from Siem Reap and Battambang). Afterwards, the refresher courses will be repeated if required.

Content: Good Governance Role and Responsibilities of the Ombudsman Exchange Experience Others

II. Training on the District level

a) Trainings for the whole District Administration

Content: Principles of Good Governance, Structure of the OWSO Ombudsman – Role Function, Election Procedure Models of people’s participation Information policy on District level

b) Trainings for OWSO staff

Content: Tasks of Front Office Tasks of Back Office Tasks of Cashier; Task on the information desk Registration Procedures for different services Computer Courses (Word, Excel, Outlook)

c) Training on the Job With the opening of the OWSO, one trainer will be made available per district, who will then accompany the civil servants in the front and back offices during their work hours in addition to counselling and training them.

d) Training on Ombudsman election

In order to prepare for the election of the Ombudsman, a corresponding seminar will be offered. The participants: commune chiefs and their deputies, representatives of the local NGOs, and businesspeople

Content: The role and responsibilities of the Ombudsman Experience from other districts The election process

e) Additional Support Measures for the new OWSO

Internships

The heads of the new OWSOs will have the chance to prepare for their new responsibilities in the framework of a one-week internship in one of the already existing OWSOs. The newly elected Ombudsmen will complete an internship with one of their colleagues in Siem Reap or Battambang, and in the following years, in other districts.

Appendix 5: Strategic Communication Framework

Audience Behaviour Objective Messages Tactics and Tools Monitoring Results

Potential customers (limited to those interested in the available services)

To understand the benefits of the OWSO and DO

use the services, and talk about them with others

(advocacy)

The DO is a key way for citizens to feedback about district services, and for the government to improve. It is an example of responsiveness by the government. It is fair and confidential and using it will help build a better society.

Specific Messages about the service – where it is located – how to use it – what services are available and including referral information about the services that are not provided in this message.

Improving existing print materials to include information that refers the customer to the other services that are not available through OWSO (but are complementary)

Localized campaigns announcing the service through face to face meetings, local PSAs, and use of billboards

Feature stories on RNK about satisfied customers to reinforce behaviour of the customers and to generate curiosity and interest in provinces where the services are not yet available.

RNK: Talkback radio program featuring the DO

Visits by the DO to all local NGOs in the community

Development and distribution of posters advertising DO responsibilities as well stickers with telephone number

Proactive Road Shows by the DO, to promote services targeting conventional as well as unconventional venues. Can be linked with the MONASRI complaint mechanism.

Development of OWSO web portal which provides information, forms and fee tables for services.

Outputs Number of leaflets distributed Number of meetings haled and

attendance records Number of broadcast log of

Talk Back Radio Programmes Number of visits by DO and

list of organizations contacted

Outcomes Number of people exposed to

the media and who know about the OWSO

Number of hits on website portal

Media coverage of the openings


Prim

ary

Provincial and District Officials

Know about and support the One Window Service Operation (OWSO)

Support the DO process

Specific message on how transparency, people’s participation and citizen friendly administration are the keys to development in the provinces and districts

Organizing media site visits at the time of the opening of the OWSO. These mini launches could help generate additional free media coverage.

Participation in technical training programs and study tours to Siem Reap and Battambang

Outputs Number of site visits and

contact lists of journalists Number of site visits by DO

Outcome Media Coverage of the events Number of DO aware of

OWSO and how it operates

Other Ministries Increase understanding and appreciation of the OWSO and how other ministries can benefit from integrating selected services into the OWSO framework.

The OWSO provides transparent and efficient services that can help citizens get on with their business with the government. As such it is a new page for Cambodia, working in a small but important way to build the country.

Communicate the benefits of the service to other ministries. For example that they are part of a winning government strategy and that they will be better perceived by the public.

Annual award for commendable service by OWSO staff to be given at a high profile ceremony that includes the Prime Minister. Resulting media coverage would put pressure on civil servants in other ministries, and potentially influence their integration in the service.

Orientation sessions for other ministries with information that includes data on the use of the services, customer satisfaction, and possibly eyewitness accounts. This could be accompanied by a short video production (15 minutes) detailing the service and how it works. Could be filmed at one of the pilot OWSO.

Outputs Number of awards given Number of orientation sessions

held

Outcome Media coverage of the awards

ceremony Number of Ministries interested

in the OWSO

Impact Increase in services that are

included in the OWSO

Seco

ndar

y

Senate and Assembly Members

Business associations and chambers of commerce

Increase knowledge and appreciation for the OWSO as an example of good governance (transparency, and efficiency/effectiveness.

The DO is a key way for citizens to feedback about district services, and for the government to improve. It is an example of responsiveness by the government. It is fair and confidential and using it will help build a better society.

Annual publication of statistics about One Window, in a semi glossy format – possibly on a CD ROM, that could be distributed to Donors and the Media. Dissemination could be linked with the Merit Awards and Prime Minister’s ceremony.

Outputs Number of publications

disseminated

Outcome Number of public mentions of

OWSO Number of articles in the media


Ter

tiary

Partners & Allies: Donors

Media

Increase knowledge and appreciation for the OWSO as an example of good governance (transparency, and efficiency/effectiveness.

Messages should address how the OWSO and the DO is an example of good governance relating to transparency and people’s participation. This should be supported by usage data.

Annual publication of statistics about One Window, in a semi glossy format – possibly on a CD ROM, that could be distributed to Donors and the Media

Access to website showing transparency by providing clear information on fees and availability of forms, as well as showing usage data, customer satisfaction, etc. The media could help publicise this.

The media could help generate interest by participating in media briefings and site visits

Outputs Number of publications

distributed Number of media briefings held

and list of journalists that came

Outcomes Number of articles and reports

by the media Number of hits on the website

Impacts Increase in Donor Interest and

Support for the OWSO

Appendix 6: Risk Management Matrix

This Risk Matrix is a management tool to be used by the senior managers of the organizations to discuss key areas of concerns (especially where the Risk Magnitude is rated High or Moderate) during project preparation and at the start of project implementation. Due to the changing circumstances, the risk plan and matrix need to be updated at regular intervals (e.g. 6 months).Formula for Risk Score: Magnitude = Impact x Likelihood22.Consequence: 5=very serious, 4=serious, 3=moderate, 2=minor, 1=insignificantLikelihood: 5=very high, 4=high 3=medium, 2=low, 1=very lowMagnitude Rating: 6 or less is low risk (L), 8 – 12 is moderate risk (M) and 14 – 20 is high risk (H), and any score above 20 is a top risk (T) requiring immediate attention.

Risk Description Impact Risk Score Mitigation Strategy Action Agents

Progress Status

(Give details of tasks

undertaken)

Remaining Action(Give timelines and

resource requirements

where possible)No legal basis for both the implementation of new OWSOs and the election of Ombudsmen before the project start date

The project cannot be realizedThe start of the project will be postponed

Consequence: 5Likelihood: 1Risk Score: 5 L

Decision of the RGC on the extension of OWSO and DO and Prakas for the extension of the OWSO will be revised by the beginning of August 2008

First consultations with the NCDD in September Revision of the Prakas in the MoI in September Passage by the end of November 2008 Prakas on role and function of Ombudsman will be

revised in September 2008 Passage by end of October 2008

MoI/ NCDD

The Prakas from the ministries for the delegation of competencies to the OWSOs do not come into effect in time

The start of the OWSO will be postponed or the OWSOs will start with less services; the

Consequence: 5Likelihood: 2Risk Score: 10 M

By the end of 2007, during an NCDD meeting, the opinions of the ministries on the expansion of the OWSO will be collected

In September 2008, the Prakas will be revised and submitted to the individual ministries

Discussions will be held with the individual ministries in the following weeks

By November 2008, the Prakas will be put into effect by the ministries

NCDDS/DST

22 In Column 3 of the Risk Matrix, the rating of the Risk is by a simple formula: Magnitude = Impact x Likelihood. Impact and Likelihood are rated on a scale of 1 to 5. For instance, if the Impact is assessed to be 5 and the Likelihood is rated 3, then the Risk Score is 3 x 5 = 15.


Progress Status


undertaken)



where possible)The ministries are not prepared to delegate additional competencies to the OWSOs

The new OWSOs start with the same catalogue of services as are offered in the other districts;Number of customers and income is limited;OWSO only for poor people with small business;Risk for the sustainability

Consequence: 4Likelihood: 4Risk Score: 16 H

In the course of the discussions over the opening of new OWSOs, it will become apparent to which extent the ministries are prepared to delegate additional competencies.

NCDDS/DST

The RGC does not have the financial means to make the necessary offices for the OWSO and Ombudsman available in year 3.

The project goals must be significantly reduced or the preparation of the OWSOs might be funded by WB or other development partners.


MoI will discuss with MoEF on financial issues regarding the budget for the buildings and the use of the OWSO fees for the running costs

The MoI will place a request with the MoEF for the 2010 budget to make funding available for the third year

MoI


Progress Status


undertaken)



where possible)Lack of staff capacity to deliver quality services to the public

Less and worse service for the citizens. Credibility of the OSWO program eroded. Loss of trust of the peopleLow usage of OWSO.


Directly after the approval of the legal framework, the MoI will begin discussions with the provinces and districts, which should receive OWSOs in the first project year. The goal is to determine which capacities (experience and numerically) are available in the provinces.

A staff plan will be developed for each office providing details of activities relating to:1. Selection and placement of staff;2. Performance Appraisal requirements;3. Staff training and development; and4. Incentive and rewards to be provided.

On the basis of this assessment, it will be decided whether additional people will be needed, and if so, how they will be identified.

After the selection of personnel for the OWSO, it must be determined following the first training sessions, how much training is needed in accordance with the Staff Plan for each office

Where necessary, the amount of training must be increased.

NCDDS/DST

Incentives for the staff in the OWSO and DO are not available

Unmotivated officers.Low quality of services to the public.Temptations for staff to take bribes.

Consequence: 5Likelihood: 3Risk Score: 15 H

In the first 2 years the incentives for the staff of the OWSO and DO are being paid by the project.

In year 3 the incentives are financed for 50% through the project and in year 4th the RGC takes full responsibility, possibly through the inclusion of fee collected by OWSO or other resources.

Currently, the MBPI can only be awarded to civil servants at the national level according to the agreement between the MEF and the World Bank. OWSO to advocate to the MEF and the Bank for the scheme be expanded to the district and subnational levels.

MoI


Progress Status


undertaken)



where possible)Sustainability of the OSWO expansions beyond DFGG Project.

Public demand for services will be unmet and the raised expectations during the Project will be similarly unsatisfied.


OSWO to use the Project period to build a track record and demonstrate to the RCG the demand for its services. It could use this track record to secure RGC’s commitment to support the OWSOs after the DFGG project cycle.

Study global examples to assess if revenue generation and local finance models could work in the Cambodian context.

Seek funding from international agencies interested in supporting local governance reforms.

NCDDS/DST

Clear work procedures are not available

Less motivation of the officers.Low quality of services to the public.Temptations for staff to take bribes.


Develop standard operating procedures (SOPs) for all OWSO services

Link SOPs to job descriptions for individual staff Publicise procedures in the client waiting areas of

all OWSO Premises

MoI

Corruption – poorly salaried service staff at OWSO counters receives or extorts bribes for services rendered.

Lost of trustdiminishing credibility of the Government


Random Inspections of the OWSO at least 4 times a year by the national level

Code of Conduct prominently displayed in all offices

A confidential Customer Complaints Procedure is prominently displayed in all offices

Fees and response time for public services to be prominently displayed in all offices.

Raise awareness of the client population about service standards, SOPs and codes of conduct, etc. through RNK’s Talkback Program.

Random inspections by the Ombudsman Comparison of the cash balance and receipts Questioning of customers Feedback from citizen forum and public forum Cooperation with Provincial Accountability Working

Group.

NCDDS/DST


Progress Status


undertaken)



where possible)Lack of demand for OWSO services

Very few activities will take place in OWSO. Therefore very little revenue is collected


Intensive campaigning, provision of transparent and quick services

NCDDS/DST

Not enough interest and participation in the citizens and public forums

Decreased accountability Consequence: 5Likelihood: 1Risk Score: 5 L

Intensive campaigning, set up outreach activities by DO with involvement of NGOs

NCDDS/DST

Failure of RGC funding for recurrent cost

OWSO will not function properly


Fully implement agreements and commitments WB and RGC

This Risk Matrix, to be effective as a management tool, is to be reviewed and signed off by senior management regularly, at least on a six-monthly basis. The following monitoring process is recommended: All risk factors pertaining to the project require constant vigilance in monitoring and in instituting and implementing control measures. Senior Management of the institutions and project team are to review the risk areas and mitigation measures periodically (every 6 months at the minimum) to ensure that

controls are effective. A risk score of 6 or less (low risk) should require no mitigating action. However, the mitigation measures for low risk areas should be calibrated to be effective and not

disproportionate. Risk score from 8 to 12 (medium risk) should trigger a review of the existing mitigation measures, if a new risk, and may require the implementation of additional controls. A risk score of 14 to 20 (high risk) should trigger a review of the mitigation measures, is likely to require additional mitigation measures. The problem may need to be

brought to the attention of senior management. Such risks should be reviewed at least 6 monthly. Finally a Risk Magnitude of above 20 (top level of risk) should trigger an immediate review of the mitigation measures, and is likely to require additional mitigation

measures. The problem should be promptly brought to the attention of senior management. Such risks should be constantly monitored by until all possible controls and preventive measures are instituted.

Other risks to add in the matrix:

1) Not enough demand for OWSO services – mitigation through (a) more communications and outreach, (b) more services, (c) better enforcement and research on potential customers

2) Not enough participation or interest in people’s participation measures – mitigation through (a) more communications and outreach, (b) more topics for discussion, (c) scaling back on frequency of events

3) Counterpart funding for recurrent costs not available from year 3 – mitigation through (a) prior and ongoing consultations with MEF, (b) preparation and monitoring of financial sustainability model, (c) presentation of ‘before and after’ revenue generation by OWSOs, or (d) scale back of expansion to 15 districts,

Appendix 7: Good Governance Framework (GGF)Good Governance Framework (GGF) for One Window Service Office (OWSO) and District Ombudsman (DO)

Elements 1-8 apply to all Project components except where modified under Element 9.

Issue Action to Mitigate Risk Responsibility Target/Monitoring1 Element 1: Procurement1a Reduce potential

irregularities.Unless otherwise agreed between the RGC and the IDA, the RGC shall use the services of an International Procurement Agent (IPA) engaged by MEF under TOR satisfactory to IDA for all procurement under all components of the Project, with the following exceptions, which shall be carried out by the respective component IA:

1. procurement under all components (i) through direct contracting, (ii) from UN agencies, (iii) by single source, and (iv) by sole source selection; and

2. procurement financed by sources other than IDA, including RGC and all bilateral donors.

For procurement undertaken by the IPA, each component IA shall prepare technical specifications for goods and works and TOR for consultants and hand over to the IPA, who shall prepare bidding documents and RFPs, call and evaluate bids and recommend award, all in accordance with the WB’s Procurement and Consultant Guidelines and the Procurement Provisions of the Financing Agreement, including the use under NCB and Shopping methods of the RGC’s Externally Assisted Procurement Manual for Goods, Works and Services (SOP/PM), mandated by MEF Sub-Decree No. 14 dated February 26, 2007.

MEF – IPA commenced work. in December 2007.

Component IAs.

Component IAs.

Component IAs.

Included in IPA’s TOR.

All component IAs to agree IPA’s role by negotiations. To be reflected in the Grant Agreement.

IDA to monitor through supervision missions and prior and post reviews.



Supervision of IPA by the RGC’s Inter-Ministerial Procurement Committee (IPC). IDA monitoring of IPA’s work through quarterly review meetings and prior and post reviews.

1b Ensure adequate IDA has reviewed the procurement capacity of each IA Component IAs with IDA Agree action plans at appraisal.

Issue Action to Mitigate Risk Responsibility Target/Monitoringprocurement capacity of each component IA.

and action plans are developed to address capacity issues.

NOL (see IA-specific GGFs).

Implementation of action plans including recruitment of staff by advance action, with staff in place at project commencement.

1c Avoid risk of inadequate or delayed Procurement Plans.

Each IA to prepare realistic annual Procurement Plan based on its Annual Work Plan and Budget. Procurement Plans for the first eighteen months of project implementation have already been developed.

Component IAs with IDA NOL (see IA-specific GGFs). PCO to coordinate.

Agree first 18-month Plan at appraisal. PCO to submit preliminary updated estimates to MEF and IDA annually in June (for MEF budget estimates), preliminary updated plans by September, and final updated plan by December.

1d Informal payments by contractors, suppliers and consultants.

All contractors, suppliers and consultants – firms or individuals, national and international – bidding for contracts under the project shall sign the Declaration on Ethical Conduct and Fraud and Corruption in the SOP/PM. Amend item 5 of the Declaration to read:

“In connection with this procurement exercise and any contract that is awarded to us as a result thereof, no payments have been made or will be made by us, our associates, agents, shareholders, partners or their relatives or associates to any of the staff, associates, consultants, employees or relatives of such who are involved with the procurement process, contract implementation, and the issuance of progress payments on behalf of the purchaser, client or employer.”

Amended Declaration to be included in all bidding documents, requests for proposals (RFPs), and contracts.

IPA through MEF instruction.

PCO to monitor. IDA to verify through prior and post reviews.

2 Element 2: Financial Management

Issue Action to Mitigate Risk Responsibility Target/Monitoring2a Strengthen internal controls. All component IAs to follow SOP/FMM procedures,

mandated by Sub-Decree No. 14 dated February 26, 2007, supplemented by a project-specific Financial Management and Disbursement Manual (FMDM) currently at draft stage.

PCO to complete FMDM acceptable to DFGG Project Coordinator and obtain IDA NOL.

Each component IA Chief Financial Officers to ensure compliance.

Draft FMDM agreed by negotiations and final version to be completed during DFGG pre-implementation stage. Reflect use of SOP/FMM and FMDM in Grant agreement. IDA to verify compliance during supervision missions.

PCO Internal Audit Unit to carry out spot checks on compliance.

2b Strengthen financial management capacity.

PCO will recruit a qualified accountant as Financial Management Adviser for the whole Project, and a Project Accountant and two accounting officers for duties within the PCO, all under TOR acceptable to the IDA.

Each IA to implement the detailed action plans (including training and recruitment of staff ) which have been developed to address issues identified through the financial management capacity assessment carried out during project preparation.

PCO with IDA NOL.

See component specific GGFs.

Agree TOR at appraisal. Recruit by October 2008.

2c Ensure uniform Project accounting and readiness of proprietary software.

PCO will ensure that each component IA establishes a uniform Project accounting system with a common chart of accounts, using a proprietary software package satisfactory to the IDA.

PCO with IDA NOL. Agree proprietary package by October 2008. PCO to install by effectiveness. IDA to monitor correct use during FM supervision missions.

2d Ensure comprehensive FM reporting.

All component IAs will utilize a template for interim FM reporting which has been developed and will be agreed.

Reports to be submitted to IDA quarterly not more than 45 days after the end of the reporting period.

PCO and all component IAs.

Agree template by negotiations.

PCO to monitor FM reports by component IAs for compliance with agreed template and

Issue Action to Mitigate Risk Responsibility Target/Monitoringsubmission deadlines..

2e Ensure effective internal audit in all component IAs.

An Internal Audit Unit comprising an experienced internal auditor and two assistants will be established in the PCO and be responsible for internal audit of all Project components , including the provincial activities of component IAs.

PCO will prepare TOR for Internal Audit Unit with IDA NOL. PCO will recruit auditors.

TOR to be agreed by October 2008. Auditors in place by January 2009.

2f Annual external audit of whole Project.

An independent auditor acceptable to IDA will be appointed to carry out an annual audit of project financial statements and effectiveness of internal controls, in accordance with TOR satisfactory to IDA.

PCO to prepare TOR and obtain IDA NOL. IPA to recruit external auditor.

Agree TOR by June 2009. Appointment in time for first annual audit, first quarter 2010.

2g Minimize cash transactions. All progress payments to contractors, suppliers and consultants – firms, individuals, national and international – to be made by check or transfer to bank accounts. Retain evidence for audit and IDA supervision missions. Petty cash transactions to be limited to amounts less than US$500 equivalent.

Each component IA Chief Financial Officer.

PCO to monitor all other component agencies and report quarterly to MOI. IDA to monitor during supervision missions.

2h Avoid inconsistency in allowances paid to Government staff attending training, workshops and study tours

Adopt MEF Decision Letter No. 2000 of April 23, 2007, for DSA rates for in-country travel. For international travel, some of the DSA rates specified in Anukret 10 of April 12, 2004 are position-based and/or higher than UN norms and are not acceptable to IDA for application on IDA-financed projects.

MEF/IDA to discuss and agree standard DSA for international travel, after which MEF to advise MOI. PCO to ensure compliance of all component IAs.

International DSA rates to be agreed by October 2008. Until then, IAs may use IDA rates for overseas travel. IDA to monitor SOEs with withdrawal applications.

2i Planning of training, workshops and study tours.

Each component IA will establish an Annual Training and Workshop Plan in accordance with its approved Project Proposal. The Plan should include:

1. Detailed costs estimates.

2. Eligibility rules for attending training, workshops and study tours. Attendees must: be engaged in work relevant to the training; be competent in the language used; after return, report on and share their experiences for

the benefit of the project.

The PCO will coordinate component IA Plans and submit to IDA for NOL.

PCO and project agencies to follow Working Group guidelines when issued (see below).

NOL in March and submission to MEF in June (for MEF initial round of budget submissions).

IDA to verify through its membership of Working Group.

Issue Action to Mitigate Risk Responsibility Target/Monitoring3. Evidence that training, workshops, study tours and other similar activities: are in line with project aims and objectives meet identified needs within the sub-component

plans have budget in line with planned expenditure.

Cost guidelines to be established for selected training/workshop activities: venue rental with refreshments/meals sound and projection equipment hire stationery/hand-outs project-specific training and workshop materials simultaneous translators photocopying, reproduction, translation

Define evidence to be submitted by attendees for reimbursement of expenses which may include: proof of attendance for period claimed with signed

statement by the workshop, training or study tour organizer or host;

proof of travel by air – ticket stubs, travel agent’s receipt, airline boarding passes

receipted hotel bills (for proof of stay); receipts for incidental traveling expenses; receipted invoices for venue rental, food and

beverage, sound/projection equipment, hire of simultaneous translator, stationery and handouts, use of photocopying facilities.

Reimburse against receipts except where covered by fixed allowances in MEF’s letter No. 2000. Evidence of payment to be kept for attendees’ per diem and allowances.

Working Group comprising MEF, IAs of all projects and IDA.

Working Group to define evidence and include in directive. PCO to ensure compliance of component IAs.


Establish Working group by August 2008. Agree guidelines and issue directive to all IDA-funded projects by end-December 2008.

Directive issued by December 2008. IDA to monitor SOEs with withdrawal applications.

PCO to monitor compliance. IDA to monitor SOEs with withdrawal applications and verify during supervision missions.

Issue Action to Mitigate Risk Responsibility Target/Monitoring2j Avoid delayed or non-

existent reconciliation of advances for operating costs and expenses.

Each component IA will maintain an advance register, vehicle logbook and fuel register. Advances for operating costs and expenses to offices, individuals or groups involved in project activities to be reconciled within two weeks of the end of each month. No further advance to be paid to an office, individual or group until its previous advance is reconciled and cleared against documentary evidence.


PCO to monitor compliance. IDA to verify during supervision missions.

2k Adoption of the MBPI for State implemented components.

MEF and MOI agree that the State component IAs will adopt the MBPI of the Government’s Public Financial Management Reform Program. The MBPI will be implemented strictly according to an MBPI Manual to be prepared for the Project.

PCO to complete the MBPI Manual, including cost sharing basis, for MEF and IDA approval.

Manual and cost sharing to be approved during negotiations. PCO to monitor application

3 Element 3 : Disclosure3a Minimize conflict of interest

among project staff.Project staff to disclose private and public affiliations or personal interest before becoming involved in any project-related transaction or contract award decision.

Project managers of all component IAs to ask for and retain written disclosure.

PCO to monitor. IDA to verify during supervision missions.

3b Enhance transparency through greater public disclosure of project information.

Component IAs to disclose information on their individual websites in accordance with guidelines set forth in their Communications Plans, with hard copies available at component IA offices for public inspection on request. As a minimum, disclosed information is expected to include: project name, objectives, original and revised amount, sources of funding, effectiveness date, original closing date, revised closing date, number of extensions, name and address of implementing agency, name of Project Director with contact information, name of WB TTL and contact information in the MEF-WB unit and WB Office in Cambodia IA project proposals agreed at appraisal Annual Work Program and Procurement Plan, identifying contracts to be procured in next 12 months, nature of each contract, location, method of

PCO to coordinate lists of information to be disclosed by each component IA and agree with IDA.

Each component IA responsible for disclosure of information concerning its component. IPA will disclose procurement information.

By Negotiations.PCO to monitor progress during reviews.

Biannually. PCO to monitor compliance and IDA to verify during supervision missions.

Issue Action to Mitigate Risk Responsibility Target/Monitoringprocurement, means of advertisement, bidding period, location where bidding documents and RFPs can be inspected, expected date of availability, and cost of bidding documents consultant long and short lists bidding documents and RFP’s to be available for inspection bid closing dates, names of bidders and their bid prices at opening list and details of contracts awarded, names of losing bidders and, if their bid prices were lower than the winning bidder, the reason for their rejection project progress reports, detailing project components, percentage completion, data on performance indicators, and planned and actual disbursements by sub-component annual financial statements and audit opinion other specific reports prepared by the project complaints and remedies and mechanism code of ethical conduct

3c Enhance Project visibility through the media.

Component IAs and the PCO to implement the project’s Communications Strategy so as to raise public awareness on governance issues, report on Project activities, help protect reform leaders and their civil society partners from reprisals and backlash, and manage negative publicity and scandals.

Component IAs and the PCO.

Continuously after Project commencement. PCO to monitor progress. IDA to verify implementation during supervision missions.

4 Element 4: Civil Society Role4a Greater involvement with

CSOs.All component IAs to implement their Partnership Plans included in the PIM, which will include the involvement of CSO(s) in selected aspects of project implementation and invitation to observe selected events.

All major CSO involvement to be recorded in Project

PIM to be cleared by MOI and subject to NOL from IDA.

PCO to coordinate with all

Agree PIM during DFGG pre-implementation stage23.

PCO to monitor CSO involvement 23 The DFGG pre-implementation stage is currently scheduled to run from May to December 2008.

Issue Action to Mitigate Risk Responsibility Target/Monitoringprogress reports. State component IAs on

reporting.in State components. IDA to verify during supervision missions.

5 Element 5: Complaints (Grievances) and Remedies Mechanism5a Introduce a formal

complaints/grievances and remedies mechanism covering all components of the project.

The PIM will include a project-wide complaints and remedies mechanism for all components, including sub-procedures specific to particular components as necessary.

Complaints procedures regarding procurement to follow process set out in SOP/PM

PCO with IDA NOL to PIM.

IPA/PCO.

Agree PIM during DFGG pre-implementation stage. PCO to monitor adoption of complaints and remedies mechanism. IDA to verify during supervision missions.

IDA to monitor during prior or post reviews.

5b Support the formal complaints mechanism with establishment of help lines and feedback channels.

PCO will establish informal advice- and information-giving mechanisms, as well as consultative meetings, dialogues and workshops, allowing for informal feedback to be provided, in a format and manner appropriate to the needs of the broad stakeholder of Project initiatives (especially those potentially affected by the project’s initiatives).

PCO in consultation with component IAs to prepare mechanisms and include in the PIM.

Agree PIM during DFGG pre-implementation stage. PCO to monitor usage of help line and feedback channels. IDA to verify adoption during supervision missions.

6 Element 6: Code of Ethical Conduct6a No overall Code of Conduct

for civil servants.24Each component IA to design Code for its project staff, including contracted staff, to sign individually. Government agencies may incorporate material from the Civil Service Statute of 1994.

Each component IA to design its Code.

Design and furnish copies to IDA during DFGG pre-implementation stage. PCO to monitor adoption. IDA to verify adoption during supervision missions.

7 Element 7: Sanctions7a Reinforce Code of Conduct

with sanctions for fraudulent and corrupt activity by staff of project agencies,

Each component IA to identify and apply to project staff sanctions available under current law of Cambodia and its own regulations. Sanctions against contractors, suppliers and consultants will be those

Each component IA to identify and disseminate with Code of Ethical Conduct.

Define and furnish copy to IDA during DFGG pre-implementation stage. PCO to monitor application and IDA to verify during

24 See draft generic Code of Conduct as Attachment A to this Annex.

Issue Action to Mitigate Risk Responsibility Target/Monitoringcontractors, suppliers and consultants.

defined in Section 3 of the SOP/PM.

IDA to apply sanctions available in its general and project-specific legal agreements, including the WB Group’s Anti-Corruption Guidelines (ACG) and Sanctions Regime introduced in October 2006 and as may be updated subsequently.

IDA to provide copies of its ACG and Sanctions Regime to PCO and all IAs.

supervision missions.

Copy of ACG and Sanctions Regime provided to PCO during appraisal. IDA may apply sanctions whenever evidence is found.

8 Element 8: Project Specific Elements8a Verification and technical

audit to prevent capture of Project resources for non-intended recipients or for personal benefit of individuals or groups with vested interests.

The PCO will recruit a team of independent technical audit consultants, both international and national, to carry out intermittent audit of all activities of the Project. The focus will be on due diligence to verify that goods, works and services being financed by the IDA Grant are in place in the specified quantity and acceptable quality, counterpart resources are in place, and that outputs of all activities are in line with Project design.

PCO will prepare TOR and obtain IDA NOL.

IPA will recruit the technical audit consultants with IDA NOL during recruitment process.

During DFGG pre-implementation stage.

Consultants in place by June 2009.

8b Use the GGF as a management tool with regular reviews and updates by mutual agreement.

PCO with senior management of component IAs to conduct quarterly reviews of the GGF and any other fiduciary risks, identify early warning signs and mitigation measures, and propose updates of the GGF as necessary for the IDA’s consideration, to ensure that effective and adequate controls are in place.

The PCO, with assistance from the Project Preparation Team will design and deliver training in risk management and anti-corruption, through workshops for all Project staff of all levels in component IAs financed under the supplemental PPF.

PCO and all IAs.

PCO and Project Preparation Team with IDA guidance and overview.

PCO to report to the Government’s ACWG and IDA within two weeks of each quarterly review.

Training workshops to take place during DFGG pre-implementation stage when IA implementation teams are in place.

8c Promote synergy, cross-learning and constructive competition among components of the Project.

PCO to arrange quarterly workshops among component IAs to share experience of problems encountered by them, and effectiveness of solutions applied. The workshops would also enhance healthy competition among IAs in promoting effective project management and innovation in good governance.

PCO and all component IAs. Quarterly. PCO to report on workshops to MOI and all component IAs, with copy to IDA, not later than two weeks after each workshop.

Issue Action to Mitigate Risk Responsibility Target/Monitoring8d Strengthen oversight,

monitoring and feedback on Project initiatives through demand-side social accountability.

Supplement the enhanced CSO role (item 4a) by engaging citizens and the media to monitor and provide feedback on the outputs and outcomes of project activities. Target youth explicitly as a group for promoting and monitoring project initiatives.

Organize internships, dialogue, training workshops and focus events to reach out to NGOs, CSOs and other civic groups to publicize the Project’s work, e.g. a high profile nation-wide essay contest and art competition for youths on International Anti-Corruption Day (December 9) to solicit vision and ideas for the future.

All IAs to organize working groups and design activity plans, with PCO coordination.

All IAs to organize dialogue, training workshops and focus events, with PCO coordination.

IAs to draft plans during DFGG pre-implementation stage. PCO to furnish copies to IDA. PCO to monitor implementation.

IAs to draft plans during DFGG pre-implementation stage. PCO to furnish copies to IDA. PCO to monitor implementation.

9 Element 9: OWSO-DO Specific Issues9a Procurement

Responsibilities of OWSOUnless otherwise agreed between the RGC and the IDA, MOI/NCDD will be responsible for the complete procurement cycle only for: (1) vehicles to be procured from UNOPS; (2) consultants where recruited through single source selection (SSS) procedures; and (3) any direct contracting that has received prior approval of the IDA. In such cases, procurement shall be undertaken in accordance with the Bank’s Guidelines and the procedures specified with SOP/PM, as mandated by MEF Sub-Decree No. 14 dated February 26, 2007.

MOI/NCDD with PCO oversight.

IDA to monitor through prior or post reviews.

9b ProcurementNeed to strengthen procurement capacity.

NCDD shall assign one qualified government procurement staff or recruit one national procurement consultant to coordinate NCDD’s procurement activities with the IPA, MEF and WB and carry out the procurement specified in item 9a.

NCDD with PCO oversight and IDA NOL if consultant is recruited.

NCDD to assign staff, or start recruitment of consultant, after negotiations. Staff or consultant to be in place two weeks after effectiveness.

9c Financial ManagementStrengthen financial management capacity.

MOI/NCDD will designate a Project Accountant and appoint one accounting officer for central level duties on the OWSO-DO component, all under TOR acceptable to the IDA.

MOI/NCDD with PCO assistance and IDA NOL.

Agree TOR at appraisal. Designate Project Accountant by negotiations, appoint accounting officers by September 2008. PCO Internal Audit Unit to monitor accounting standards and IDA to

Issue Action to Mitigate Risk Responsibility Target/Monitoring

MOI/NCDD will designate at least one accounting staff for each province in which OWSO-DO operations are being supported by the Project.

MOI/NCDD with PCO assistance.

verify accounting practice during supervision missions.

Provincial staff already in place. PCO Internal Audit Unit to monitor accounting standards and IDA to verify accounting practice during supervision missions.

9d Financial ManagementProvide controls for disbursements for operating costs, especially at provincial level.

Controls for disbursement all OWSO-DO operating costs will be specified in detail in the FMDM.

PCO (see item 2a). (See item 2a).

9e DisclosureEnhance the disclosure requirements of item 3b.

MOI/NCDD will implement its communications strategy with assertive outreach methods to announce the services available, through advertisements in the national media and locally using megaphones and flyers.

MOI/NCDD in accordance with details in its approved Project Proposal.

To commence after effectiveness. PCO to monitor and IDA to verify during supervision missions.

9f Civil Society RoleEnhance involvement with CSOs under item 4a.

MOI/NCDD will implement an annual Citizens’ Forum in all districts in which OWSO-DO services are available, open to all citizens and covering issues related to the OWSO and DO offices, and how these can be further improved.

MOI/NCDD will implement a Semi-Annual Public Forum with both business and citizen representatives to receive feedback on OWSO and DO operations and suggestions for their improvement.

MOI/NCDD in conjunction with an NGO acceptable to the IDA, and in accordance with details in its approved Project Proposal.

MOI/NCDD in conjunction with an NGO acceptable to the IDA, and in accordance with details in its approved Project Proposal.

Starting when communication and participation activities begin, and annually thereafter.

Starting when communication and participation activities begin, and biannually thereafter.

9g Complaints (Grievances) and Remedies MechanismComplaints and grievances by citizens to the DO.

MOI/NCDD will supplement the Project-wide Complaints (Grievances) and Remedies Mechanism (item 5a) by designing, publicizing and implementing a simple procedure for citizens to make complaints to the DO.


Procedure to be designed and in place by six months after effectiveness.

Issue Action to Mitigate Risk Responsibility Target/Monitoring9h Informal Payments

Piloting of OWSO has revealed that informal payments are sometimes requested for service

A list of official fees and response times for services which the OWSO is mandated to provide, together with copies of the Complaints (Grievances) and Remedies Mechanism (item 5a), procedure for complaints to the DO (item 9d), Code of Ethical Conduct (item 6a), and Sanctions (item 7a), will be publicly displayed in all OWSO offices. Feedback from users of the OWSO will be obtained from the Citizens’ Forum and Semi-Annual Public Forum.


Public display at each OWSO office from the time it is established. PCO to monitor and IDA to verify during supervision missions.

Appendix 8: Workplan

2008No. Activity Jan Feb Mar Apr May Jun July Aug Sept Oct Nov Dec Jan Feb Mrach April May1 Submit completed first draft project proposal2 Prepare "principle request" on establishment of TAG3 Prepare "principle request" on establishment of District Support Team (DST)4 Prepare "principle request" from MOI on establishment of OWSOs and DOs5 Agreement from MOI on number of OWSO/DO years 1-2-3-46 Prepare request to RGC for decision on expansion of OWSO and DO7 Decision of RGC on expansion of OWSO and DO8 Prepare detailed draft ToRs for the TAG9 Prepare detailed draft ToRs for the DST

10 Approve drafted TORs for TAG by NCDD11 Approve drafted TORs for DST by MOI12 Establish TAG by NCDD13 Establish DST by MOI14 Workshop with NGO's/ involved Ministries on first draft project proposal15 Agreement with MEF on staff incentive issues 16 Actionplan and budget for year one prepared17 Draft ToRs for advisers and national staffs18 Recruitement of additional staffs19 Prepare training plan covering outline topics and budget

20Prepare and approve Prakas on establishment, structure, roles/ responsibilities and functions of OWSOs and DOs

21 Meetings with various Ministries on allocation of functions to district OWSOs

22Prepare for appraisal mission: ensures all documents are ready and available in Khmer and English

23 WB project appraisal

24Review the training outline with TA and request TA to prepare detailed training plan: sequence of topics, methodology

25 Present detailed training plan to TAG for approval by NCDD26 Draft and test first two manuals27 Two manuals discussed and ageed by DST28 Draft and test manuals 3 and 429 Two manuals discussed and ageed by DST30 Draft and test manuals 5 and 6

OWSO and DO Project Preparation Workplan: July 2007-June 20082009

2008No. Activity Jan Feb Mar Apr May Jun July Aug Sept Oct Nov Dec Jan Feb Mrach April May

2009

31 Two manuals discussed and ageed by DST32 Manuals presented to TAG and approved by NCDD33 Standard format drafted for technical sessions of involved Ministries34 Standard format discussed and agreed by TAG35 Involved Ministries draft each their manuals and training sessions36 Test training of Ministry techniccal training manuals37 Ministry sessions presented and approved by NCDD38 Review of existing and new OWSO & DO office facilities 39 Designs for construction and renovations prepared40 Prepare bidding documents for construction41 Construction/ renovation completed 42 Recruitment of PST and ExCom staff43 Contracting PST and ExCom staff

44Prakas on delegation of functions to district OWSOs, submit to TAG for review and issue by respective line ministries

45 Prakas on election of DOs46 Appointment of OWSO staff47 Prepare TOR for baseline study48 Bidding and contracting of baseline study49 Baseline study implemented50 Procurement of equipment and furniture for OWSOs and DOs51 Provision of all equipment, furniture and operational support DST52 OWSO inauguration and opening53 Training and study tour of OWSO staff 54 Election of DO 55 Training of DO56 Contracts between NCDDS and ExCom signed and effective57 OWSO/ DO fully operation and functional58 DST monitors project implemention and backstopping59 Dissemination campaign in the districts60 Organize public forum in the districts61

Appendix 9: Procurement Plan for 18 MonthsProject Name: Cambodia - Demand for Good Governance Project (DFGG) : MOI-OWSOGrant Start Date: Grant End: Task Manager: Bhuvan BhatnagarProcurement Accredited Staff: Oithip Mongkolsawat

Contract Package

No. Description of Contract Package

Total Estimated Cost (USD)

Method of Procrement (ICB/NCB/

Shopping etc.)

Domestic Preference (for

ICB only) Yes/No

Review by Bank

(Prior/Post)

Procuring Agency's Name

Estimated Date of Invitation for

Bids

Estimated Contract

Signing Date

Estimated Contract End

Date

Comment

1 OWSO construction in Takhmao, KDL 50,000 NCB No Prior OWSO through IPA 1-Feb-09 15-Mar-09 15-Jul-092 OWSO construction in Steung Sen, KTM 50,000 NCB No Post OWSO through IPA 1-Feb-09 15-Mar-09 15-Jul-093 OWSO construction in Ochrov, BMC 50,000 NCB No Post OWSO through IPA 1-Feb-09 15-Mar-09 15-Jul-094 OWSO construction in Peam Ro, PVG 50,000 NCB No Post OWSO through IPA 1-Feb-09 15-Mar-09 15-Jul-095 OWSO construction in Kratie, KRT 50,000 NCB No Post OWSO through IPA 1-Feb-09 15-Mar-09 15-Jul-096 OWSO construction in Mittapheap, SHV 50,000 NCB No Post OWSO through IPA 1-Feb-09 15-Mar-09 15-Jul-097 OWSO Renovation in Thbong Khmom, KPC 50,000 NCB No Post OWSO through IPA 1-Feb-09 15-Mar-09 15-Jul-098 DST Office Renovation (AC, network, new door) 1,500 Shopping No Post OWSO through IPA 1-Feb-09 15-Mar-09 15-May-09

351,500

Contract Package

No. Description of Contract Package


Method of Procrement (ICB/NCB/

Shopping etc.)

Domestic Preference (for

ICB only) Yes/No

Review by Bank

(Prior/Post)


Estimated Date of Invitation for

Bids

Estimated Contract

Signing Date


Date

Comment

1 Vehicles 2 50,000 UNOPS No Prior OWSO 15-Jan-09 15-May-09 15-Aug-09

2 Mortorcycles 27 33,750 NCB No Prior OWSO through IPA 15-Jan-09 15-Apr-09 1-Jun-09 First NCB in the year

3Computer equipment (53 desktops, 2 laptops, 16 Printers, 1 Scanner, 7 Cash registers, 8 Photocopiers, 1 Fax Machine)

104,700 ICB Yes Prior OWSO through IPA 1-Jan-09 30-Apr-09 31-Jul-09

4 Audio Visual Equipment (1 LCD Projector with screen and 1Digital Camera) 2,000 Shopping No Post OWSO through IPA 1-Jan-09 1-Mar-09 1-Apr-09

5Office Furniture (Desk and Chairs, Computer desk, Meeting table/chairFurinture information boards, Filing cabinet and Safes

37,725 NCB No Post OWSO through IPA 1-Feb-09 1-May-09 30-Jun-09

6 Information campaign (posters, leaflets, stickers…) 18,000 Shopping No Prior OWSO through IPA 1-Feb-09 1-May-09 30-Jun-09

First Shopping in

the year246,175

I. Civil Works

TOTAL

I I. GoodsTOTAL

Contract Package

No.Description of Contract Package

Firm or Individual


Method of Procrement

(QCBS/QBS/LCS, etc for firms

and IC for individuals)

Review by Bank

(Prior/Post)


Estimated Date of Invitation for Proposal/CVs

Estimated Contract

Signing Date


Date

Comment

1 Interantional Consultant Specialist

1.1 Baseline Assessement Firm 60,000 QCBS Post OWSO through IPA 15-Jan-08 1-Jun-08 1-Oct-09 Several Phases

2 National Consultant Specialist

2.1 Website design IC 3,000 Selection of Individual Consultants

Post OWSO through IPA 1-May-08 1-Aug-08 1-Nov-08 PPF2

2.2 National TA for Policy (pre-implementation) IC 12,000 Selection of Individual Consultants

Post OWSO through IPA 15-Feb-08 1-May-08 31-Dec-08 PPF2

2.3 2 National TAs for DST for Policy IC 28,800 Selection of Individual Consultants

Post OWSO through IPA 15-Jan-09 1-May-09 30-Apr-10

2.4 National TA for Operation (pre-implementation) IC 3,600 Selection of Individual Consultants

Post OWSO through IPA 15-Feb-08 1-May-08 31-Dec-08 PPF2

2.5 National TA for Operation IC 10,800 Selection of Individual Consultants

Post OWSO through IPA 15-Jan-09 1-May-09 30-Apr-10

2.6 24 Chiefs of DOs (24 separate contracts) IC 100,344

Selection of Individual Consultants

Post Local Election Comtt 01-Jan-09 30-May-09 30-May-12

Selection by election (non-government

official) and the Contract need to be made between OWSO and each

Chief of DO

2.7 Study on Phnom Penh OWSO firm 15,000 CQS Post OWSO through IPA 1-May-09 1-Sep-09 1-Jan-102.8 Study on rural OWSO firm 10,000 CQS Post OWSO through IPA 1-Jul-09 1-Nov-09 31-Jan-10

2.9 Client Exit survey, DO Audit, & Conduct Focus Group Discussion (FDG) firm 65,500 QCBS Post OWSO through IPA 1-Apr-09 1-Oct-09 15-Nov-10

2.11 Short Video on OWSO and DO IC 5,000 Selection of Individual Consultants

Post OWSO through IPA 1-Jan-09 1-Feb-09 30-Jul-09

2.12 4 DST National Consultants IC 21,600 Selection of Individual Consultants

Post OWSO through IPA 1-Nov-08 1-Jan-09 30-Dec-09

335,644 TOTAL

I I I. Consultant Services

Appendix 10: TORsJob Description

Position: Curriculum Development Specialist (International)Project Title: DFGG/ OWSOProject Codes:Duty Station: District Support Team, General Directorate for Local

Administration, Ministry of InteriorDuration:

Background:

The Royal Government of Cambodia (RGC) has piloted with external assistance an OWSO and Ombudsman office in two urban districts in Battambang and Siem Reap since 2004.

Through an internal project evaluation by the Ministry of Interior, the RGC agreed to prepare a project proposal for continuation and expansion of the pilot project.

The “Demand For Good Governance” (DFGG) project of the World Bank has in principle agreed to fund the continuation and expansion of the project for an initial period of four years.

The RGC has submitted the first draft of the proposal and the pre-appraisal is planned to take place in October 2007 with possible effectiveness in June 2008.

The OWSO/DO is one of four components of the DFGG project, and will be implemented through the National Committee for Decentralization and Deconcentration through the Ministry of Interior.

The objectives of the project are as following:

“The DFGG project intends to contribute to the socio-economic development and improvement of local administrations especially in urban areas through the implementation and promotion of good governance structures in all provincial capitals of Cambodia. It gives new input to the administration reform of the Ministry of Interior and contributes to the formulation and the implementation of the Organic Law.

Under this overall objective the project shall contribute to the following objectives:

To improve public services, to reduce corruption and to increase citizen’s satisfaction in the administration. Through the opening of a OWSO the public services will be more efficiently and professionally executed as well as being more citizen friendly

To open new possibilities to the citizens to voice complaints with the administration through the election of a District Ombudsmen (DO). Citizens will receive a neutral mediator who will assist them in solving conflict with the district administration

To make the administration more transparent through opening up new information channels for the citizens and new measures for people’s participation.

There are five components covered in the drafted proposal of the RGC, with the following activities:

Component 1: Expansion of OWSO and DO to New Districts

Activity 1: Establishment of Legal Framework. Activity 2: Office Buildings. Activity 3: Extension of competencesActivity 4: Extension of new competences.Activity 5: Assessment on existing service delivery mechanism and structure in Phnom Penh

and rural districts. Component 2: Strengthening the Capacity of the OWSO and DO

Activity 1: Designing the Training Programs. Activity 2: Identification of Trainers. Activity 3: Conduct TOT training. Activity 4: Conduct training of OWSO staff. Activity 5: Organize study tour, internship and on-the-job training.

Component 3: Implementing New Forms of Citizens Participation and outreach Activity 1: Citizen’s Forum. Activity 2: Quarterly Public Forum. Activity 3: Citizen’s Hour (or Citizen’s Open House) Activity 4: Information Campaign on OWSO and Ombudsman. Activity 5: The OWSO Website

Component 4: Monitoring and Evaluation and Ensuring High Performance Standards in OWSO and DOActivity 1: Technical Assistance from District Support Team. IActivity 2: Designing of M& E and Learning Framework. Activity 3: Conduct of Baseline Studies. Activity 4: Actual Conduct of M & E and Learning Activities.Activity 5: Mid-term evaluation. Activity 6: End of Project Evaluation.

Component 5: Project Management

Activity 1: Establishment of TAG. (technical advisory group) Activity 2: Establishment of DST. (district support team) Activity 3: Recruitment of support staff and TAs. Activity 4: Formulation of legal documents. Activity 5: Information strategy. Activity 6: Procurement. Activity 7: Coordination and harmonization.

The District Support Team will be responsible to draft most of the legal documents as well as all training curricular for the OWSO and DO project. Due top technical limitations of the DST and because of the time and resource limitations, there are serious constraints to prepare the training plans, methodologies and particularly the content of the training manuals. The consultant will take a lead in drafting the required materials and in close discussion and assistance of the District Support Team finalize the training materials:

These materials will comprise:

1. Detailed training plan including sequence of topics, methodology and timeframe

2. Training manualsa. General Development concept, Good Governance and Managementb. Administration, Planning & Budgetingc. Structures, functions and procedures of OWSOd. DO Election procedures

e. DO Functions, Roles & Responsibilities and working proceduresf. Services of Public Work and transport

For each of the manuals following will be developed: Handbook (content based of legal documents) Handouts and exercises Session plans

3. The manual 2 f. will function as a model for the District Support Team and the involved Ministries to prepare manuals for the other technical content components

Objectives and MethodologyObjective:

The objective of the assignment is to develop training manuals for the DST trainers and other provincial trainers, including session plans, handouts and exercises and provide demonstrations training (test sessions) for the trainers on the most relevant topics for the OWSO and the DO.

Methodology The District support team, with two National advisers specialized in curriculum development and training skills, will be the direct counterpart team of the consultant. They will actively participate and assist in the preparations of the documents.

The consultant will undertake the work in three phases: In phase one draft the training plan, methodology and content outline. In phase two draft the manuals and in phase three test/ demo train the manuals of update the documents as might be required during final review

Scope of services

1. Specific tasks of the consultant:

In phase one the consultant will prepare a detailed training plan including sequence of topics, methodology and timeframe It should be taken into consideration that some of the training will be done through a cascaded methodology while other sessions could be directly trained by the trainers of the DST to the participants. For both options methodologies will be prepared for certain manuals.

In phase two, the consultant will prepare 6 training manuals including the content, session plans, handouts and exercises. The documents should be covering the content which will be provided to the consultant in the form of legislations such as Government Prakas, guidelines and decisions. The language and sequences should be clear, using simple but concise language. Exercises and handouts should be tailored to the level of the beneficiaries, using attractive but practical formats and layout.

In phase three, the consultant will conduct demo/ test trainings for the DST to observe and provide feedback. Based on this feedback, the manuals and training materials will be finalized.

2. Consultant’s time allocation:Prior to drafting a detailed training plan, the consultant will participate in a 2-3 day discussion meeting with the DST to get agreement on process, timeframe and sequence of the different topics. Upon completion of the detailed training plan, the consultant will participate in a one day meeting to present and finalize the training plan.

After completion of each manual the consultant will present the content for clearance to the DST. For the drafting the consultant will consult either with the Battambang or Siem Reap OWSO. Actual drafting of documents can be from the consultants own facilities.For the test/demo training the consultant will join the team during the working days in the chosen target districts.

Outputs and time schedule:

The consultant will provide the DST with the following outputs:

a. Detailed training plan including sequence of topics, methodology and timeframe

b. Training manuals, including content, session plans, handouts and exercises.

General Development concept, Good Governance and Management Administration, Planning & Budgeting Structures, functions and procedures of OWSO DO Election procedures DO Functions, Roles & Responsibilities and working procedures Services of Public Work and transport

c. Demo training sessions for each of the prepared manual.

The DST will be responsible to translate all the prepared manuals and documents in Khmer language.

The consultancy will begin in September and cover a period of 6 months until the end of May. The consultant can take in between that period of 9 months three months off. Days worked will be recorded by the consultant and reported to the DST using the UN working sheets.

Qualifications:

An advanced degree in Education Proven experience in Curriculum Development on Governance components Proven training skills Familiar with Cambodian Decentralization and deconcentration programmes Spoken Cambodian is a strong advantage.

Job Description

Position: District Support Team Advisor (DSTA)-OperationsProject Title: DFGG/ OWSOProject Codes:Duty Station: District Support Team, General Directorate for Local

Administration, Ministry of InteriorDuration: One Year (with possibility for extension)

1. GeneralThe District Support Team Advisor (DSTA) will assist the District Support Team at the Ministry of Interiors’ General Directorate of Local Administration in the Ministry of Interior to build capacity of the support team staff and to assist to implement the One Window Service Office (OWSO) and the District Ombudsman (DO) project funded through a World Bank grant.

2. Post SupervisionThe DSTA will report to the Chief of the District Support Team who will oversee the work performance. The DSTA is under the supervision of the Senior Program Advisor of PSDD.

3. Technical CooperationThe DSTA will provide technical cooperation to the District Support Team staff (the Chief and technical staff, as well as providing input to the Technaical Advisory Group (TAG)

4. TasksThe specific duties of the DSTA are as follows:

4.1. Technical Cooperation Technically support the District Support Team chief in managing staff to support the

District support programme. Technically support the District Support Team in facilitate and cooperate with other

local agencies in support to the District Programmes. Technically support the District Support Team in project planning, coordinating,

monitoring and facilitation. Technically support the District Support Team staff to provide training and facilitation

to the Target Districts on the preparation and implementation of the project. Technically support the District Support Team staff in association with the NCDD

Secretariat/PST Finance and Administration Units, to support the Target Districts to fully understand the Financial Management System and guidelines and that target Districts are able to effectively apply the procedures.

Technically support the District Support Team to ensure that District staff are able to fulfil their respective responsibilities.

Technically support the District Support Team to and maintain data bases of information relevant to the District project.

4.2 Capacity Building Assist in the set up and conducting of Training Needs assessment (TNA) for the District

Support Team and the Target District and designing the training curriculum based on TNA results.

Conduct formal and on-the-job training to the District Support Team and Target Districts Planning and Financing guidelines, facilitation skills, Governance, Management and other areas as defined in the project.

Capacity build and assist the District Support Team to train and monitor the training to the Target Districts to plan and manage their projects.

Capacity build and assist District Support Team staff to provide training and facilitation to the Target Districts on implementation procedures in accordance with established guidelines.

Provide on-the-job training to the District Support Team staff in information and documentation techniques.

Provide on-the-job training to the District Support Team in personnel management, organizing and controlling, work planning, budgeting, cooperating with other units and agencies and reporting.

Capacity build and assist the District Support Team, under the direction of the Director General, to monitor the compliance of the District regulations and ensure that regular reports are submitted in accordance with the established guidelines.

Capacity build and assist the District Support Team staff to prepare and implement a monitoring and evaluation plan for the District projects.

Assist the District Support Team and the International consultant in developing training curricular for the Target Districts.

4.3 Monitoring and Evaluation Conduct regular field visit to monitor the performance of the Target Districts in providing

technical assistance and training to the Districts in planning, budgeting, project formulation, reporting, and general administration tasks so as to ensure their accountability.

Participate in the annual monitoring activities of the District Support Team and prepare recommendations for improving performance and efficiency.

Join in the performance review of the District Support Team of the District staff and provide inputs to staff performance appraisal reviews.

4.4 Reporting Capacity build and assist the District Support Team staff to prepare and submit monthly,

quarterly and annual narrative and financial reports to the TAG and NCDD Secretariat. Capacity build and assist the District Support Team to ensure that information and

decisions are communicated from province to District level and from District to Province level.

Capacity build and assist the District Support Team to ensure that the District/Khan staff are kept informed of progress and constraints.

Prepare monthly, quarterly and annual work-plans and reports as required and submit through the SPPA to ExCom and to the Director of the NCDD Program Support Team.

4.5 Other Duties Maintain contacts, interaction and sharing of experiences, lessons learned and data with

any institutions, organizations/groups working in relevant sectors and/or cooperating with the District Support Team.

Assist in the dissemination of information on the NCDD, the District guidelines and associated sub-decrees, Prakas and decisions.

Coordinate with other Capacity Building Advisors and attend as requested national level forums on relevant local capacity building issues.

Provide assistance as requested to monitoring missions and field visits from NCDD Secretariat and Ministry Focal Points on provincial visits.

Perform other duties as required by Director General of the General Department of Local Administration and Senior Programme Adviser of PSDD.

Assist in the translation of related documents.

5. Qualifications and Experience

The successful applicant must have the following qualifications: Bachelor degree in a relevant field Five years project management experience Training and presentation skills Experience in Curriculum Development Two years experience working in collaboration with government officials Previous and relevant experience (at least three years) working with the former PLG

support project and the Seila program is an added advantage and may compensate for lack of some qualification in the other areas.

Fluency in spoken and written Khmer and English

Job Description

Position: District Support Team Advisor (DSTA)-PolicyProject Title: DFGG/ OWSOProject Codes:Duty Station: District Support Team, General Directorate for Local

Administration, Ministry of InteriorDuration: 8 Months (with possibility for extension)1. General

The District Support Team Advisor (DSTA) will assist the District Support Team at the Ministry of Interiors’ General Directorate of Local Administration in the Ministry of Interior to build capacity of the District Support Team staff and to assist to implement the One Window Service Office (OWSO) and the District Ombudsman (DO) project funded through a World Bank grant as part of the DFGG project.

2. Post SupervisionThe DSTA will report to the Chief of the District Support Team who will oversee the work performance. The DSTA is under the supervision of the Director General of the Directorate of Local Administration of the Ministry of Interior..

3. Technical CooperationThe DSTA will provide technical cooperation to the District Support Team staff (the Chief and technical staff, as well as providing input to the Technaical Advisory Group (TAG)

4. TasksThe specific duties of the DSTA are as follows:

4.1 Technical Cooperation Technically support the District Support Team chief in managing DST staff and the

OWSO/DO offices. Technically support the DST with preparing legislation for the OWSO/DO programme. Technically support the District Support Team to facilitate and cooperate with other

local agencies in support to the OWSO/DO Programme. Technically support the District Support Team in project planning, coordinating,

monitoring and facilitation for the OWSO/DO programme. Technically support the District Support Team staff to provide training and facilitation

to the OWSO/DO on the preparation and implementation of the project. Technically support the District Support Team staff in association with the NCDD

Secretariat/PST Finance and Contract Administration Unit, to fully understand the Financial Management System and guidelines and that Excom and OWSO/DO are able to effectively apply the procedures.

Technically support the District Support Team to ensure that OWSO staff are able to fulfil their respective responsibilities.

Technically support the District Support Team to and maintain data bases of information relevant to the OWSO/DO project.

4.2 Capacity Building Assist in the set up and conducting of Training Needs assessment (TNA) for the District

Support Team and the OWSO/DO and designing the training curriculum based on TNA results.

Conduct formal and on-the-job training to the District Support Team and OWSO/DO Planning and Financing guidelines, facilitation skills, Governance, Management and other areas as defined in the project.

Capacity build and assist the District Support Team to train and monitor the training to the OWSO/DO to plan and manage their projects.

Capacity build and assist District Support Team staff to provide training and facilitation to the OWSO on implementation procedures in accordance with established guidelines and legislation.

Provide on-the-job training to the District Support Team staff in information, dissemination and documentation techniques.

Provide on-the-job training to the District Support Team in personnel management, organizing and controlling, work planning, budgeting, cooperating with other units and agencies and reporting.

Capacity build and assist the District Support Team, under the direction of the Director General, to monitor the compliance of the OWSO regulations and ensure that regular reports are submitted in accordance with the established guidelines.

Capacity build and assist the District Support Team staff to prepare and implement a monitoring and evaluation plan for the OWSO/DO projects.

Assist the District Support Team and the International consultant in developing training curricular for the OWSO/DO.

4.3 Monitoring and Evaluation Conduct regular field visit to monitor the performance of the OWSO/DO in providing

technical assistance and training to the OWSO/DO in planning, budgeting, project formulation, reporting, and general administration tasks so as to ensure their accountability.

Participate in the annual monitoring activities of the District Support Team and prepare recommendations for improving performance and efficiency.

Join in the performance review of the District Support Team of the OWSO/DO staff and provide inputs to staff performance appraisal reviews.

4.4 Reporting Capacity build and assist the District Support Team staff to prepare and submit monthly,

quarterly and annual narrative and financial reports to the TAG and NCDD Secretariat. Capacity build and assist the District Support Team to ensure that information and

decisions are communicated from province to OWSO/DO level and from OWSO/DO to Province level.

Capacity build and assist the District Support Team to ensure that the OWSO/DO staff are kept informed of progress and constraints.

Prepare monthly, quarterly and annual work-plans and reports as required and submit to Chief of the District Support Team.

4.5 Other Duties Maintain contacts, interaction and sharing of experiences, lessons learned and data with

any institutions, organizations/groups working in relevant sectors and/or cooperating with the District Support Team.

Assist in the dissemination of information on the OWSO/DO guidelines and associated sub-decrees, Prakas and decisions.

Coordinate with other Capacity Building Advisors and attend as requested national level forums on relevant local capacity building issues.

Provide assistance as requested to monitoring missions and field visits from NCDD Secretariat and Ministry Focal Points on provincial visits.

Perform other duties as required by Director General of the General Department of Local Administration and the Chief of the District Support Team

Assist in the translation of related documents.

5. Qualifications and Experience

The successful applicant must have the following qualifications: Bachelor degree in a relevant field Five years project management experience Training and presentation skills Experience in Curriculum Development Two years experience working in collaboration with government officials Previous and relevant experience (at least three years) working with the former PLG

support project and the Seila program is an added advantage and may compensate for lack of some qualification in the other areas.

Fluency in spoken and written Khmer and English

Job DescriptionPosition: District Support Team Leader Grade: B1Department: District Support Team Date:

Reports to: Chair of Technical Advisory Group

(Director General (DG) of the General Directorate of Local Administration)

Main Job Responsibility:

To manage the operations of the District Support Team to provide assistance to the Technical Advisory Group (TAG) for all aspects of OWSO project implementation at sub-national level.

Duties and Responsibilities:

Assist in the development of a legislative framework to support the implementation of OWSO activities at sub-national levels

Ensure the availability of national operational plans for OWSO which reflect district priorities and meet agreed goals and priorities of NCDD

Provide guidance to sub-national teams to ensure that all OWSO programs conform to NCDD policy and effective operating procedures are available to implement them.

Coordinate the development of national and sub-national training plans to support the implementation of OWSO across Districts.

To monitor the allocation and disbursement of funds to district operations and recommend corrective action where necessary.

Ensure the availability of a competent and motivated team of technical advisers to support all OWSO programs

Monitor, evaluate and take corrective action where necessary to ensure achievement of agreed work programs and outcomes.

Expected Results from the DFGG Plan

The availability of a suitable legislative framework for OWSO operations

The availability of national training plans which address clearly identified training needs at district levels

District work plans and service contracts conform to NCDD policy and guidelinesSelection Criteria:

A tertiary qualification in Public Sector Administration and Management from a reputable institution would be an advantage

A minimum of 8 years senior management experience in public sector management of which at lease years 3 should be in the RGC.

Demonstrated practical experience in project management preferably in the area of governance and reform in Cambodia

High level analytic and policy development skills

Oral and written communication skills sufficient to prepare and present progress reports to national and international government and donor representatives

Detailed knowledge of WB and RGC accounting, reporting and management systems and project operating requirements

Computer literacy sufficient to competently prepare reports in MS Word and to compile spreadsheets and analyse data in MS Excel

Staff Member

…………………………………………

DG of the General Directorate of Local Administration………………….……………………..

Job Description

Position: District Support Technical Officer Grade: B3Department: District Support Team Date:Reports to: DST Team Leader

Main Job Responsibility:Provide guidance and technical support to the District Support Team staff as well as providing input to the Technical Advisory Group (TAG)


Assist in the design and implementation of Training Needs assessment (TNA) for the OWSOs Design and deliver on-the-job training to the OWSO and D.O in a range fo business functions including planning, financing, human resource management, training facilitation, Governance, Management and other areas as required by the projectAssist the DST to monitor the compliance of the District regulations and ensure that regular reports are submitted in accordance with agreed guidelinesProvide support to Districts in planning, budgeting, project formulation, reporting, monitoring and general administration tasks to ensure their transparent and accountable work practicesProvide assistance in drafting policy and procedural material to support the operating environment of the districtsAssist in the monitoring and coordination of contract implementation across the districtsAssist in the dissemination of information on the NCDD

Expected Results from the DFGG Plan Training and development curricula which meets the needs of OWSO and DO.EXCOM Focal Persons have the capacity to train, monitor and assist target districts to plan and manage their projects.

Selection Criteria: Tertiary qualification from a respected institution in a field relevant to the area of

technical speciality At least 3 years practical experience in project management preferably in the area of

governance and reform in Cambodia High level analytic and policy development skills Demonstrated experience in capacity building and/or training and development Oral and written communication skills in English and Khmer sufficient to prepare and

present progress reports to national government and donor representatives Detailed knowledge of WB and RGC accounting, reporting and management systems and

project operating requirements Computer literacy sufficient to competently prepare reports in MS Word and to compile

spreadsheets and analyse data in MS Excel

Staff Member

…………………………………………

DG of the General Directorate of Local Administration………………….……………………..

Job DerscriptionPosition: DST Administration and Finance Officer Grade: B3Department: District Support Team Date:Reports to: DST Team Leader

Main Job Responsibility:

Responsible for the provision of administrative and logistical services and maintaining proper books of accounts, and processing all petty cash transactions


Hold and manage the Project Petty Cash Advances, disburse petty cash expenditures and petty cash reconciliationsArrange and provide logistical support to DST and TAGMaintain a register of all correspondence and project documentationProvide administrative support to meetings, conferences and training activities undertaken by the DSTPrepares the overall project procurement plans;Prepares specific bidding documents, using agreed standard bidding documents;Ensure the maintenance of supporting documentation in proper order and form for project expenditures.Maintenance of the project asset register.Ensure that the project complies at all times with the project financial management procedures as set out in the Financial Management Manual and grant agreement.

Expected Results from the DFGG Plan

Selection Criteria:

Recognized certificate in accountancy or management At least one year relevant post qualifying experience; or at least three years of experience

in accounting/administrative work in a government or private agency. Proficiency in a computerized accounting package and Excel Spreadsheets Oral and written communication skills in English and Khmer sufficient to prepare and

present progress reports Basic knowledge of WB and RGC accounting, reporting and management systems and

project operating requirements

Staff Member

………………………

DG of the General Directorate of Local Administration

………………….……………………..

Job Description

Position: Consultanf for District Baseline SurveyProject Title: DFGG/ OWSOProject Codes:Duty Station: District Support Team, General Directorate for Local

Administration, Ministry of Interior

1. Background and purpose of the baseline survey

The Ministry of the Interior (MOI) is seeking a suitably qualified and experienced local/Cambodian consulting firm or research institute to undertake a baseline study on the One Window Service Office (OWSO) subcomponent of the World Bank funded Demand for Good Governance (DFGG) Project.

The MOI is the Executing Agency for the DFGG Project. The DFGG Project supports the governance reform policies of the Royal Government of Cambodia. It is an exciting new project that will support selected government institutions and civil society organizations to develop and expand programs that promote good governance. The DFGG project will support four state institutions to demonstrate innovative good governance approaches, in partnership with civil society that may generate lessons for wider replication. At the same time, civil society organizations will be encouraged to promote accountable and transparent government through partnership approaches with state institutions and a competitive program of small to medium sized grants. The project hopes to encourage citizen demand or interest in governance issues and to improve government responsiveness to feedback from the community.25

One of the initiatives selected to demonstrate innovative good governance approaches is the expansion of the One-Window Service Office (OWSO) and District Ombudsman (DO) to selected districts through Cambodia26. These offices have been piloted in two districts – Siem Reap and Battambang - and under the DFGG project will be expanded to a further 22 districts – one urban district in remaining province in Cambodia (except Phnom Penh) and one rural district. This OWSO/DO initiative under the larger DFGG Project has the following objective:

To strengthen demand for good governance in selected districts in all provinces in the country by (a) responding to the needs of citizens and small businesses for certain administrative services to be delivered in an efficient, transparent, and accountable manner, (b) providing an avenue for mediating complaints and concerns of citizens and small businesses regarding the district administration, and (c) promoting awareness and participation of citizens in decisions, policies, and programs of district governments.

The initiative will achieve this objective through: Establishment of a well functioning OWSO in one urban district of each province (likely the

provincial capitals) of Cambodia (except Phnom Penh) and one pilot rural district in the country that will provide citizen friendly administrative services in a professional, efficient, transparent and corruption free manner,




25 The DFGG approach aims to encourage or strengthen approaches that promote, mediate, respond to or monitor demand for good governance. See Annex-1 to these TOR for a short brief on the DFGG project.26 The implementing agency for this subcomponent is the Secretariat of the National Committee for Management of Decentralization and Deconcentration Reforms (NCDDS) that is housed in the General Department of Local Administration in the MOI. The NCDDS will establish a District Support Team (DST) to manage the OWSO/DO subcomponent.

Most of the ‘services’ that will be available relate to the registration of vehicles, commercial operations and small businesses. Currently, at the two existing trial districts the OWSO services are as follows:

Sector Services

Public Work and Transport Registration motorcycle, tricycle, motor tricycle Licenses for business with bicycle trailer,

motorcycle trailer, tricycle and motor tricycleCulture and Fine Art Other performing programs

Sale of arts/handicraft products Showing the movie and video (movable) Movable

video producers and photographers (exploitation) Sale of cassettes, movies and video products

Signs of other exploitations of no more than 02 meters square (except banner of advertisement)

Exploitation concerning the microphone Control over bookshops Exploitation of sculptural arts (small size)


Tourism 5-seat taxi, moto-taxi and motor-cart Guest house up to 5 rooms and moveable folded

beds Restaurant up to 50 seats, Canteens, Canteen at resort sites, Food stores, cafes and soup shop Massage up to 5 beds

MLMUPC Constructions up to 500 square meter and maximal 2 floors

Commerce Issuing the business and services permissions to businessmen and service-suppliers that are not bound to pay income taxes

There is an expectation that these services will be expanded as new ministries (education, health and agriculture) become involved in the OWSO.

The principle objective of the baseline study is to provide general baseline information on services to clients before OWSO establishment, including the community’s general perceptions of the services available to them locally prior to the project. The baseline study will focus only on those services that will, in future, be available at the OWSO in a sample of targeted districts.

It will also include a qualitative impact evaluation aimed at comparing districts at various stages of implementation of the OWSO/DO: districts still functioning under the former administrative regime (registration under the responsibility of provincial line departments) and the pilot districts in which OWSO/DO have been put into place. Discussion with various stakeholders will allow a preliminary understanding of the changes induced by the OWSO/DO reform.

The baseline study consists of three main inter-related tasks that are expected to be carried out sequentially. These will seek both secondary and primary information from the local administration, service users and the general public on existing services. The three tasks are:

(1) Conducting a qualitative survey cum impact assessment: The qualitative survey will collect primary information from the community on official and ‘unofficial’ costs to clients for each of the services; indirect ‘costs’ associated with the number of trips and time required to access services; the number of offices required to be visited, and more generally the overall satisfaction of citizens. The qualitative survey will also assess the means and ease of making complaints about the local administration and the local service delivery; and community access to information on local services and associated fees. The

qualitative survey will also allow a qualitative assessment of changes induced by OWSO/DO reforms.

(2) Conducting administrative data collection: This will include administrative data on the past volume of services, fees charged and revenues generated. The survey will also collect primary information on the beneficiaries such as name, address and telephone number in order to construct a dynamic database of past beneficiaries. The objective of the activity is to compare – within the same district – patterns of registration before and after the “event”, i.e. the implementation of the OWSO/DO subcomponent. Because a lot of outside factors not-related to OWSO/DO can affect these outcomes simultaneously (such as natural economic and population growth…), high frequency data are necessary and these data must go far enough back in history. The objective is to look at the trend of registration over time before the “event”, and assess quantitatively whether a “break in trend” has occurred when OWSO/DO was implemented. Separate analyses can also be conducted for each relevant line department, or even for each transferred competency. Furthermore, primary information collected will allow construction of a census of all registrations and beneficiaries in the sampled districts.

(3) Conducting a (household and firm) quantitative survey: With the administrative database above as sampling frame, a quantitative survey will be implemented on a subset of past beneficiaries. First-hand information on beneficiaries characteristics, and recall information on their registration history (including fees, delay, satisfaction…) will be collected. The sample will be such that information on beneficiaries is collected for each three-month time period prior to the survey and for the past 3 to 4 years. The objective of this component is to look at other dimensions of the impact of OWSO/DO. Since item (2) focused on administrative data (supply side), item (3) now focuses on household and firm survey data (demand side). This will allow the analysis of changes in average beneficiary characteristics subsequently to the implementation of OWSO/DO, and changes in delays and fees with the caveat that the quality of recall data will deteriorate as we prompt households for information on events that took place a long time ago. Furthermore, the question of whether additional registrations are driven by informal businesses becoming formal or new businesses registering can be addressed within this framework.

The following TOR provides an outline of study strategy and tools. It does not provide, for example, draft questionnaires ready for translation and testing, nor detailed instructions on how to organize focus groups, conduct semi-structured interviews with stakeholders.

2. Strategy for the Qualitative Survey cum Impact Assessment

General approach to be takenThe main purpose of the proposed qualitative survey and impact evaluation is to get a sense from the ongoing pilots, the degree to which these institutions have made a difference in Siem Reap and Battambang. This will answer in turn some critical questions that would help design the evaluation framework for the OWSO/DO expansion under the DFGG project. These basic questions include - what would we be evaluating? What do we expect is going to happen once new OWSOs and DO offices are opened? And with what order of magnitude? Additionally, we would want to get a preliminary sense of why these effects happen. At the same time, one wants to compare with what the situation is like in districts that do not currently have a OWSO and DO office. It is expected therefore that the qualitative study provide insight into the changes that might be induced by the OWSO/DO project and the mechanisms leading to these changes.

Key impacts and outcomes to assessThe following are some of the outcomes and impacts expected if the OWSO/DO project operates successfully in the district. Where appropriate, these should be the subject of the qualitative impact evaluation:

Increased community satisfaction with the services provided locally (in terms of ease of access, time-savings, proximity, transparency of fees, user-friendliness/customer service etc)

More accessible administrative services with reduced costs and time to access them.


Increased public trust and confidence in administration services offered at OWSO (transparency/accountability etc).

Increased community awareness of the local administration and service offered (and administrative requirements).

Easier avenue for citizens to raise concerns/complaints.

Improved government responsiveness in provision of administrative services and to complaints raised.

Strengthened community participation in administrative reform.

Increased accountability of government agencies at the local level.

Indicators have been identified where these expected outcomes/impacts are relevant to the Qualitative Study (see below section).

Critical questionsA number of critical questions associated with assumptions and risks may need to be considered in the evaluation strategy and therefore may be relevant to the Qualitative Impact Evaluation:

How important are the services that are provided at the OWSO to the general public? Are these key services that are important to the public? Will the OWSOs be more than a centralized, locally-accessible administration “shop front” for collecting revenue?

How much more accessible are the district OWSOs, compared with the provincial offices (given that all but one of the new 22 OWSOs will be located in the provincial capitals)?

What are the benefits (versus the costs) for the public of ‘using the services’ (eg registering businesses/vehicles)? For example, what are the ramifications for not registering?

Are services being improved without: streamlining administrative processes; reducing the number of steps (and offices to be visited); and, developing and meeting set standards for service delivery?

What are the relationships between ease of access to services and better service provision (more rapid, more accountable etc), and the number of people using those services (registering businesses, vehicles etc) and the revenue thus collected?

Do DOs increase the number of complaints or reduce them? Is the presence of the DO in itself improve the quality, transparency and accountability of the local administration and its service delivery? Or is the presence of the DO provide an avenue for raising problems, concerns and complaints where no easy avenue previously existed?

Is there a culture and tradition of complaining directly to government? Can the community be encouraged to use the DO in the short or medium term?

Is the scope of the complaints able to be received and addressed by the DO, related to local services, be unimportant relative to major community concerns with other government services and administrative decisions that affect their lives and livelihoods more directly?

Is the DO prepared to receive complaints that may follow after the administrative and registration services have been provided? For example, will the DO be empowered (and promote the receipt of complaints) related to bribes that need to be paid to keep a business open (regardless of registration papers)?

3. Strategy for the administrative data collection and quantitative survey

General approach to be takenIt is proposed that the baseline study provide insight into the changes that might induce the OWSO/DO project and the mechanisms leading to these changes. As the baseline study is taking place before OWSO/DO implementation, an emphasis will be put on the current registration system, with its limitations and strengths.

Among questions to be answered and indicators to be collected, the Consultant will choose the best survey instrument available (qualitative, administrative or quantitative data) in coordination with the stakeholders. Below are some of the baseline indicators suggested27.

Baseline indicatorsA variety of quantitative and qualitative indicators should be considered for the Baseline Study based on the expected outcomes/impacts and critical questions discussed above. Note that not all of the expected outcomes and impacts can be meaningfully assessed prior to OWSO/DO commenced. These are listed below:

Community satisfaction (rating scale/score) in the administrative services provided (prior to OWSO/DO)

Costs to clients in accessing administrative services (time and money including travel costs, by type of service) based on reports of respondents

Time taken for the administration to compete the service, number of offices required to be visited, number of forms required, formal payments required (for each of the relevant services) based on reviews of administration records

No. (and %) and characteristics (education, income…) of persons aware of local services available, registrations required (for each type of service)

No. (and %) and characteristics (education, income…) of community respondents with all the registrations required for their vehicles, commercial operations and businesses (their legal responsibilities) (for each type of service)

No. (and %) and characteristics (education, income…) of community respondents aware of mechanisms to raise complaints, concerns, problems with the local administration and services, and the

No. (and %) and characteristics (education, income…) of community respondents who have ever raised a complaint/concern/problem, and the means by which they were raised

No. of complaints raised related to local services and no. and % addressed and satisfactorily resolved (by whatever means) based on records of the offices of the local administration28

No. clients and characteristics (education, income…) served at the provincial offices (for each type of transaction) based on records of the offices of the local administration

No. transactions completed at the provincial offices and revenue so generated per given period (for each type of transaction) based on records of the offices of the local administration

No. and % service users and community representatives reporting unofficial fees demanded, or graft and corruption in relation to the local services (by type of transaction)

Trust/confidence rating scales/scores by service users and the local community in general concerning local services and the local administration

Accountability and responsiveness perception rating scales/scores by both senior government staff and community/civil society of local services and administration

Community awareness and perceptions of the administrative reforms (decentralization) proposed and in process, and their perceptions of the importance of the move to decentralized OWSOs and DOs

Community and local CSO experience with or participation in governance activities (opportunity to provide feedback; discuss issues at the local level, etc).

This is not an exhaustive list. The final list of indicators will be agreed with the OWSO/DO project team prior to the commencement of the Baseline Study, and after the means to collect such information has been established. It should be noted that some of the above information presupposes that appropriate administrative records are kept and that these records will be made available to the survey team.

27 Annex-2 presents the draft results framework for the OWSO/DO subcomponent, which lists the formal indicators that need to be reported by the NCDD to the Project Coordination Office and the World Bank.28 This assumes there is some mechanism whereby citizens can raise complaints about local services and that the respective government offices keep records.

4. Methods for data collection

(1) Qualitative survey cum impact evaluationThe information on individuals’ anticipations, perceptions and analysis of the baseline situation will be obtained via focus groups and semi-structured interviews with various stakeholders, from beneficiaries, would-be beneficiaries to province and national officials. The objective is not to obtain a representative snapshot but rather the entire universe of potential issues, problems and opinions related to the current registrations system. As the qualitative survey will be the base of a qualitative impact evaluation, the survey will cover both a district(s) with OWSO/DO and one (or more) district(s) currently without OWSO/DO. Which of the OWSO/DO pilot districts will be chosen (Siem Reap or Battambang or both) shall be determined in cooperation with the task team. The non-OWSO/DO district(s) will be part of those where administrative data collection and quantitative survey implementation will take place (see below).

(2) Administrative data collectionProvincial line departments are keeping track of all registrations taking place. The exercise consists of getting these logs and inputting them into an electronic platform and formatting them so that they can be analyzed. This is a tedious and lengthy process that requires rigor and persistence. The Consultant is required to procure staff to go to provincial line departments and proceed with data entry in collaboration with local officials. A template is provided in the appendix for information. At least 3 districts will be chosen for this activity, and the districts will be chosen in collaboration with the task team. They will be drawn from the set of districts selected for introduction of the OWSO/DO office in year 1 of the DFGG project.

(3) Quantitative surveyThe quantitative survey is a standard household or businesses survey. The sampling methodology is different in the sense that its objective is to recover a longitudinal sample of registration service beneficiaries. The issue of recall will need to be addressed. From the administrative data, a database of past beneficiaries will be constructed, ordered by services and dates of registration. Within each service*date cell, a random sample of beneficiaries will be drawn and surveyed for individual, household and businesses characteristics, and past experience of the registration process. The coverage of districts would be the same as for the administrative data collection.

4. Scope of services required

The Consultant will design and test sampling methodologies and associated tools for all aspects of the baseline study. These methodologies and their associated tools should be pre-tested with the participation of MOI and OWSO/DO monitoring and evaluation personnel and consultants whose comments and suggestions on tools and methods should be taken into consideration in the finalization of the tools and methodologies.

The size of the sample with regards to numbers and selection of households, numbers of group discussions with other stakeholders, interviews with clients and key informants will also be determined in consultation with the project staff/consultants mentioned above. The districts selected for these surveys, and the extent of clustering (number of households in sub-district administrative units), will also need to be agreed. We expect a minimum of 3 districts to be covered.

The Consultant will analyze all information from primary and secondary sources, quantitative and qualitative studies, and present it in a report that addresses the above objectives, selected indicators and content. The reliability of data so generated, and hence of the analysis and study conclusions, should also be discussed in the report.

Data should be delivered in STATA or ASCII format, with variables properly labeled, and a user manual summarizing: sampling strategy adopted, description of the data, construction of statistical weights, and basic tables of means.

The Consultant should also discuss any issues that may affect the implementation of the subsequent Mid-Term Review and End of Project Evaluation and provide recommendations as appropriate.

Subject to satisfactory performance in undertaking the Baseline Study, the Consultant will be invited to submit proposals for the conduct of the End of Project Evaluation of the OWSO/DO project. These

subsequent surveys will amongst others collect information on the same indicators as the Baseline Quantitative Survey in order to make before-after project comparisons.

5. Duration/ Timing

It is proposed that the assignment be of 24 weeks duration.

6. Deliverables

Inception Report with detailed methodology and tested tools – 3 weeks Qualitative survey and impact evaluation – 4 weeks Draft report of qualitative impact evaluation – comments – revisions: 1 week Adminsitrative data – 7 weeks Quantitative survey –6 weeks Draft Report of quantiative survey – 1 week Workshop presenting the findings of the Draft Reports – 1 week Final Report (including both qualitative impact evaluation and quantitative survey results) – after

addressing comments from the project staff – 1 week

7. Team Composition and QualificationsThe Consultant shall be a local/Cambodian firm, NGO, or coalition with extensive experience in social research methods, survey design and implementation, and qualitative methods. They should have experience working on decentralization and local governance issues in Cambodia. The consultant must also have proven skills in sampling, pre-testing questionnaires, training and supervising interviewers, questionnaire coding, data entry and database analysis, and documenting survey results. Consultants will be asked to provide examples of recent written reports.

The Consultant team should include (but need not be restricted to) the following: 1. a Team Leader - who will be in charge of coordination, management of the survey/audits

and will also be the principal author of the final report from the study. The Team Leader should be an experienced social researcher with an advanced degree in economics, management, political science, development studies, statistics, or related subjects. He/she should have at least 5 years of project management and/or field research experience covering formal survey techniques including questionnaire design. He/she should be skilled in task team coordination, organizing fieldwork, data analysis, and in report writing. Fluency in English and Khmer is essential. Knowledge of key decentralization and local governance and service delivery issues in Cambodia is an advantage.

2. Research Associates (2) – who will support the work of the Team Leader, particularly in terms of undertaking sampling, questionnaire design, fieldwork, data entry and analysis. The Research Associates should have at least a Bachelor’s degree or equivalent in development studies, public policy, social sciences, economics, statistics, anthropology, or related disciplines and at least 2 years of professional experience. He/She must have experience in writing analytical reports and research studies; good oral and written skills in English and fluency in Khmer language. He/She should also have a high degree of computer literacy (word, excel and preferably some statistical analysis tools).

a. The first Research Associate should have sufficient statistical skills to assist the Team Leader to design and implement appropriate sampling protocols for the quantitative survey. The first Research Associate should also be able to use standard statistical software packages to produces summary tables and basic conditional correlations.

b. The second Research Associate should have proven experience in questionnaire design, focus group and participatory research methods, formatting, field-testing and implementation.

The Research Associates will have the responsibility to train and monitor field supervisors and enumerators.

3. Supervisors/Enumerators/Interviewers – Survey teams should consist of 3 to 4 interviewers who will be hired part time to undertake the actual fieldwork along with and under the supervision of the team leader and research associates. One team member will

also be supervisor. The enumerators should have competent numerical and literacy skills and be fluent in Khmer, with a working knowledge of English. The number of teams will be determined by the Team Leader in consultation with the task team in order to ensure both time efficiency and data quality.

The Consultant will be required to provide all computer equipment and arrange all vehicles, accommodation, insurance and other forms of travel if required. All costs for printing of questionnaires and reports, translation etc will also be met by the Consultant. These costs should therefore be included in the Consultant’s quotation in addition to fees for personnel. This excludes final workshop costs that will be covered by the Project separately.

8. Expected Level of Effort Required

The required level of effort to complete this consulting assignment has been estimated at 15 person-months for the key staff mentioned above. Additionally, an estimated 1000 person-days are anticipated to conduct the required fieldwork for the baseline study (including qualitative survey, administrative data collection, and quantitative survey).

These estimates are only indicative. The Consultant should review these TOR and propose the number of staff-months and enumerator person-days in accordance with their interpretation of the volume of work anticipated.

9. Management/Reporting Arrangements

The study shall be supervised by the Technical Working Group (TWG) for the OWSO/DO project, with support of the Project Coordination Office (PCO) M&E advisor. It is important that the Consultant provide a full briefing for the TWG and key staff prior to the conduct of the study; and that close coordination is made with respect to the selection of samples, gathering of data, schedule of field work, etc.

As indicated above, the pre testing of questionnaires and checklists, and other important activities should be made with the participation and/or inputs of MOI and OWSO/DO monitoring and evaluation personnel and consultants. Draft reports shall be reviewed and presented in Phnom Penh in a workshop setting, with representatives from provincial/district staff, and other stakeholders, as determined by the TWG.

Job Description

Position: Consultant for Client Exit Survey Consultant and DO AuditProject Title: DFGG/ OWSOProject Codes:Duty Station: District Support Team, General Directorate for Local

Administration, Ministry of Interior

1. Background and purpose of the client exit survey

The Ministry of the Interior (MOI) is seeking a suitably qualified and experienced consulting firm, NGO, or research institute to manage/undertake annual client exit surveys and performance audits at targeted district One-Window Service Offices (OWSO) and District Ombudsman (DO) offices respectively during implementation of the four-year World Bank funded Demand for Good Governance (DFGG) Project commencing early in 2009.

The DFGG Project supports the governance reform policies of the Royal Government of Cambodia. It is an exciting new project that will support selected government institutions and civil society organizations to develop and expand programs that promote good governance. The DFGG project will support four state institutions to demonstrate innovative good governance approaches, in partnership with civil society that may generate lessons for wider replication. At the same time, civil society organizations will be encouraged to promote accountable and transparent government through partnership approaches with state institutions and a competitive program of small to medium sized grants. The project hopes to encourage citizen demand or interest in governance issues and to improve government responsiveness to feedback from the community.29

One of the initiatives selected to demonstrate innovative good governance approaches is the expansion of the One-Window Service Office (OWSO) and District Ombudsman (DO) to selected districts through Cambodia30. These offices have been piloted in two districts – Siem Reap and Battambang - and under the DFGG project will be expanded to a further 22 districts – one urban district in remaining province in Cambodia (except Phnom Penh) and one rural district. This OWSO/DO initiative under the larger DFGG Project has the following objective:

To strengthen demand for good governance in selected districts in all provinces in the country by (a) responding to the needs of citizens and small businesses for certain administrative services to be delivered in an efficient, transparent, and accountable manner, (b) providing an avenue for mediating complaints and concerns of citizens and small businesses regarding the district administration, and (c) promoting awareness and participation of citizens in decisions, policies, and programs of district governments.

The initiative will achieve this objective through: Establishment of a well functioning OWSO in one urban district of each province (likely the

provincial capitals) of Cambodia (except Phnom Penh) and one pilot rural district in the country that will provide citizen friendly administrative services in a professional, efficient, transparent and corruption free manner,



29 The DFGG approach aims to encourage or strengthen approaches that promote, mediate, respond to or monitor demand for good governance. See Annex-3 to these TOR for a short brief on the DFGG project.30 The implementing agency for this subcomponent is the Secretariat of the National Committee for Management of Decentralization and Deconcentration Reforms (NCDDS) that is housed in the General Department of Local Administration in the MOI. The NCDDS will establish a District Support Team (DST) to manage the OWSO-DO subcomponent.


The principle objective of the client exit survey is to investigate community satisfaction with and confidence in services available at the OWSO, the transparency of those services (no ‘extra fees’), and cost/time savings to clients (compared with the situation prior to the OWSO). The performance audit of the DO is meant to investigate community satisfaction with the functioning of the DO and their ability to resolve disputes between them and the district administration.

Most of the ‘services’ that will be available at the OWSOs relate to the registration of vehicles, commercial operations and small businesses. Currently, at the two existing trial districts the OWSO services are as follows:

Sector Services

Public Work and Transport Registration motorcycle, tricycle, motor tricycle Licenses for business with bicycle trailer, motorcycle trailer, tricycle and motor tricycle

Culture and Fine Art Other performing programs Sale of arts/handicraft products Showing the movie and video (movable) Movable video producers and photographers (exploitation)Sale of cassettes, movies and video products Signs of other exploitations of no more than 02 meters square (except banner of advertisement) Exploitation concerning the microphoneControl over bookshops Exploitation of sculptural arts (small size)


Tourism 5-seat taxi, moto-taxi and motor-cartGuest house up to 5 rooms and moveable folded beds Restaurant up to 50 seats, Canteens, Canteen at resort sites, Food stores, cafes and soup shopMassage up to 5 beds

MLMUPC Constructions up to 500 square meter and maximal 2 floorsCommerce Issuing the business and services permissions to

businessmen and service-suppliers that are not bound to pay income taxes

There is an expectation that these services will be expanded as new ministries (education, health and agriculture) become involved in the OWSO.

The exit survey will seek to collect primary information from clients or service users as they leave the OWSO. The survey will collect primary information on:

official and ‘unofficial’ fees charged to clients for each of the services; actual time required to complete each step in the registration transaction; the number and names of offices required to be visited to complete the transaction; the transport costs to clients to complete the process; indirect ‘costs’ to clients associated with the number of trips and time required to access

services; client perceptions (ratings) of information provided on:

o the steps involved, o the documentation requirements, o the length of time to complete the transaction and o associated fees;

client satisfaction ratings/scores with the services available at the OWSO (quality, timeliness, customer-focus etc).

The exit survey will collect both quantitative and qualitative information in order to evaluate OWSO services and performance. Information collected will be compared with comparable information from the baseline survey conducted at a sample of five districts where OWSOs will be established in Year 1 of the project.

The DO performance audit is meant to provide an independent local review of DO actions and success in addressing/resolving complaints. This will involve a review of official DO records and selected interviews with complainants with a view to checking indicators such as:

Number of complaints lodged at each DO by type of complaint Progress in addressing and resolving complaints at each DO Average processing times to address and resolve complaints Number of complaints successfully resolved Perceptions of fairness of DO Perceptions of effectiveness of DO Client satisfaction scores/ratings on performance of the DO

2. Strategy for the OWSO Exit Survey and DO Performance Audit

General approach to be takenA simple questionnaire will be administered to clients leaving the OWSO. The survey will be conducted once every year for 5 days at each OWSO. Two independent interviewers will interview clients after they have left the OWSO; whether they have completed the transaction or whether it is still in process. The timing of the survey will be determined based on when a representative sample of clients is likely to be present.31

The DO audit will be undertaken alongside the survey through a visit to the DO office and monitoring of records. If any clients are present then an exit interview can be undertaken at the office. Otherwise, a sample of previous complainents should be selected for a follow-up interview regarding their complaint and the performance of the DO.

The following TOR provides an outline of survey strategy and tools. It does not provide, for example, draft questionnaires ready for translation and testing.

Key impacts and outcomes to assessThe following are some of the outcomes and impacts expected if the OWSO-DO initiative operates successfully in the district:

Increased community satisfaction with the services provided locally (in terms of ease of access, time-savings, proximity, transparency of fees, user-friendliness/customer service etc)

More accessible administrative services with reduced costs and time to access them.


Increased public trust and confidence in administration services offered at OWSO (transparency/accountability etc) and in the institution of the DO.

Increased community awareness of the local administration and services offered (and administrative requirements).

Increased avenues for dispute resolution and as a consequence less disputes between citizens and the administration.

Critical questionsA number of critical questions associated with assumptions and risks may need to be considered in the design of the exit survey and performance audit:

31 Additional sampling strategies to ensure adequate representation will be developed by the consultant after discussions with the DST and the M&E expert in the Project Coordination Office (PCO).

How important are the services provided at the OWSO to the general public? Are these key services that are important to the public? Are the OWSOs more than a centralized, locally-accessible administration “shop front” for collecting revenue?

How much more accessible are the district OWSOs, compared with the provincial offices (given that all but one of the new 22 OWSOs will be located in the provincial capitals)?

What are the benefits (versus the costs) for the public of ‘using the services’ (eg registering businesses/vehicles)? For example, what are the ramifications for not registering?

Will services be improved without: streamlining administrative processes; reducing the number of steps (and offices to be visited); and, developing and meeting set standards for service delivery?

How accessible and well-known is the DO? Is their faith in their neutrality?

How effective is the DO in resolving local disputes? How does this compare to alternative official and traditional avenues for dispute resolution?

Baseline indicatorsA variety of quantitative and qualitative indicators should be considered for the exit survey based on the expected outcomes/impacts and critical questions discussed above. These are listed below:

Community satisfaction (rating scale/score) in the OWSO services provided

Costs to clients in accessing OWSO services (time and money including travel costs, by type of service) based on reports of respondents

No. and % clients reporting unofficial fees demanded, or graft and corruption in relation to the OWSO services

Transparency rating scales/scores by clients concerning OWSO services

Perceptions of the importance of the OWSO services available

Perceptions of relative costs and benefits of registering vehicles/businesses etc

No. of disputes (written and oral) lodged with the DO. % of these successfully resolved

Satisfaction with the services and effectiveness of the DO

% of disputes or complaints reported to DO (oral and written) that are related to corruption/bribes at the OWSO or district administration

This is not an exhaustive list. The final list of indicators will be agreed with the OWSO/DO project team prior to the commencement of the exit survey32.

3. Methods for primary data collection

Two trained interviewers will be placed at each OWSO and DO office for five days (Monday to Friday) at each OWSO-DO office once a year. It will be important that the interviewers asking the questions make it clear that the survey needs honest perceptions of the services provided and it values all suggestions and comments whether positive or negative. The aim is to find out what clients think about the services provided so that they can be improved. All interviews need to take place outside of the OWSO and all respondents need to remain anonymous. For the DO, the review of records will be done at the DO office, but follow up interviews with a sample of complainants will be done separately.

The interviewers need to emphasise that they are independent from the OWSO, DO, and the agency providing the services, that many people will be interviewed, and that the respondent will remain anonymous.

The sample will be self selecting, but a discussion on the appropriate timing of the survey as well as whether other methods for getting representativeness as well as a manageable size (e.g. by picking every 3rd transaction if there are too many customers, or targeting particular under-represented services) will need to be undertaken by the consultant with the OWSO/DO project team and the M&E 32 Annex-4 presents the draft results framework for the OWSO-DO subcomponent, which lists the formal indicators that need to be reported by the NCDD to the Project Coordination Office and the World Bank.

expert in the PCO prior to the conduct of the first survey. It is hoped that with two interviewers working separately most of the clients exiting the OWSO can be interviewed. Only those who have commenced or completed a transaction should be interviewed. The sample size is unknown ex ante, and will depend on the demand for OWSO services.33

4. Scope of services required

The Consultant will design and test a short, simple questionnaire for the exit survey and DO performance audit. The pre-testing should be conducted with the participation of MOI and OWSO/DO monitoring and evaluation personnel and consultants whose comments and suggestions on tools and methods should be taken into consideration in the finalization of the questionnaire.

Resources and preparation: Two interviewers for each of the 5-day survey periods covering the office hours when the OWSO

and DO office is open.34

Training for interviewers in how to administer the questionnaire to maximise the quality of information and minimise bias (in interacting with respondents, asking questions and recording responses). This will include role plays on how to approach respondents, how to introduce the questionnaire, and how to record the range of the responses impartially.

The questionnaire will need to be designed, translated and tested (testing can be incorporated in the training of interviewers). It is of particular importance to determine whether the questions are easily understood and unambiguous. Testing should also assess the options given to respondents in closed questions – whether other common responses should be included. Revisions should be made as necessary.

Supervisors should check through the completed questionnaires to ensure they are complete and answers are legible, relevant, consistent and able to be understood/interpreted.

Resources and training may also be required for coding of completed questionnaires, data entry, and analysis of data.

The Consultant will analyze all information from all exit surveys and performance audits each year, including quantitative and qualitative information, and present it in a report that addresses the above objectives, selected indicators and content. The reliability of data so generated, and hence of the analysis and study conclusions, should also be discussed in the report. All data should also be provided to the OWSO/DO management team in a user friendly electronic format so as to form part of the project’s overall Management Information System (MIS).

The initial contract will be for a period of 12 months to conduct exit surveys and DO audits in all 9 OWSOs in operation in Year 1. Subject to satisfactory performance, the Consultant will be invited to continue the exit survey consultancy for a further three years. Note that in Year 2 there will be 17 OWSOs operating and in Years 3 and 4 there will be 24 OWSOs and DOs.

5. Deliverables

For the initial contract the deliverables will be as follows: Inception Report with tested questionnaire (in English and Khmer), description of the pre-testing

and issues encountered, and details on the training of enumerators – one month after contract signing

Draft Report – end of November 2009 Electronic Data Set with Survey and Audit findings – December 2009 Workshop presenting the findings of the Draft Report (November 2009) Final Report – after addressing comments from the project staff (December 2009)

6. Team Composition and Qualifications

The Consultant shall be a Cambodian firm, NGO, or coalition with extensive experience in social research methods, survey design and implementation, and qualitative methods. They should have

33 In case transaction numbers are too high then an upper ceiling to the interviews can be considered.34 The Consultant in charge of the survey can decide whether to recruit 2 interviewers at each district where there is an OWSO or whether interviewers cover more than one district. The exit surveys do not need to be conducted concurrently, but the timing should be such that they do not bias the sample of clients present at the offices (e.g. the number of cultural event permit requests goes up significantly in the festive seasons).

experience working on decentralization and local governance issues in Cambodia. The consultant must also have proven skills in pre-testing questionnaires, training and supervising interviewers, questionnaire coding, data entry and database analysis, and documenting survey results. Consultants will be asked to provide examples of recent written reports.

The Consultant team should include (but need not be restricted to) the following: 4. a Team Leader - who will be in charge of coordination, management of the survey/audits

and will also be the principal author of the final report from the exercise.. The Team Leader should be an experienced social researcher with an advanced degree in economics, management, political science, development studies, statistics, or related subjects. He/she should have at least 5 years of project management and/or field research experience covering formal survey techniques including questionnaire design. He/she should be skilled in task team coordination, organizing fieldwork, data analysis, and in report writing. Fluency in English and Khmer is essential. Knowledge of key decentralization and local governance and service delivery issues in Cambodia is an advantage.

5. Research Associate – who will support the work of the Team Leader, particularly in terms of undertaking fieldwork, data entry and analysis. The Research Associate should have at least a Bachelor’s degree or equivalent in development studies, public policy, social sciences, economics, anthropology, or related disciplines and at least 2 years of professional experience. He/She must have experience in writing analytical reports and research studies; good oral and written skills in English and fluency in Khmer language. He/She should also have a high degree of computer literacy (word, excel and preferably some statistical analysis tools).

6. Enumerators/Interviewers – The team should have at least 2 (but could be more35) interviewers who will be hired part time to undertake the actual fieldwork along with and under the supervision of the team leader and research associate. The enumerators should have competent numerical and literacy skills and be fluent in Khmer, with a working knowledge of English.

The Consultant will be required to provide all computer equipment and arrange all vehicles, accommodation and other forms of travel if required. All costs for printing of questionnaires and reports etc will also be met by the Consultant. These costs should therefore be included in the Consultant’s quotation in addition to fees for personnel.

7. Estimated Level of Effort Required for Assignment

The required level of effort to complete this consulting assignment (for the first year of the project only) has been estimated at 5 person-months for the team leader (3 months) and research associate (2 months). Additionally, there should be an estimated 126 person-days (9 districts x 7 days x 2 enumerators/district) required for the enumerators/interviewers. These estimates are only indicative. The Consultant should review these TOR and propose the number of staff-months and enumerator person-days in accordance with their interpretation of the volume of work anticipated.

8. Management/Reporting Arrangements

The study shall be supervised by the Technical Working Group (TWG) for the OWSO/DO project, with support of the Project Coordination Office (PCO) M&E Adviser. It is important that the Consultant provide a full briefing for the TWG and key staff prior to the conduct of the study; and that close coordination is made with respect to the selection of samples, gathering of data, schedule of field work, etc.

As indicated above, the pre testing of questionnaires should be with the participation and/or inputs of MOI and OWSO/DO monitoring and evaluation personnel and consultants. Draft reports shall be reviewed and presented in Phnom Penh in a workshop setting, with representatives from provincial/district staff, and other stakeholders, as determined by the TWG.

35 The consultant can choose to use the same enumerators for all the districts, or hire different local interviewers for each district, provided adequate training and quality control is ensured. For budgeting purposes there should be at least 2 enumerators appointed per district for the survey and DO audit, with an estimated fieldwork of 5 days.

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Examples of information to be collected in the OWSO Exit Survey Questionnaire:

Date Interviewer name District and Province Nature of the transaction/service that the client is seeking

Have you completed the transaction or is it still in process? How long did it take to complete each step in the process? (start and end) – if completed36

What were your expectations before you started the transaction? Did you have any idea of the procedures, requirements and how long it would take before you

went to the OWSO? What were your sources of information on the OWSO or service you are seeking? How do you rate the information available/provided at the OWSO on:

o the steps involved, o the documentation requirements, o the length of time to complete the transaction and o associated fees;

What steps did you go through before coming to the OWSO? Were there other offices/officials that you had to visit?

How many offices are you required to visit to complete the transaction (record the names of the offices) What is the purpose of each visit?

How many visits have you made to the OWSO already? How many will you have to make to complete the transaction?

What was/will be the purpose of each visit? Have you paid transport costs to complete the process (to get to the OWSO or other offices

necessary to complete the transaction)? How much have you spent so far? What documents did you bring for each visit? Was sufficient information provided to you at each step/visit? (all the necessary steps to

complete the transaction, documents required, time required to complete each step, and total amount of fees to pay)

How were you advised? Was it explained why you have to make several visits? How much have you paid so far? What are these payments for? Who did you pay? Were all

payments with official receipts? How much will you have to pay in fees to complete this transaction? How long did you have to wait before you were served at this visit to the OWSO? How would you rate the service provided to you at the OSS:

o staff friendlinesso staff courtesyo speed of serviceo adequacy of information provided/transparencyo honesty

Did you ever seek the same service prior to the establishment of the OWSO? How does the service at the OWSO compare to the earlier service? How does it compare with services at other agencies

What are your suggestions to improve services in the OWSO?

36 It will be important to separate the time taken by the OWSO administration (or other office involved) from any delays resulting from the client not coming immediately to pick up forms etc.

Examples of information to be collected in the DO performance audit:

Date Interviewer name District and Province Total number of complaints/disputes (written and oral) collected by DO office in previous year

by type and month Number of disputes/complaints that dealt with corruption/bribes at the OWSO or against the

Distric Administration Recorded number of disputes resolved

To be asked to sample of complainants: How did you learn about the DO office? Describe your dispute/complaint? What steps did you undertake to solve your complaint/dispute before going to the DO? What were your expectations about the DO before you met with them? Describe your interaction with the DO? What was the advice/feedback you recieved from the DO? How did he/she follow up on your

complaint/dispute? Did you have to pay any fees for seeking the help of the DO? What is the status of your complaint/dispute now? Are you satisfied with the outcome? How long did the whole process take? How would you rate the performance of the DO office? How does it compare to other

complaints/dispute resolution mechanisms? Was the DO fair and neutral in their actions? Would you recommend others to take their complaints/disputes to the DO? What recommendations would you have to improve the performance of the DO office?

Appendix 11: Matrix of Legal Requirements and Milestones 2008

No. Activity Milestone/ indicator Apri

l May June July Aug Sept Oct Nov Dec

1. TAG Established List of names/positions available x2. Workplan TAG, working procedures,

agreed schedules meetings.Minutes during the first meeting x

3 MoI issues regulation on Ombudsman election

Prakas issued x x

4 MoI issues regulation on set up of OWSO Prakas issued x x x5. 10 Ministries conduct field studies at

Prov & district levels in targets districtsReports of field studies available x

6. 10 Ministries draft legislation on competencies to be delegated

Drafts including rates are discussed x x x

7. Drafts are approved and used for development of training materials

Approved legislation by all Ministries x x

8. M&E framework drafted and adopted by TAG

Regulations on reporting and monitoring systems issued x x x

Appendix 12: Financial Sustainability Plan

Increased Fees

OWSO Operations Cost Revenue Cost Cost Revenue Cost Cost Revenue Reduced Cost Expenditure RevenueIncentive/supplement salary for OWSO staff 15,150 12,480 12,480 Office Stationeries 4,200 3,000 330 420 3,750 Communication/phone/fax 960 900 48 96 1,044 Utilities (electricity/water) 1,800 1,200 120 90 1,410 Fuel 900 540 45 45 630 Offcice Maintenance 900 300 60 - 360 DSA 1,440 - 144 144

TOTAL 25,350 18,420 603 795 19,818

Sectors with delegated funcionsPublic works 6,478 972 2,785 10,235 Commerce 224 34 112 369 Tourist 511 77 163 750 Culture and Arts 744 112 271 1,126 Industrial Mine and energy 353 53 88 494 Legalization 4,679 702 608 5,989 Agriculture - 1,000 1,000 Health - 400 400 Education - 400 400

TOTAL 12,988 1,948 4,028 1,800 20,764

Additional functionsAssumption 15%

increase in revenue, some operational Agreed increase of

service fee-cost

Average OWSO based on SRP data:Projection for Year 1 of Operations

TOTAL

With all components

Based on 05/06 actual data and projected 07

data from BAT

Modified in proposal OWSO

Additional Additional

Additional Departments Reduction of

staff

Documents

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