crr training manual

A publication of the Commune Council Support Project

Phnom Penh, June 2007

Promoting Good Local Governance, Social Accountability and Effective Delivery of Basic Social Services in Rural Cambodia

A Training Handbook

The Citizens' Rating Report project is administrated by the Commune Council Support Project under the support of CAFOD.

Additional copies of or further information on this handbook can be obtained from the Commune Council Support Project:

1st floor, VBNK No. 28, Street 80/75 Sangkat Srass Chak, Khan Daun Penh PO Box 50, Phnom Penh, Cambodia Tel/fax: +855 23 427 197 Email: [email protected] Website: www.ccspcambodia.org

Mr. Murari Upadhyay Executive Director Commune Council Support Project [email protected] Mr. Phan Sothea National Consultant [email protected] CCSP is co-managed by Church World Service, DPA, COMFREL, Concern WorldWide, Oxfam GB, NGO Forum, SEDOC, World Vision Cambodia and PACT Cambodia.

June 2007 Phnom Penh, Cambodia

Citizens' Rating Report

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Abbreviations and Other Terms BATF Bangalore Agenda Task Force BDA Bangalore Development Authority BESCOM Bangalore Electricity Company BMP Bangalore Municipal Corporation BMTC Bangalore Metropolitan Transport Corporation BSNL Bangalore Telecom BWSSB Bangalore Water Supply and Sewerage Board CAR Council for Administrative Reform CBO Community-based organization CC Commune council CCSP Commune Council Support Project CDP Commune Development Plan CDRI Cambodia Development and Research Institute CIP Commune investment program CRR Citizens' Rating Report CRT Commune research team CSO Civil society organization D&D Decentralization and deconcentration Deika Resolution/ordinance DoLA Department of Local Administration GAP Governance Action Plan ICT Information and communication technology LAMC Law on Administration and Management of Commune/Sangkat LDC Local Development Council MDG Millennium Development Goal MEF Ministry of Economy and Finance MOU Memorandum of Understanding NCDD National Committee for the Management of D&D NCSC National Committee to Support Commune/Sangkat NGO Non-governmental organization NPAR National Program for Administrative Reform NPRS National Poverty Reduction Strategy NSDP National Strategic Development Plan PAC Public Affairs Centre PIP Performance improvement plan PLAU Provincial Local Administration Unit PMG Priority mission group PPA Participatory poverty assessment Prakas Regulation issued by minister RGC Royal Government of Cambodia SMEs Small and medium-scale enterprises ToT Training of trainers UNDP UN Development Program USAID US Agency for International Development


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Foreword In keeping with its mission of strengthening civil society capacity to influence and participate in the decentralization and local governance reform process, the Commune Council Support Project (CCSP) in 2004 pioneered the implementation of the Citizens' Rating Report (CRR) to bring people closer to governance through their direct participation in monitoring of services at commune level, and thus provide direct inputs from citizens into decision making in commune councils and other sub-national entities. The Royal Government of Cambodia (RGC) adopted in 2005 the Strategic Framework for Decentralization and Deconcentration Reforms. This offered a new opportunity for greater civil society participation in local governance processes. Its basic principles call for the promotion of people’s oversight mechanisms to promote local government transparency and overall social accountability. This new opportunity reaffirmed the relevancy and significance of continuing the CRR exercise. Despite noticeably positive results in past implementation, the CRR required independent evaluation in order to assess the appropriateness of project methodology and outcomes. Likewise, it was important that a well defined curriculum and training design be developed to facilitate its better replication. Therefore, CCSP in February 2007 contracted Mr. Phan Sothea, an independent consultant, to carry out an evaluation of the CRR, to refine the CRR methodology using recommendations from the evaluation study, and to develop a CRR training manual (handbook) for wider replication by NGOs and other civil society actors. I would like to thank Mr. Phan Sothea for his successful completion of the CRR training handbook and to express my sincere gratitude to CAFOD of the United Kingdom for its invaluable resource support for this important work. Numerous people, including commune chiefs, commune councillors, members of CRR-implementing NGO partners, members of commune research teams, representatives of various organizations in Phnom Penh, and commune citizens, contributed greatly in terms of enriching the content of this CRR training handbook, by freely and frankly sharing their opinions and perceptions. I would like to take this opportunity to express my sincere appreciation and thanks to all of these. Last, but not least, I would like to thank CCSP staff members Mr. Youk Senglong, Mrs. Yin Sundarinet and Miss Chak Solyneth for their diligent program and logistics support in successfully completing the CRR handbook project. Murari Upadhyay Executive Director Phnom Penh, June 2007


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Table of Contents Abbreviations and Other Terms..........................................................................i

Foreword .............................................................................................................. ii

Introduction ........................................................................................................ 1

Module 1: Understanding decentralization and commune councils ............. 6

1.1 Current status of decentralization in Cambodia ........................................ 6

1.2 The meaning of decentralization................................................................ 8

1.3 Objectives of decentralization and commune administration and management..................................................................................... 12

1.4 Powers, roles and functions of commune/sangkat councils..................... 13

1.5 Structure of the commune/sangkat council.............................................. 14

1.6 Roles and responsibilities of major actors in commune development ............................................................................................ 16

1.7 Support network for commune/sangkat .................................................. 18

1.8 Important tasks of councils ...................................................................... 20

Module 2: Legal frameworks for public service delivery in Cambodia........ 27

2.1 Government perspective on public service delivery................................. 27

2.2 Government policy on public service delivery.......................................... 29

2.3 Key challenges in public service delivery at local level ............................ 40

Module 3: What is the Citizens' Rating Report? ............................................ 41

3.1 Introduction.............................................................................................. 41

3.2 Legal provisions for social accountability and basic service delivery at commune level ....................................................................... 43

3.3 The Citizens' Rating Report ..................................................................... 44

3.4 Concept and strategy of the CRR............................................................ 45

3.5 Objective, outputs and methodologies..................................................... 47

Module 4: Implementation of the CRR............................................................ 52

4.1 The CRR process .................................................................................... 52

4.2 How is each activity carried out? ............................................................. 53

Activity 1 Conduct rapid assessment of communes on suitability for CRR........................................................................ 54

Activity 2 Identification and selection of target communes ......................... 54


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Activity 3 Negotiation and lobbying for endorsement and launch ............... 55

Activity 4 Identification, selection and validation of basic services ............. 57

Activity 5 Design of questionnaires............................................................. 57

Activity 6 Selection of local implementing organization .............................. 59

Activity 7 Organizing the commune research team (CRT).......................... 59

Activity 8 Preparing official MOU and contracts ......................................... 60

Activity 9 Conduct ToT on concept and methodology ................................ 61

Activity 10 Promotion of the CRR in the commune and in public.................. 61

Activity 11 Prepare action plan for field rating survey................................... 62

Activity 12 Sampling of respondents............................................................. 62

Activity 13 Conducting training, coaching and orientation ............................ 63

Activity 14 Conducting the field survey ......................................................... 65

Activity 15 Validation, analysis and production of report .............................. 65

Activity 16 Monitoring and continued technical assistance........................... 66

Activity 17 Meeting with CCs and service providers ..................................... 66

Activity 18 Advocacy..................................................................................... 67

Activity 19 Institutionalizing and strengthening local networks and maintaining sustainability ..................................................... 69

Activity 20 Evaluation activities..................................................................... 70

Activity 21 Dissemination and replication ..................................................... 70

4.3 Some advice for success......................................................................... 71

Module 5: Readings in social accountability ................................................ 73

Reading 1: Concept of social accountability ....................................................... 74

Reading 2: What is social accountability?

Reading 3: Building blocks of social accountability ........................................... 75

Reading 4: Dimensions of social accountability.................................................. 77

Reading 5: Social Accountability: critical factors of success .............................. 78

Reading 6: Tools for promoting accountability…………………………………… 80

Reading 7: Experiences from various countries……………………………… 82

Reading 8: Case study: Bangalore, India; citizen report card………………… 84

Reading 9: the context of social accountability in Cambodia…………… 92


Module 1:

Objectives of the module To provide participants with a basic knowledge on decentralization and CCs so that they can see the whole picture regarding the responsibilities of CCs.

Expectations of the module It is expected that by the end of this session participants will have a basic understanding of:

The meaning of decentralization and the objectives set for decentralization and commune/sangkat management and administration;

The powers, roles and functions of commune/sangkat councils; The structure of commune/sangkat councils and the roles and

responsibilities of major stakeholders in commune/sangkat development; Issues related to the administration and management of

commune/sangkat councils; The financial management and planning system of commune/sangkat

councils; How to ensure citizen participation in the development process.

1.1 Current status of decentralization in Cambodia Decentralization is a new policy for governance in Cambodia. Putting it into practice is a challenging task! The National Strategic Development Plan (NSDP) 2006-2010 outlines the RGC’s development priorities and its Rectangular Strategy to reduce poverty and attain the Millennium Development Goals (MDGs). Good governance is central to the Rectangular Strategy, and D&D (decentralization and deconcentration) is considered key to improving sub-national governance

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and development. These, in turn, are expected to enhance the wellbeing of Cambodian citizens, particularly the poor. The NSDP explicitly states eight specific Key Actions for D&D. These include: 1 Draft organic laws to guide the devolution process. 2 Delegate line ministry responsibilities, development and operational funds to sub-

national levels in accordance with laws and regulations. 3 Define a framework for deconcentration of existing initiatives of line ministries,

including education, health, agriculture and rural development, land management, urban planning and construction.

4 Institutionalize the allocation mechanism for transfer of block grants and sector grants to sub-national levels.

5 Increase and better target funds to remote areas and other regions with high poverty levels.

6 Explore how sub-national levels can develop their own sources of revenue. 7 Steadily implement a commune decentralized accounting system. 8 Build institutional capacity at all sub-national levels. The RGC has adopted the Strategic Framework for D&D (2005) and a preliminary Implementation Framework for Sub-national Democratic Development (2006). It has initiated the organic D&D law drafting process; established the National Committee for the Management of D&D (NCDD)1 (2006); and started preparatory work for a national D&D reform program. The RGC’s Council of Ministers adopted on 17 June 2005 a vision, basic concept and principles and overall strategy for D&D reform to give a framework to guide all other reforms related to management systems at provincial, district and commune levels. The vision that the RGC has set on D&D states that: “The Royal Government will develop management systems of provincial, district, khan and commune levels based on the principle of 'Democratic Participation'". This system will operate with transparency and accountability in order to promote local development and delivery of public services to meet the needs of citizens and contribute to poverty reduction within respective territories. A five year national program is being introduced to implement D&D reforms with the aim of achieving the following three major outputs: policy and regulations, institutional arrangements and sectoral functions. The RGC intends to devolve more responsibilities to local level. Transfer of powers and resources is expected to be made in ways that create incentives for councils to improve service delivery, natural resource management and employment opportunities; increase accountability and social inclusiveness; and promote positive pro-poor, gender and environmental outcomes. Some important progress on D&D has been made: 1 The Strategic Framework for D&R reforms was approved by the Councils of

Ministers on 17 June 2005. This defines the goal of D&D as "democratic development", and outlines objectives, priorities, phasing and arrangements to achieve this.

2 Drafting of an organic law for sub-national administration has begun. 3 A preliminary draft Implementation Framework for Sub-national Democratic

Development (Preparatory Phase, 2006-2007) was released on 2 June 2006. 4 Joint government-donor commitments on harmonization and alignment have been

made, including the Declaration by the RGC and Development Partners on Harmonization and Alignment (December 2004); the RGC Framework for

1 NCDD is established by a Royal decree No. 0806/355 Kingdom of Cambodia


Harmonization, Alignment and Results Management; the Action Plan for 2006-2010; and RGC endorsement of key recommendations of the Independent Study on Donor Support for Decentralization and Deconcentration on 24 May 2006.

5 A Royal Decree established the NCDD to take charge of D&D until a successor agency is created by the organic law. The NCDD is now responsible for drafting D&D laws and regulations, preparing a national D&D program, donor harmonization, and coordinating a wide range of donor-financed projects, including those that fall under the Seila Taskforce.

6 Preparatory work has begun for the national D&D program to support the development of organic laws and regulations and to establish and resource new sub-national political and administrative structures, systems and procedures.

1.2 The meaning of decentralization Decentralization means that certain rights, responsibilities and resources are transferred from the national level of government to democratically elected commune/sangkat councils. i. Political decentralization Political decentralization is often referred to as transfer of power and functions from central to local government. Local government in Cambodia is based on political representation. Commune councilors are locally elected on a proportional basis, which means that more than one political party can be represented by local people who live within the area of territorial jurisdiction of the local government.

“The devolution of power carried out through decentralization and deconcentration will shift the focus of development towards the people with the view to implementing structural adjustment, strengthening grassroots governance, reducing poverty and inequality and promoting gender equity at all levels: commune, district, provincial and national level”.

Political decentralization also refers to devolution (Conyers, 1983)2. Stoop

(2002)3 has pointed out that devolution is a more advanced level of decentralization, whereby resources and political decision powers, and thus empowered decision making, are transferred to a separate lower tier of government. Devolution thus refers to decision making by a semi-autonomous government authority with its own juridical status and resources. More recently, United Nation Development Program (UNDP) has referred to political decentralization as democratic decentralization. Erickson et al. (1999)4 see

2 Diana Conyers 1983, IDS: decentralization: the last fashion in development administration? 3 Patrick Stoop 2002: assessment of the recent decentralization policies of the Lao PDR gov't 4 Paul Erickson et al.1999: devolution and electoral politics

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devolution as a more real form of decentralization of power, which local people can use through elected representatives to solve local problems. In Cambodia there are two major laws covering political decentralization. The first is the Law on the Election of Commune Councils and the other is the LAMC. These laws provide citizens and those who are elected to represent them (commune councilors and village chiefs) more power in public decision making (Rondinelli, 1999)5. When defining decentralization, United State Agency for International Development (USAID) refers to political decentralization. Stated at the workshop on perspective for decentralization, in year 2000, Prum Sokha6 has also referred to decentralization in Cambodia as political decentralization when he pointed out that: “There is a grow[ing] understanding throughout Cambodia that people must take a greater part in decision[s] affecting their affairs. There is also a greater understanding that government and administration must be more sensitive and more responsive to its citizens”. According to Ayres (2001)7, political decentralization is preferred by those who argue that participatory decision-making processes will be better informed and local government will be more responsive to local needs and circumstances. ii. Administrative decentralization

Administrative decentralization occurs with authority, responsibility and financial resources for providing public

Driven by political rational, decentralization reforms in Cambodia are still not guided by a clearly stated vision that makes explicit their broader objectives and how the RGC intends to approach devolution of administrative and service delivery responsibilities and related fiscal resources. On the administrative front, however, a major critical question is what could actually be the role of local

councils in the provision of public services, particularly in major sectors crucial for the national poverty reduction strategy. services distributed among different In Cambodia, the public sector set-up is reflected at provincial and district levels through line offices such as health and education departments. At the moment, the province and district are not locally representative institutions, meaning that they are not elected by the people but are employed by sector ministries. In essence, deconcentration may allow locally placed government officials to make decisions on provisioning and production of public goods and services. They may also establish important links between local and national government.

tiers of government (Ayres, 2001). Administrative decentralization refers to the transfer of responsibilities for planning, financing and managing certain public functions from the central government and its agencies to field units of government agencies, subordinate units or levels of government, semi-autonomous public authorities or corporations, or area-wide, regional or functional authorities. Administrative deconcentration means the delegation of state responsibilities to lower-level units within a unified or single government system or single juridical identity (Stoop, 2002).

iii. Fiscal decentralization Fiscal decentralization involves transfer of funds and tax-raising powers from

5 Rondinelli 1999: democratic decentralization and local participation: a review of recent research 6 Prum Sokha: Secretary of State of Ministry of Interior, Cambodia 7 David Ayres 2001: literature review on decentralization

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higher to lower levels of a political system (Rusten et al. 2004)8. Ayres (2001 considers fiscal responsibility one of the most important components of decentralization. This is because local governments must have adequate revenue, which is locally raised or transferred from the central government, to make expenditure decisions. Presently, the transfer of funds to communes from central government is the only source of local government revenue. This funding is limited and not always distributed fairly. In order to provide incentives to CCs to generate revenues and control expenditures, the RGC must establish a law on "commune own source revenue" as soon as possible. The existing fiscal system and financial management are reportedly weak. The local government fiscal system needs to be reformed in order to make it consistent with overall reform policy, by improving the system of revenue mobilization and management and creating a solid, efficient, viable and sustainable system of financial management. It is also crucial to set up an appropriate mechanism to support accountability in planning and budgeting at the provincial and district levels. A study by El Mensi (2003)9 on communes' own sources of revenue provides a good overview, analysis and policy options for further development of the local revenue system. Decentralized commune councils must have the capacity to exercise the powers and fulfill the responsibilities devolved to them. In the context of rural development in Cambodia, capacity means the ability to do the job and improve service delivery.

Lack of capacity, according to Parker (1997)10, may be reflected in any of the following:

Inadequate funding to meet minimum standard of service and provision; Inability to mobilize fully all available financial resources; Failure to deliver cost-effective goods and services; or Inappropriate mix of services in relation to local preferences.

Fiscal decentralization takes many forms, summarized below (Rondinelli, 1999)11: Self-financing or cost recovery through user charges; Expansion of local revenues through taxes and indirect charges; Intergovernmental transfers; Authorization of local borrowing.

Some major identified challenges related to fiscal D&D include: The overall structure of sub-national governance contains very unequal and some small and financially non-viable

communes; Unclear division of expenditure assignments across levels ( vertically and horizontally) and lack of realistic

standards and guidelines for service provision; Lack of clear relationship between expenditure and revenue assignments, both in terms of size and type and

composition of revenues; The intergovernmental fiscal transfer system needs to be reformed in light of the new structure and functions of

each tier of government; The current fragmentation of the budget at the P/M level limits options for a consolidated overview of entire

resources utilized at the provincial level and poses risks of double counting and lack of coordination and high fiduciary risks;

Lack of regulatory and legal framework for revenue mobilization (user charges, taxes, co-funding/matching contribution for C/S fund etc);

Inappropriate organization of financial management at the Provincial/Municipal level with numerous actors of profit-oriented micro-finance schemes and banking, and many formalities of control procedures but weak coordination, control and clear lines of accountability to the users of micro-finance services;

Lack of incentives to improve performance in the prevailing revenue mobilization and financial management procedures;

8 Caroline Rusten et al. 2004: the challenges of the decentralization design in Cambodia 9 El Mensi: a study on communes' own source revenue in Cambodia 10 Parker 1997: Promoting Good Local Governance through Social Funds and Decentralization

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According to the RGC’s Rectangular Strategy for Growth, Employment, Equity and Efficiency, 2003-2008, the RGC will try its best to strengthen the collection of revenue by strict implementation of fiscal laws, enforcing anti-corruption and anti-tax evasion measures, eliminating unlawful tax exemptions, introducing appropriate management of state assets, and sustainable management and exploitation of nature resources. Official rules will govern all budget operations. This is exemplified in the area of health services, where official user fee schemes are designed with community participation. Currently, communes have already started assessing and collecting fees and levies associated with some of the (essentially administrative) services that they perform. However, this is largely regarded as illegal activity since there is not yet a clear legal framework to regulate this. At the same time, CCs are requested to mobilize local resources to meet required counterpart funding to transfer funds. This practice also needs to be further regulated. The design for fiscal D&D system is closely connected with current and future organizational refinement and improvement at sub-national level. This is especially true in the case of division of expenditure assignments and the extent to which functions are decentralized through “devolution” or deconcentration (delegated as “agency” functions for the lower tier of government).

It should be noted that, based on experiences of pilot projects and initial activities, a fiscal decentralization strategy is being planned under the Fiscal Decentralization Support Program of the Ministry of Economy and Finance (MEF). This was to be completed during 2005-2006. iv. Main features of decentralization in Cambodia

Citizens are given the right to elect the members of commune/sangkat councils.

Citizens are given the right and the responsibility to play an active role in communal life and local development processes.

In total, there will be 1,621 communes/sangkats with elected councils covering Cambodia. The councils represent the citizens of their commune/sangkat.

The councils will have a mandate of five years. Commune/sangkat councils are given a range of responsibilities and

duties. These differ completely from those of the former communes/sangkats. The first and foremost task of the councils is to support the development of the commune/sangkat and the wellbeing of the citizens.

In the performance of their duties, council members are fully responsible and accountable to their citizens.

Commune/sangkat councils must ensure that local communities participate in a proper manner in the decision-making process. This is very important because councillors will make decisions that have an impact on the lives of their citizens. For example, they will make decisions on how they spend the resources that are available to them.

In order to be able to carry out their duties, commune/sangkat councils will have their own financial resources and staff to support them. They will have a clerk appointed by the Ministry of Interior.

11 Rondinelli 1999: concept of fiscal decentralization a worldwide overview


1.3 Objectives of decentralization and commune administration and management

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The objectives of decentralization and commune/sangkat administration and

management are: To give ordinary people a chance to take

greater part in decisions affecting their life and to determine their future;

To promote democracy, good governance and quality of life;

To ensure sustainable development, including delivery of basic services.

Objectives of decentralization and commune/sangkat administration and management are wide ranging. Decentralization is to give citizens chance to take greater part in decisions affecting their life: Under the system of local governance at the commune/sangkat level all citizens have the right and responsibility to play an active role in communal life and local development processes. Everyone, including women and men, old and young, poor and rich, needs to be heard and involved. Citizens are entitled to make their needs and interests known and to participate through the established procedures and mechanisms. There are various ways and means for citizens to get involved. They can elect the councillors who they feel best represent their interests. They can contact councillors on issues relating to the development of the commune. Citizens can express their problems and interests in village meetings and workshops. They can monitor the implementation of projects in their area. Citizens have the right to demand and obtain information from the council office. Promotion of citizen participation is an important duty of CCs. It helps them to find out the needs and interests of their people and to develop programs that address these needs. If citizens are involved they will feel ownership and responsibility for the development of their area. Decentralization is seen as an effective way to promote good governance: There are four major elements that must be complied with to achieve good governance:

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22..

CCs and their members have to operate in accordance with the law. The law spells out their powers, roles and functions.

CCs have to be democratically elected and mandated by the local population. Therefore, CCs are fully responsible and accountable to


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pent and whether this was really for the benefit of the

33..

44.. Participation as explained above is another core element of good

whether they are really spent for the benefit of the people. If itizens are involved in the planning of projects in their area they will feel more

their citizens. This means that they have to plan in a way that meets the needs of the people; they have to provide information on how resources have been spopulation.

CCs have to be transparent in all that they do. This means that they should not hide anything from the public. They have to inform the public on issues or subjects they discuss or decisions they have take. For example, they have to inform the public and also seek their comments on development plans and budget. Minutes of meetings and resolutions adopted by CCs have to be posted on notice boards.

governance. Commune/sangkat administration and management is to support sustainable development, including the delivery of basic services. How can that be? CCs are close to the citizens of the area and therefore are in a good position to get to know what the needs of the people are. They can design programs that seek to improve living conditions. Therefore, resources can be spent more effectively. The local population can watch how resources are spent andcresponsible.

1.4 Powers, roles and functions of commune/sangkat councils

The CC is a body of people democratically elected within each particular commune.

LAMC Article 41: "A commune/sangkat administration shall have roles to uphold and support good governance by using all available resources to address the basic needs of its commune to serve the interes of citizens and respect the national interest in accordance tswith the general policy of the State."

The second election of CCs was held on 1 April 2007. 11,353 councillors were elected to 1,621 CCs. They are given powers, roles and functions. Commune/sangkat councils are given powers: CCs are given powers to govern and manage communes/sangkats. They have to serve the general interests of the commune/sangkat. CCs are given legislative powers. They can formulate and issue deikas (resolutions) within the framework of the roles and responsibilities given to them. These resolutions are only effective within the territory of the respective commune/sangkat. Resolutions must not be contradictory to the Constitution, laws, royal decrees, or international treaties and conventions, otherwise they will be null and void.


CCs are given executive powers. They are given the power and authority to implement their decisions within the framework of the roles and responsibilities given to them. Commune/sangkat councils are given roles and functions: The foremost role and responsibility of a CC is to actively promote the development of the commune/sangkat and the wellbeing of its citizens. The CC has to make proper use of all resources available in serving the needs of the com

11..

22.. resources; this means, for

33.. r example,

44..

55.. s; this means, for example, CCs should help in settling disputes among citizens;

mune and its citizens. CCs have to serve local duties. Some of these are:

To manage necessary public services and to ensure that these services work well, for example, local garbage and rubbish collection;

To protect the environment and naturalexample, supporting citizens to keep the rivers and the environment of the village or town safe and not exploited;

To promote social and economic development; this means, foCCs can facilitate good cooperation with CSOs; they can encourage businesspeople to settle in their area and carry out business;

To improve the living standards of the people; this means, for example, CCs need to plan for the implementation of what the people see as their priority needs; this may be safe drinking water, various educational or health services, etc.

To promote tolerance and good understanding among citizen

66..

tration in the commune/sangkat. In case the CCs do

To maintain security and public order; this task can only be done in a non-violent manner. CCs cannot establish a police force or army.

In addition, CCs have duties which they carry out on behalf of the national government. These duties are called agency functions and include, for example, civic regissomething on behalf of the state, they will be supported by the state. For example, they will be given training, materials or finances to carry out the tasks.

Limits of powers: CCs can only act within the framework of powers, roles and functions given to them. This means they can not act against the principles and orders laid out in the Constitution or other laws, sub-decrees, etc. For some issues, those of national interest, CCs have no power to act. Such issues are beyond the

y of CCs. A CC has no power in the following areas: forestry, postal mmunications services, national defence, national security, monetary

and fiscal tax policy.

responsibilitand telecoaffairs, foreign policy,

1.5 Structure of commune/sangkat councils

As per provisions of LAMC, each CC shall have a specific structure:

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Structure of the commune administration

Commune Planning and Budgeting Advisory Committee

Commune council

Commune Chief

Communeresidents

Deputy Chief Deputy Chief

CommuneCler

VillageChie

VillageChie

VillagChie

AdvisoryCommittee

AdvisoryCommittee

AdvisoryCommittee

AdvisoryCommittee

Article 28: A commune chief shall have the power to appoint various committees to provide advice and to assist affairs as it is necessary.

Depending on the size of the area and the number of residents, CCs have

five, seven, nine or 11 council members. The actual number of councillors for each commune/sangkat is determined by a sub-decree.

Each commune/sangkat has a commune/sangkat chief. The chief has to perform additional duties as seen below.

Each CC has a chairperson, called the presiding councillor. The commune/sangkat chief performs the role of presiding councillor.

The commune/sangkat chief has two deputies, a first deputy chief and a second deputy chief.

The CC selects a village chief in each village within its commune boundary. Women or men can be village chiefs. The village chief is the formal link between the village and the council.

The commune/sangkat chief can also appoint advisory committees. A committee is a group of at least three people that provides advice and assistance to the CC on specific subject matters or issues. Members of the committee can be councillors, but also other citizens who are entitled to vote can be nominated. They can be of either sex. When councillors perform as members of a committee the commune/sangkat chief must ensure as far as possible that composition reflects the political composition of the council.

Each commune/sangkat has a commune/sangkat clerk who is appointed and employed under the administrative framework of the Ministry of Interior. The commune/sangkat clerk is answerable and accountable to the CC. In the performance of his/her functions, the commune/sangkat clerk must be absolutely neutral and impartial and act equally towards all residents of the commune/sangkat, councillors and political groups of the CC and committees. This means also that the clerk has to treat all councillors equally, irrespective of which political party they belong to.

A CC may also employ other staff not in the state framework. These are to assist in the affairs of the CC depending on the specific needs and the decisions of the council. Their employment may be extended following a decision of the council for the next mandate.

Women and men can obtain all positions mentioned above.

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1.6 Roles and responsibilities of major actors in commune development

Commune/ sangkat council members

Ensure CC performs powers, roles and functions Participate in meetings of the CC Liaise with electorate

Commune/ sangkat chief

Ensures that CC decisions are put into practice Reports monthly on work performance to CC

Provides advice and assists CC in planning, finance and exercise of functions and powers by CCs

Other duties as assigned by the CC Presiding councillor

Presides over the meetings of CC Ensures that CC meets at least once a month

Ensures that the meeting is held in conformity with rules and regulations

First commune/ sangkat deputy chief

Acts as commune/sangkat chief in case of absence of the commune/sangkat chief

Assists commune/sangkat chief in matters related to financial and economic affairs of the CC

Other duties as assigned by commune/sangkat chief Second commune/ sangkat deputy chief

Acts as commune/sangkat chief in the case of absence of commune/sangkat chief and first commune/sangkat deputy chief

Assists commune/sangkat chief in administration, social affairs, public services and public order

Other duties as assigned by commune/sangkat chief.

Council committees

Provide advice and assist in the affairs of the CC in specific subject matter areas, e.g. planning, budgeting

Reports monthly on progress Recommends actions to be undertaken concerning its

respective subject matter Village chief Makes submissions or representations to CC on behalf

of village Puts into practice tasks given by CC Ensures village social and economic development Ensures public order

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Commune/ sangkat clerk

The commune/sangkat clerk is a staff member within the administrative framework of the Ministry of Interior, but in performing his/her work the clerk is under the leadership of the CC.

Assists the CC and representatives in exercising powers, roles and functions in accordance with law

Performs administrative duties Ensures that CC decisions and implementation are in

accordance with law Assists CC in preparation and implementation of CC

and committee meetings Attends every meeting of the CC or committees unless

there is prior permission from CC or commune/sangkat chief to be absent

Advises the commune/sangkat chief on the requirements and procedures to be followed in selection of village chiefs

Assists CC to establish one or more notice boards accessible to public at least during office hours

Displays all notices that the CC requires or wishes to display, for example, CC decisions

Informs the provincial/municipal governor immediately in case the CC decides to take disciplinary action against a councillor or to dismiss a councillor

Informs the CC and the commune/sangkat chief immediately about the name and election date of a new councillor in case the National Election Committee has replaced a councillor

Elect the CC Participate in village and communal affairs through

established procedures, for example in the development planning process

Demand information, responsiveness and accountability from the CC

Pay taxes, duties and fees as provisioned in law Get involved in the monitoring of implementation of

development projects

General public

Mobilize local communities Promote social and economic development of local

communities Advocate for interests of people they represent Liaise with the CC on important issues related to

development of villages and commune/sangkat Build public awareness about decentralization and

commune/sangkat management and administration

Local NGOs and self-help groups

Liaise with CC on issues related to the economic

development of the commune/sangkat Promote economic development of commune/

sangkat Provide employment opportunities to citizens

Private sector, local entrepreneurs, etc.


1.7 Support network for commune/sangkat Commune/sangkat management and

18

administration is a challenging task. There are, however, many institutions

and organizations that are in support of CCs that help to make decentralization

successful.

National level

The NCDD has been established. Its composition, powers and functions have been defined by royal decree. The

NCDD is responsible for policy direction and oversight of D&D reform and is comprised of the Minister for the Interior (chairman) and ministers of the Council of Ministers and the ministries of: Economy and Finance, Rural Development, Planning and Women’s Affairs, as well as Secretary of State of the Secretariat of Public Works, and Secretary of State of the Ministry of Interior. The NCDD’s mission (Article 3) in summary includes:

• Assuming the functions of the NCSC and Inter-ministerial committee for drafting the organic law

• Preparing and implementing strategies for transition, integration and phasing out of Seila program at the end of 2006

• Developing and implementing a national initial-phase program for democracy development at sub-national levels

• Developing and implementing an initial-phase framework, components, timeframe and temporary activities of D&D reforms until the organic law is promulgated

• Designing and making recommendations for establishment of a fund for D&D reform, and mobilizing and allocating donor assistance

• Preparing agreements between the RGC and donors on supporting D&D reform to promote harmonization and alignment of donor support

• Ensuring coordination among NCDD and central ministries/institutions in delegation of functions, powers and resources to sub-national level entities

• Organizing appropriate forums for RGC and donors to coordinate cooperation and mobilizing resources to support D&D reform

Based on the mandate of two departments, the


19

Department of General Administration and the Department of Local Administration were merged to form a General Department of Local Administration. This has been upgraded to serve as the Secretariat of the NCDD to function with full capacity.

The Department of Local Administration (DoLA) is the focal point for all matters relating to decentralization and commune/sangkat administration and management within the Ministry of Interior. DoLA has responsibilities to monitor, evaluate and report on capacities and resources of CCs and appointed officials, such as the clerk. DoLA has to ensure that appropriate measures for training and capacity building, including public education, are implemented.

National ministries assist in policy formulation for

decentralization and commune/sangkat management and administration.

There is broad-based commitment among donor organisations, national and international NGOs regarding support to the process of decentralization and commune/sangkat administration and management. These actors assist in many ways, for example in training and capacity building.

Provincial/district level

Provincial administration and technical departments: the Ministry of Interior has given the provincial governor the authority and responsibility to support CCs and to supervise their performance. S/he has to ensure that technical departments provide support and guidance to CCs.

The Ministry of Interior will establish provincial and district offices of DoLA to support CCs.

A range of development programs and NGOs have branches at provincial and district level. These are expected to give support through training or public education on issues related to CCs.

Commune/sangkat level

The commune/sangkat clerk is appointed by the Ministry of Interior to assist in the affairs of the commune/sangkat and to ensure sustainability in administrative affairs

Local organisations (development programs, local NGOs, self-help groups) can support CCs in the mobilization of local communities.


1.8 Important tasks of councils

20

A well organized meeting leads to well thought-out decisions and good communication among councillors, staff and others invited to participate. A meeting that actively involves and values the contributions of everyone present encourages a sense of ownership for the outcomes of the meeting. What sort of meetings do CCs have? Internal rules and regulations stipulate that CCs can have two types of meetings: regular meetings, which should be held at least once a month; and special meetings, held to discuss special issues that require special or urgent attention by CCs.

Remember! All important details for the preparation and conduct of CC meetings are described in the “Internal Rules and

Regulations for Meetings of the Commune/Sangkat Council and its Committees”

The commune/sangkat clerk and other CC officials have the right to attend CC meetings. To discuss specific issues, it may also be required to invite people with special knowledge, skills or experience, for example technical knowledge for the design of a project the council seeks to undertake. The clerk and ordinary citizens who are not members of the council are not allowed to take part in the decision-making and voting process.

Order of business during a meeting: There is a given procedure and sequence according to which CCs have to conduct their meetings:

11.. Confirm legality of a CC meeting

Meetings provide an opportunity: To get everyone’s idea about a subject To get support for an idea To brief on things that will happen or have happened To discuss and reflect on important issues To get advice from people who are knowledgeable To make a decision

Holding meetings


22.. Discuss and adopt agenda of meeting

33.. Review and adopt minutes of previous meeting; signing of the minutes by presiding councillor

44.. ments and correspondence submitted for consideration and decision making Deal with docu

55.. Other matters Decision making:

very councillor is entitled to vote at every CC meeting. Voting is done byE raising hands. The number of votes in favour and the number against the tabled roposal have to be announced immediately and recorded in the minutes. p

Record keeping and filing

21

What is record keeping? Record keeping means ion for future use and safekeeping of all informat

reference. Most documents will be in a written style but there could also be audi t aspect of o or video tapes. Record keeping is an importan

the administration of CCs.

What are the benefits of record keeping? Easy access to information to guide CCs in deliberation Continuity, so that information remains available even after officials move out and new ones move in

A record of history Improved transparency of the operations of CCs

What are examples of the types of records to be kept?

ence

e and fax numbers, locations,

. NGOs, donor partments

or fundraising activities in the district or region and so on

Minutes of meetings Incoming and outgoing correspond The commune/sangkat development plan and budget Financial records

Inventory of properties of the CC Address books with names, addresses, phon

email addresses of collaborators and partners, e.gagencies, sector de

Contract proposals Existing business links Village data books Commune deikas

Record keeping must be done in a new and open way, making public access and knowledge of information and records a high priority, as opposed to secrecy. If CCs are making efforts to enhance transparency and


22

awar mation that affect them.

ey want to know.

ffering information and responding

mocracy and development.

Records should be kept in the office as long as stipulated in the respective regulation.

accountability, they can do many things to ensure that the public are made e of key decisions and other pieces of infor

They can arrange spots at council offices where people feel able to come and find out whatever th

They can make people aware of records and information in the office that are open to the public. Councils can work in an open way, opromptly and positively to requests for information. Information is a key tool for de

Print documents can be arranged in files so that people have easy access to them.

Delegating and segregating tasks and responsibilities CCs have many tasks to perform. If they delegate tasks and responsibilities to

good

More people are involved and participating – which means that they will

elegation of tasks is not easy: it is not just a matter of passing on the work. his is a set of skills that most people have to learn in order to do it well.

What needs to be considered to ensure that delegation is well done? Define the

task clearly

• n and

others this enables many people to participate in development activities. This is for two reasons:

More work can be done – which means more positive developments in the commune/sangkat.

feel a sense of ownership. DT

• What exactly is the task a person is asked to do? What standard is required?

• Have you given the person all the informatiomaterial needed to do the job?

• Set a time limit on when to accomplish the task

who should be doing the task

• people are required to do the job?

of

Define exactly How many• What level of knowledge, skill or experience is

needed? • Are there enough people with the right level

knowledge, experience or skills? Supervision

•

particular

What and when do the people have to report to you? How m• uch freedom are you giving them to do it their way? Or has the task to be accomplished in away?

• Ensure the person knows exactly what to do • Allow them to ask questions.

Check understanding


23

area. Participation of citizens nd local communities is an important feature of commune/sangkat

hen it comes to the implementation of projects and programs, CCs have to

sults and impacts of the implementation of the development plan have to be evaluated.

Every CC has to develop the commune development plan (CDP) in the first year of its mandate and every year must prepare a three-year rolling commune investment program (CIP). It is up to CCs, local communities and citizens to decide and implement what shall happen in eachadevelopment planning. This means reaching out to women and men, poor and rich, old and young, employed and unemployed. Wensure that beneficiaries are adequately involved in the detailed design and supervision of all projects of the development plan. Six months before the end of the mandate of the CC, the re

The changing commune planning p

rocesses

LAMC Article 60: "Commune/sangkat councils must prepare, approve mune/sangkat and implement a comdevelopment plan in the purpose of determining the perspectives, programs and the development of the

commune/sangkat."

Proce of commune development planning ss

Phase 1: Data analysis and needs assessment Step 1: Data analysis and commune/sangkat

level needs assessment Step 2: Participatory needs assessment Step 3: Prioritization of development issues

Phase 2: Identification of strategy Step 4: Identification of strategies and projects

Phase 3: Projects formulation Step 5: Formulation and costing of proje cts Step 6: Medium-term revenue forecast Step 7: Selection of projects Step 8: District integration workshop

Phase 4: Program formulation Step 9: Formulation of integrated programs St 10: Drafting of CDP and CIP ep

Phase 5: Approval formulation Step 11: Approval of CDP and CIP

Cycle of CDP

Step 1: Draft development framework and budget

Step 2: Consultation meeting on commune development

Step 3: Draft CDP Step 4: Approve CDP Step 5: Evaluate implementation of CDP

Cycle of CIP

Step 1: Commune project formulation

Coordinate commune/ tem sangkat planning sys

and budgeting Step 2: District integration workshop Step 3: Dissemination and consultation

with commune residents Step 4: Approve CIP Step 5: Monitoring and evaluation of CIP


24

start thinking of doing by themselves, finding solutions to

supports poverty reduction efforts because poor people also get involved.

Participation therefore helps CCs to use their resources effectively and

What might be the difficulties in public participation?

others. There may be people, for example, women, the poor, the disabled, etc.,

who are afraid to speak out about their needs and are not, because of

Wha

portunity to discuss their

by f the

CSOs can impart knowledge and ideas in the preparation of the CDP. The people should be given an opportunity to comment on the CDP. Citizens should be involved in monitoring implementation of the CDP.

What are the benefits of participation? Participation ensures that projects really address the interests and needs of the people; they are therefore more successful.

Citizens will feel more responsible for projects in their area when they are involved in the decisions, implementation and monitoring and evaluation of development activities.

Participation makes people more independent from outside assistance because they their problems and initiating action. Participation

efficiently.

The concept of participation is new to everybody; councillors have to learn how to facilitate participation; citizens have to learn the processes for getting involved. People who are directly involved in decision making may dominate

prevailing social taboos, able to stand up to defend their interests.

t might be possible ways to improve public participation? In village meetings, citizens are to be given an opneeds and interests. It has to be ensured that all sections of the population – women and men, old and young, rich and poor etc. – are given an opportunity to express their needs and concerns.

CSOs can contribute in the preparation of the CDP and CIPrepresenting the interests of local communities and specific groups opopulation, e.g. poor people, women, ethnic minorities, etc.

LAMC Article 64: "The commune/sangkat development plan the methods and must determine means to provide opportunities for participation by

the citizens of its commune/sangkat throughout the whole process."

Ensure public participation in the planning process


Manage commune/ sangkat finances

LAMC Article 73: "Communes/sangkats must h ave their own financial resources, budgets and

25

the power to manage their financial resources. They are given e responsibility to manage these reliably and responsibly, so that the public

like question marks over oney spent.

CCs

are empowered to collect direct revenue, e.g. to fix local taxes for

istrative expenditures and

ach CC will be determined by means of a transparent formula.

"agency functions".

CCs have to apply a range of procedures to ensure that resources are spent in a tr

assets."

LAMC Article 82: "Communes/sangkats shall establish a system for management, monitoring

and control of its finance." CCs are given thcan trust them. Nothing can arouse public mistrust m What are the major sources of income of CCs?

have three major sources of income.

They land or for buildings. They are allowed to charge fees when they deliver services. The law also states that details will be spelled out in a separate law. They will also receive a share of the Commune/Sangkat Fund. This Fund shall be established to transfer resources from the national level to the CCs. The Fund will have a component for admina component for development expenditures of councils. The share of the Commune/Sangkat Fund that will be received by e

They are entitled to accept fees when they perform duties on behalf of the national government. This is termed

ansparent and accountable manner.

11.. kat budget The commune/sang

22.. ystem The commune/sangkat accounting s

33..44.. Expenditure cycle

55.. Procurement rules

66.. Commune/sangkat durable assets

77.. Audit of commune/sangkat accounts and operations

Financial reporting


26

that now who is

sponsible for different tasks and who will do what and when. An action plan:

Guides future activities Reminds people about activities so that they can prepare in advance Helps new staff and outsiders to know what everyone is doing

Cs are particularly requested to monitor the following:

ion of plans, programs, projects and services delivered for the

nt, audit

In observing how things are progressing In identifying problems and matters that are not going correctly In making decisions for appropriate changes to get things back on track In using resources more effectively and efficiently In maintaining good quality

CCs have many tasks to accomplish. These need to be put in order soeveryone knows what will happen in the future. It is important to kre

C Implementat

wellbeing of citizens Finances, e.g. accounting practices, asset manageme

management and financial management Monitoring helps

Monitoring is a process of gathering information about the progress of work and using this information so that decisions and planning

for the future are well informed. Monitoring helps see what is going well and what needs to be changed or improved.

Developing action plan

An action plan is a document which shows in a detailed way how people want to make something happen. It is a list of activities that they intend to do over a period of time. It shows what they

intend to do, when they intend to do it and who will do it.

Monitoring and evaluation


Module 2:

Objectives of the module

To provide legal knowledge and understanding on the overall meaning of public service delivery as perceived by the government, and the government perspective and policy on public service delivery.

Expectations of the module It is expected that by end of this session participants will have a basic understanding of:

Perspectives, objectives and commitments of the government on public service delivery;

Meaning of public service, different methods and mechanisms for providing public services;

Legal frameworks and coordination for effective provision of public services;

Challenges in public service delivery at local level. NOTE: This module is adapted from the Cambodian government

policy on public service delivery (serving people better) adopted by Full Session of Council of Ministers, Cambodia on May 5, 2006.

2.1 .3

Government perspective on public service delivery Strategies and programs adopted in recent years, such as the NSDP and the Governance Action Plan (GAP II) have demonstrated a clear objective and acted as a compass towards the implementation of the priority reform areas of the RGC as stipulated in the Rectangular Strategy.

27


Cambodia has no better choice than to reform while it is within a context of gaining benefits from peace and stability. The current public administration is motivated towards comprehensive and deeper reform, so as to become an efficient and effective “service provider” and a trusted development partner to fulfill the mission of “serving people better”, as stated by Prime Minister Samdech Hun Sen. In this environment, all ministries/institutions and public administration actors are obligated to works towards entrenching sustainable change and strengthening leadership and ownership of Cambodia. Prime Minister Samdech Hun Sen on 6 June 2006 said that the public administration had to have four main characteristics, as follows:

Encouragement and strong motivation to work: the public administration must be devoted to working and should encourage the work of civil servants.

Loyalty: the public administration that is the assistant of the RGC and state institutions have to be loyal to the state and the people.

Focus on service: the public administration has to be transformed from “the administrator” to respectful “service provider” and be fair in serving and responding to the real needs of the people.

Professionalism: the public administration has to perform its duties with transparency, capacity and effectiveness.

The characteristics of the public administration outlined above can not be achieved unless the behaviors and the working habits of civil servants are changed. The success of reform will depend on the speed of this change in terms of the way of thinking and working behavior of civil servants, from administrator towards service provider, in a manner that is more effective and focuses especially on the following:

Accessibility for the consumer; Politeness, friendliness and close attention to consumers’ needs; Timely, effective and user-friendly service provision; Explanation and response to all questions on services and complaints.

In addition to the text of GAP II, which the Council of Ministers adopted on 3 February 2006, the Council for Administrative Reform (CAR) has been developing many policies to broaden and deepen the areas of reforms and to ensure the success of the Rectangular Strategy. These are the Policy on Public Service Delivery; the Common Principle on Public Service Delivery through the mechanism of the One Window Office; the Policy on Human Resource Management; the Policy on Human Resource Development; the Policy on the Remuneration; the Policy on Employment Management; the Management Framework for Capacity Development; and the Promotion of

ICT. These policies will assist in improving public service delivery.

The RGC has developed and launched the five-year National Program for Administrative Reform – NPAR (2004-2008) in which it sets clearly the main objective as being : “serving people better”. The strategy of this program is based on the four main pillars: (1) improve service delivery; (2) enhance pay and employment; (3) develop capacity; and (4) promote ICT. The priority mission groups (PMGs) are the core of the strategy.

The Policy on Public Service Delivery is the result of participative discussion and exchange of ideas among ministries/institutions on many occasions, such

28


as inter-ministerial meetings. These led to its adoption by the Council of Ministers in a full session meeting on 5 May 2006. The policy sets out definitions and categories of state public services; objective and strategy; mechanism of implementation; improvement in legal frameworks; and coordination of implementation. It not only guides senior management and civil servants but also shows the range of priority actions that the RGC should take for administrative reform in order to enable the public administration to be capable of serving the people better.

2.2 .3

Government policy on public service delivery Definition and kinds of public service delivery The Policy on Public Service Delivery sets out definitions and categories of state public services; objective and strategy; mechanism of implementation; improvement in legal frameworks; and coordination of implementation. In addition, the policy is to be the principal document for the implementation of various reforms with a view to improving service delivery based on good past and recent experience.

DEFINITION

Delegated agency: refers to private sector or CSOs

delegated particular responsibilities and duties by state but stay under control of state and state agents. Control by state or state agents of the private sector or CSO is based

on clauses in the defined agreement or contract including

work activities, results to be achieved, objectives and other

intended social impacts.

Public service: defined in the following

way: “All activities undertaken by the

competent or delegated agency with a view to

serving the public interest are public services”.

Competent agency: refers to the state institutions or state

agents or all levels of state authorities working

within their areas of competent jurisdiction.

Public services, as defined above and falling under this policy are divided into seven categories, depending on sectors and responsibilities of ministries/institutions.

29


30

Services relating to state sovereignty Services relating to security, public order and social safety Services relating to justice and arbitration Services relating to enhancing trade matters, SMEs, the investment environment

and the participation of the private sector in construction and maintenance of infrastructure

Social services, culture and women’s affairs Services related to the development of physical infrastructure Services related to revenue collection, expenditure rationalization and

disbursement

Services relating to state

sovereignty

Services relating to state sovereignty are the exclusive responsibility of the state and are provided by state agencies or legal entities to which, under public law, the state has delegated the power to implement them. Services relating to state sovereignty include: permits, licenses, civil status certificates, birth certificates, vehicle identification cards, certificates of title, Khmer citizen identity cards, family registration, legalization, etc. In relation to these services, the organization and execution of delivery are the responsibility of the state or state agents.

Services relating to

security, public order and social

safety

These are services relating to security, public order, accommodation, travel, communication and social safety. These are within the competency of the competent authorities, police, gendarmerie and armed forces. These services are very important for protecting the environment for the development of the country; poverty reduction; people’s happiness and tranquility; and stability and certainty for investors and businessmen in doing business. With regard to these services, their organization and execution of delivery are the responsibility of the state or state agents.


justice and arbitration

These are services relating to justice and arbitration of conflicts between citizen and citizen or citizen and civil service or citizen and private sector or civil service and private sector etc. These services are provided by two bodies: (a) The arbitration council: coordinates resolution of minor litigation in order to bring together both parties outside the court system and reduce overload of litigations within the court of law. (b) The court of law: In case litigants do not accept the resolution made by the arbitration council they approach the court of law. The confidence of service consumers and other stakeholders is dependent on the law’s execution with effectiveness, quality, morality, justice and transparency in the context of maintaining the rule of law. Therefore, all activities for work improvement have to be organized step by step and carefully, with a view to enhancing the quality and effectiveness of judicial services.


enhancing trade matters, SMEs,

Enhancing trade affairs The RGC, as the strategist and manager of the development process, responsible for creating an environment conducive to enhancing private enterprise, considers the private sector as


31

the investment environment,

and the participation of

the private sector in

construction and

maintenance of infrastructure

the engine of growth. A particular priority is given in the preparation of measures that establish an overall environment conducive to private sector development through various concrete steps: i. Strengthening both public and corporate governance; ii. Reducing bureaucracy and red tape within

ministries/institutions concerned with import-export; iii. Eliminating the overlapping works of ministries/institutions

by promoting effectively the process of one-stop control; and

iv. Improving the implementation of the One Window Office mechanism at the international border gateway.

SMEs The RGC continues to promote the development of SMEs through the following policies: i. Encourage the development of SMEs, especially through

the provision of medium and long-term finance; ii. Suppress all kinds of smuggling; iii. Reduce registration and start-up procedures for

companies; iv. Facilitate import-export activities by simplifying procedures

such as licensing and other letters of permission; v. Reduce time consumed and prices charged for services for

approval for SME production operations through the use of One Window Office mechanism;

vi. Provide protection support to select enterprises for an appropriate period of time;

vii. Promote alliances between SMEs and large enterprises, etc.

To achieve the above objectives, the RGC focuses on: i. Encouraging domestic production to replace imports, and

to respond to the strategy for the establishment of local production bases to conform to the prevailing environment of regionalization and globalization;

ii. Developing a strategy to upgrade the competitive capacity of SMEs; and

iii. Developing an action plan and regulations to support and monitor the work of SMEs.

Investment environment and private participation in construction and maintenance of infrastructure Related to this task, the RGC will implement the necessary measures to improve the investment and business environment. Measures include an incentive policy; directive regulations; and promoting the private sector’s participation in construction and maintenance of infrastructure. The structure of these services clusters that have not yet adequately responded to the necessary demands for facilitating business operation, investment and private sector development has to be changed appropriately and immediately to conform to the real situation and existing resources.

Services of social affairs,

culture, and women’s affairs

These services include: education services (enhancing quality of education for all; learning materials; and the right of access to basic education); health and sanitation services (accessibility, quality and effectiveness in providing equitable and sustainable basic health services to the people, especially


to the poor and most vulnerable); entertainment services; social services; services providing protection for orphans, vulnerable children, the handicapped; services that enhance the participation of women in economic development; and other services that assist in reducing poverty.

Services related to development

of physical infrastructure

Services related to physical infrastructure development are a major priority of the RGC in promoting and speeding economic growth and reducing poverty. The development of physical infrastructures has to focus on further construction of transportation system such as: roads, bridges, railways, waterways, ports, airports; and hospitals, schools, wells, clean water systems, irrigation systems, electricity, power, information technology, and post and telecommunications, etc. In regard to these services, the RGC promotes incentive policies to encourage participation from all stakeholders, especially the private sector.

Services related to revenue collection,

expenditure rationalization

and disbursement

These services relate to the improvement of revenue management, more transparent and efficient expenditure and disbursement system and procedures in order to reduce difficulties of service consumers. In order to facilitate implementation, ministries/institutions responsible for any of the above seven categories of services must prepare and properly compile the list of these services. In case, there is any progression in the market economy, modern technology and other real demand as a result of the evolution of the society; the public service will be redefined conducive to that evolution. The provision of all categories of public service delivery, regardless of mechanisms, places and circumstances, has to pay attention to the possible ways of supporting the access to the poor, the handicapped, old persons and children within both urban and rural areas.

Objective and methodology Objectives

The strategic objective of the RGC in public service delivery is to “serve people better”. This means the public administration has to: 1. Ensure accessibility to service Provide sufficient, clear and understandable information; reduce bureaucracy and red tape with a view to reducing the difficulties of service consumers in seeking services by themselves and reduce extra payments being made for unofficial operational processes. 2. Focus on real needs of service consumers In the past, the civil servant, as the administrator, predefined the type of service to be delivered to consumers, even though some services might not meet their needs. Now, as the service provider, the civil servant has to change working

32


b

33

ehavior and define the category of services based on the consumers’ needs

inistration should define such kinds of services to be ffered in such locations. This will avoid consumers seeking services far away

s in service delivery to meet their demand and pgrade the efficiency, effectiveness and transparency and thus uphold the

ration can not rovide or afford to produce some services, the state can find development artners who are able to help meet the needs of the consumers.

livery. he change in the way of thinking and the attitudes of civil servants, away from

ideas deeply rooted in the concept of “administrator”, is time consuming.

and market demand. 3. Provide Services to Where Needed The public administration has to deliver services to places where they are needed except in those cases where this can not be done. For example, the specialized and very costly service offered in a heart surgery operation can be made available only in a very few places, say Phnom Penh. For all general cases, the public administration should be people-centered in providing services. For example, where the people require some kinds of services in some places, the admofrom their community.

4. Transparent and accountable service delivery The service provider has to provide comprehensive and open information without discrimination and focus on timely delivery based on quality and with high responsibility. Meanwhile, the service provider has to give information and opportunities to consumers to monitor and understand the procedures, criticize, complain or seek improvementuprinciples of good governance. 5. Quality, efficiency and effectiveness of services The service provider has to meet the defined standards of service. This means what is delivered to consumers has to conform to set standards in price, time and quality. The quality of service has to be determined based on the consumers’ satisfaction, where the services respond to the demand and are in the general interest of the consumers. If the public administpp

Methodology

In order to achieve above stated objective, there are two main strategies for the implementation process: First, change the attitude and the work behavior of the civil service from being the administrator to being the service provider. This is a key point because, in spite of having good paradigms and good procedures for implementation, if civil servants do not want to change attitude, the quality of service delivery can not be made efficient and effective. The service provider has to serve consumers with good behavior, covering language used and general work communication behavior. To deliver services with quality, efficiency and effectiveness primarily requires that civil servants possess a clear understanding about the concept of “service provider” and “service consumer” so as to be able to change the way of thinking with the aim of reducing bureaucracy and red tape in service deT


34

Second, change work processes from the “functional structure” to the “operational structure”. This approach is focused on the improvement of working behavior within the public administration toward results. Currently, the work behavior in the functional structure follows the defined procedures and regulations without thinking about results, efficiency and effectiveness and satisfaction of service consumers. The operational structure is implemented

rough two concepts: “front office" and "back office”.

s for consumers who do not know how to fill forms or can not ad and write.

office. The organization of the back office should e based on five main factors:

od achievements in grade promotion, medal awards and other incentives.

main. In addition, cash transactions should take

place as per schedule.

on plan, budget plan, financial plan, expected result and risk assessment.

ited in

order to compare with expected results defined in the action plan.

th Front office The front office communicates directly with consumers. In order to make the front office more capable in providing a service to the people and to its clients, the civil servants or agents employed in this section should have good understanding and competencies related to public services; have a good attitude; concentrate on the needs of the clients; and explain the particularities of their services and be able to solve the problems of consumers. The front office has the duty to provide information; explain the procedures for procuring and delivering services; send necessary documents on specialized areas; receive service fees; and provide results and decisions made in relation to the service requests filed by the consumers. Where necessary, additional instruction and assistance should be provided on getting and filling up required application formre Back office The back office is the main area supporting the success of the front office. The back office has duties of checking application forms and other documents, making suggestions and forwarding files to those who make decisions and then sending them back to the front b

Human resources: The civil servant has to understand the new concept of delivering public services by meeting standards related to quality, efficiency and effectiveness, by changing work attitudes, habits and behavior from “administrator” to “service provider”; s/he has to receive training to increase capacity, strengthen professionalism, and enhance knowledge and know-how. S/he should be responsible for service delivery that meets the market demand. In the context of human resource management, priority should be given to civil servants who make go

Financial resources: These should conform to the annual work plan and action plan of each do

Planning: The back office should develop strategic and operational plans for timely, quality and effective delivery of services. The plans include: work plan, acti

Audit and evaluation: The implementation of the action plan for public service delivery has to be managed, monitored, evaluated and aud


35

ICT: The usage of ICT is a modern method for making important changes in communication behavior between the public administration system and service consumers. ICT can be used to reduce bureaucracy and time consumed; to increase transparency, effectiveness and efficiency; and to ensure th

ere is access to information and services when and where needed.

stages in order to achieve the ultimate bjective: “serving the people better”.

the people. The llowing mechanisms are possible for public service delivery.

ervice; efficiency and effectiveness; quality of public ervice; and public trust.

tructure of e One Window Office are to be based on the decision of the RGC.

iew to encouraging evelopment and service delivery to meet peoples’ needs.

In summary, there should be smooth interaction between front office and back office operations, coordinated at all o Mechanism of implementation The implementation mechanisms outlined below aim at facilitating the work of ministries/institutions in improving and establishing standards. However, implementation of mechanisms is dependent on circumstances and real situations within the public administration system of Cambodia. The success of public service delivery is based on processes and mechanisms; timing of implementation; and the price charged for services delivered tofo Improvement in the process of public service delivery

Improving process of service delivery is one basic mechanism to improve public service delivery. This is to be done within all ministries/institutions and state agencies by eliminating overlapping functions or removing uncertainties about duties and procedures. Focus should be given to work procedures and process; time consumed; cost of ss One Window Office

The One Window Office is a mechanism for public service delivery which facilitates access of the people to the services through simple procedures, transparency, efficiency and effectiveness, and attends views and needs of consumers. This mechanism combines clusters of public services and provides access at one single place for applying and receiving services, by setting a standard period for delivery and use of services and setting specific prices for services. Good practice learned from earlier implementation is to be used as a model for countrywide replication. The One Window Office should be organized on the basis of a clear division of roles, duties and comparative competencies. The organization, function, framework, principles, procedures and sth Deconcentration of public services

The organization of the public administration system is a strategic and priority task, as stipulated within the Strategic Framework on D&D Reforms adopted by the RGC at the plenary session of the Council of Ministers on 17 June 2005. However, “deconcentration” in this policy determines public service and public service delivery within public administration authorities at the sub-national level through a unified administration system. The unified administration of the provinces/municipalities and districts/khans will assist in coordinating all public administrative activities in respective territories with a vd


36

Decentralization of public service

As provisioned in LAMC, the commune/sangkat administration has two roles to

i. affairs to serve the interest of the commune/sangkat and its

ii. presentative under the designation or delegation of the State authority.

ed on e real situation of development of the economy and consumer demand.

or establishments possesses following criteria:

iii. tors directing and managing operations with own kind of

vi. ontracts and to bring suits or defenses under the law in a

vii. of legitimate

on the legal tatute of public establishments with administrative characteristics.

sources and creating jobs. The public enterprise has the institutional

ts with economic characteristics;

iii. tate directly or indirectly holds more than 51% of capital or the right to vote.

perform: Manage localpeople; and Function as the state agent re

LAMC Articles 43 and 44 state the duties of the commune/sangkat administration in performing the above two roles. Communes/Sangkats have to manage their delivery of public service step by step. This should be basth Public establishments with administrative characteristics

Public establishments with administrative characteristics are another form of mechanism for public service delivery. These are accorded financial or administrative autonomy and are legal entities under public law, mainly responsible for providing administrative, social, health, cultural, scientifictechnical services. Such publici. Nomenclature and office; ii. Objective of activity (mission statement);

Board of Direcmanagement;

iv. Own budget; v. Resources for executing activities as planned in the mission statement;

Capacity to sign ccourt of law; and Responsible under penal law and civil law for activitiesrepresentatives or employees working for the establishment.

A public establishment with administrative characteristics is created by sub-decree, following the joint proposal of ministries or the technical curatorial authority and the MEF. The public establishment has to define mission, privileges, obligations, composition of Board of Directors, and special rules for executing the management and control of the establishment, and has to specify also the curatorial ministry/institution or authority. The conditions and principles for creation of public establishments with administrative characteristics have to conform to the Royal Degree NS.RKT, dated 31 December 1997 s Public enterprises

Public enterprises are another kind of mechanism for public service delivery by the state, established under private law and public law. A public enterprise is a legal entity with financial autonomy, and the majority or all of its capital belongs to the State. A public enterprise as per its mission is established to foster the country’s economic and social development, namely by increasing the value of natural reform of: i. Public establishmenii. State companies;

Joint ventures where the s


37

The public enterprise shall be under the technical responsibility of a ministry or public authority, depending on the type of the enterprise’s activities. i. Public establishments with economic characteristics: These are legal entities

under public law and possess financial autonomy. These institutions produce goods or sell services for the market. They are created by sub-decree, following a joint proposal of the MEF and the responsible ministry or authority. The sub-decree determines duties, capital, responsible ministry or authority, composition of the Board of Directors, administrative and financial management, and the rules of operations of the establishments.

ii. State companies: A state company is one whose total capital belongs to the

state. It has to compete in the market and operates independently. The state company is created by sub-decree following a joint proposal by the MEF and the responsible ministry or authority. This sub-decree specifies objective, legal status, responsible ministry or authority, applied system of control, and composition of the Board of Directors. The ministry or authority with technical responsibility is responsible for completing the following procedures for the establishment of such a company: • Preparing the statute of the company with the agreement of the MEF; • Conducting commercial registration; and • Filling in all forms according to the principles and procedures provided for

under the Law on Commercial Companies. iii. Joint ventures: The joint venture is created under the principles and

procedures specified in the law relating to commercial companies in which the capital is jointly owned by a legal entity or private natural person and the state legal entity. If public participation is more than 51% of the capital or the right to vote, the joint venture is considered a public enterprise. Representatives of the state or the public establishment are appointed by the decision of the RGC following a proposal by the MEF. The representatives of the state enterprise who are on the Board of Directors of the joint venture are appointed by decision of the Board of Directors of the said company after an agreement with the MEF.

The civil liabilities of those representatives in the fulfillment of their duties shall fall under the state, public establishment and the state company, but they shall personally be liable for any criminal offense. The conditions and principles of the creation of public enterprises that have the form of public establishment with economic characteristics, state companies and joint ventures in which the state directly or indirectly holds more than 51% of the capital or the right to vote shall conform to the Law on the General Statute of the Public Enterprise, promulgated by Kram No. CS/RKM/0696/03, dated 17 June 1996 and Anukret No. 41 ANKR.BK, dated 6 July 1997 on the implementation of the Kram on the General Statute of the Public Enterprise. Contracting Contracting is another mechanism for the delivery of public services in which the state itself can not afford to bear the cost of service delivery. The contract mechanism should have clear conditions of work based on expected results, the conditions of implementation, necessary resources for the process, and monitoring and evaluation. The contracted party has to employ civil servants in


38

its workplace and provide them allowances based on their capacity, functional responsibilities and achieved results. In case of necessity, the contracted party can recruit more staff apart from those from the state civil service in order to meet the demand for additional manpower. The decision to provide public service delivery through the contract mechanism has to be made by initiative of concerned ministries/institutions and to be approved by the RGC.

Special operating agency

The management and delivery of public service through the mechanism of a special operating agency is a new concept which needs to be further developed. The special operating agency is an entity of the ministry/institution appointed to achieve particular objectives of the RGC. It is set up under the conditions for conducting the mission that are most favorable and flexible in organization and functioning, including in human and financial resources management. It is different from other entities even within a ministry/institution. The aim of developing the special operating agency is to enhance the efficiency and effectiveness of the work, strengthen accountability and promote innovation and initiative to improve the culture of paying attention to service consumers. The conditions of the mission to implement the special operating agency depend on the following four basic points: i. Concentrate on the needs of the service consumers by clearly determining

category, quality and price of delivered services; ii. Define clearly the expected result and all necessary resources; iii. Define clearly the organization and functioning of this agency; and iv. Define precisely the mechanism of monitoring, control and evaluation. Privatization

In necessary cases, privatization may be selected as a mechanism for facilitating service delivery to consumers. Privatization should conform to the regulations that are promulgated and disseminated to the public concerning the process and the operation. The privatization has to follow a decision of the RGC in relation to the proposal of concerned ministries/institutions.

Improvement of legal frameworks and implementation coordination

Improvement of legal frameworks In order to improve public service delivery through successful and effective operation, improvement in existing legal frameworks or establishment of newer legal frameworks that address real needs is necessary. Therefore, the following tasks are to be performed: i. Check for overlapping functions and contradictions that constrain and lead to

uncertainty in the public service delivery, and harmonize procedures to make the service delivery more streamlined;

ii. Simplify complicated modalities and procedures; iii. Modify existing regulations in order to conform to real need; and iv. Develop new regulations according to category and type of public service.

In the modification of the existing legal frameworks or establishment of newer legal frameworks, concerned ministries/institutions should cooperate closely


39

with the CAR to ensure that improved legal frameworks are consistent and compatible with the Policy on Public Service Delivery. Coordination of implementation The CAR has been delegated by the RGC with duties and roles related to taking initiatives, coordinating, promoting and observing technical implementation and experiences in order to successfully implement the Policy of Public Service Delivery. The ministries/institutions and provincial/municipal authorities must cooperate closely with the CAR to make implementation effective, fruitful and successful. Moreover, ministries/institutions and provincial/municipal authorities must accept responsibility for the quality of public service delivery within their competent jurisdiction. The CAR and ministries/institutions are to cooperate with each other in disseminating policy and in training civil servants to make them aware of and understand the policy. The policy is to be included in the academic curriculum of the Royal School of Administration. The implementation of the Policy for Public Service Delivery requires active participation of all ministries/institutions, all levels of territorial authorities, civil servants, civil society, armed forces and all stakeholders, as well as various development partners of Cambodia with a view to serving people better.

Meaning of key words

Good quality:

refers to the satisfaction of the service consumer, when the service delivered to the people meets defined criteria (procedures, timing and price), needs and expectations of consumers.

Inexpensive: refers to the price of service to be paid: has to be set at an appropriate rate conforming to the place and the affordability for consumers.

Short: refers to the procedure of service delivery through the operational structure that eliminates unnecessary bureaucracy.

Simple: means that the conditions under which the service consumers seek to access services are comprehensible, both in terms of modality and procedure.

Reliable: the service delivery has to follow the predefined and publicly explained procedures and regulations. If the service provider in fact performs contrary to what is expected, consumers will lose confidence.

Responsive and timely:

the category of services, the procedures and timing of the service delivery are defined based on the demand of the consumers under priority frame.

Accessible: the service provider facilitates the service consumers with communication, forms or application and in receiving required service.


2.3 .3

Key challenges in public service delivery at local level Although a variety of public services are delivered at commune level, the institutional arrangements used to deliver them are not well understood. Furthermore, more direct involvement of CCs in the supply of services has not been sought systematically. Some lessons from research on local service delivery and the roles of the CCs demonstrated that the delivery of local services may be improved through more effective involvement of CCs. Any effective local public service delivery involves a number of related activities, including planning and budgeting, financing, production and monitoring and evaluation. There are both “demanders” and “suppliers” for the delivery of public services. Rather than each individual expressing own demand for a public service, there must be an arrangement whereby the demands of a variety of consumers are determined collectively. One role that local governments can play is to aggregate the demands for public services of local residents. Since local governments are closer to the people than provincial or central governments, they can more effectively assess the particular need of a locality. Major challenges related to public service delivery are summarized as follows:

There is a general lack of clarification and delineation of mandatory and optional tasks in service delivery. This has made negative impacts on accountability and possibilities of establishing proper linkages between functions and funding arrangements.

It is difficult for each government tier to be responsive and provide efficient services given great disparities in size and capacity of units in each tier.

Provinces do not have incentives to develop well coordinated development programs owing to lack of funds. Provincial public infrastructure depends on central government finances and maintenance plans through the sectors. Transparent and approved service delivery plans are nonexistent.

The centralized and delegated system of service delivery is considered not sufficiently demand driven or based on local priorities, and flexibility and adjustments are not ensured.

Quality of service delivery is difficult to judge and sometimes it is just unacceptable. Performance monitoring systems are weak.

Payment of unofficial fees is common in many sectors. There is a need to clarify areas and sectors where user payments and charges are applied formally and informally and where services are provided free of charge.

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Module 3:

Objectives of the module To allow participants to obtain a full understanding of what the CRR is all about so that they can elaborate during its implementation.


Rationale and legal provisions for social accountability and basic service delivery at the commune level;

What the CRR is, what it provides, and what to do after the CRR; Concept and strategy, objectives and expected outputs, and

methodologies of the CRR; Other dimensions of the CRR.

3.1 .3

Introduction

A minimum participation right of citizens in a democratic society is to vote for leaders and representatives in periodic elections. In Cambodia, for instance, citizens vote for CC officials and representatives to the National Assembly. The expectation is that, once elected, government leaders will formulate policies, design programs and make decisions in accordance with broad public opinion, or at least based on expressed needs of the population. The reality, however, is that political participation through voting in elections provides citizens with very little influence over decision makers. The effectiveness of elections perceived traditionally as the principal mechanism for accountability has also proved weak; they are seen as a blunt instrument for holding government officials and

employees accountable to their particular actions. The World Bank Development Report 2001

concludes: "From the perspectives of poor people worldwide, there is crisis in governance. State institutions, whether represented by central government ministries or sub national government structures are often neither responsive nor accountable to the poor; rather the report details the arrogance and disdain with which poor people are treated.

Poor people see little recourse to justice, criminality, abuse of authority and corruption by institutions. Not surprisingly, poor men and women lack confidence in the state institutions even though

41


they still express their willingness to partner with them under fairer rules" (Narayan, et al, 2000: 172)1.For most citizens, the direct face of the state and of the government is public services, and poor people’s dissatisfaction with public service institutions relates largely to issues of voice and accountability. Poor people believe that state institutions – whether delivering services, providing police protection or justice, or as political decision makers – are either accountable to nobody or accountable only to the rich and powerful (Narayan: 2000: 177)2. As a result of a growing interest in civic participation in local governance worldwide, direct democratic mechanisms are now increasingly applied to facilitate active participation of citizens in local decision-making processes and to hold governments accountable and responsive to citizens. In Cambodia today, there is growing concern regarding the performance and accountability of governmental agencies that deliver services, formulate policies and make decisions, particularly for the poor and the marginalized. Most performance indicators focus on input and expenditure levels; beyond these, there is scarce information on quality of services delivered, on the appropriateness of policies and procedures formulated, and even on the perceived strengths and weaknesses of the internal functioning of local government units. Beyond the arithmetic, such as literacy rates, not much is known on the outcomes of public service delivery in the country, particularly on whether it meets the needs of those it intends to serve. Cognizant of this, the recent Cambodia National Poverty Reduction Strategy (NPRS) Progress Report posed a challenge to NGOs to help monitor poverty reduction in Cambodia. An option recommended by the report is for NGOs to prepare report card surveys to feel the public pulse on certain important issues, such as decentralization, and convey concerns to policymakers. Moreover, the report considers it critical to determine how to involve the poor and vulnerable groups in the process because, first and foremost, these problems are affecting them3.

There is a need for a fundamental rethinking of the ways in which citizens’ voices are articulated and represented. That is why we need now to build a strong local network in communities to be able to demand pro-poor, equitable and accountable responses.

"People whose lives are affected by a decision must be part of process of arriving

at that decision" (Trasmonte Jr, 2004: a

presentation paper).

Meaningful participation of citizens should result in increased demand for services and increased expectations from and pressures on the political and administrative systems. Unless the system responds, increased participation will give rise to dissatisfaction, leading to either apathy or withdrawal, or even serious challenges which could result to political instability. Corresponding to its assignment to strengthen civil society and citizen participation and influence in decentralization and local governance reforms process, CCSP pioneered in Cambodia the implementation of the CRR, a methodology patterned on the internationally acclaimed report cards that were

1 Narayan 2000: Voice of the poor 2 ibid

42

3 Royal Government of Cambodia, 2004: progress report on implementation of national poverty reduction strategy


first implemented in Bangalore, India, and citizen satisfaction survey carried out in the Philippines. In international practice, report cards and surveys are usually applied as a national exercise, with external enumerators gathering data at the village level. However, a unique feature of the CRR is that it localizes the report card exercise, with commune citizens collecting, analyzing and acting on the results exposed by the initiative. It allows citizen to measure CC work. It is also a tool for people to participate in monitoring and evaluating good local governance, which is it a basic mandate of NGOs to promote.

3.2 .3

Legal provisions for social accountability and basic service delivery at commune level, Cambodia Passed by the National Assembly on 12 January 2001, Law on Administration and Management of Commune/Sangkat (LAMC) determines the administration and management of all communes following the Cambodian government’s policy of decentralization. Article 1 of LAMC clearly states that a commune council shall be accountable to all residents of its communes. Article 12 stipulates that a commune council shall actively promote and coordinate the process of democracy in the commune by setting up a process for consultation with residents, civil society and communities. The deliberations and administration of the CC shall be open and transparent. Thus, citizens in communes can participate in CC meetings, and participate in development planning initiatives. Article 66 states that "Commune/sangkat councils shall monitor, control, and evaluate the implementation of plans, programs, projects, and the provision of services with transparency and strong accountability." All CSOs may participate in the preparation of the CDP and CIP and shall be responsible for representing the interests of local communities and specially targeted stakeholders such as women, youth and minority groups, among others. These organizations may also contribute knowledge and ideas in the preparation of CDPs. As stated in inter-ministerial Prakas No. 98 of the Ministry of Interior and the Ministry of Planning on Commune Development Planning, a preliminary step in the development planning process is the assessment of, among others, the current level of people’s access to basic social services (Article 13). Article 26 of the same Prakas stipulates that at the end of each fiscal year, the commune chief and the planning and budgeting committee should submit an annual report to the CC. This should include a description of the problems encountered in providing basic social services to citizens in communes as well as recommendations to improve their delivery. Article 30 stipulates the right of every commune resident to attend every CC meeting, even though they cannot participate in the voting.

43


In the preliminary steps of the commune development planning process, CCs have to assess the current level of people’s access to basic social services. At the end of each fiscal year, they must review and report on problems encountered in providing basic social services to citizens in communes as well as make recommendations to improve delivery. The National Poverty Reduction Strategy of the RGC emphasizes the improvement of rural livelihoods as one of the priority actions of effective service delivery at local level. This is seen as a crucial factor to the success of this initiative. LAMC envisages local councils playing a leading role in service provision and local development. This vision is crucial to the development of local accountability because only when the councils are given clear service delivery responsibility and adequate resources can they justly be held accountable for their performance. The law, however, remains broad in terms of mandates for specific responsibilities. It is, therefore, important to understand how local services are currently delivered and how CCs can intervene to improve service delivery flow.

3.3

.3

The Citizens' Rating Report

What is the CRR?

Documented , systematic assessment of social services and other governance matters through citizen feedback

Appraisal of people’s satisfaction of service delivery; identification of key constraints

Collecting and organizing citizen feedback; results as take-off point for grassroots advocacy

Credible collective feedback for service providers on issues as experienced by ordinary citizens

A simple evaluation tool, structured for simple communication Facilitates citizen participation in improving governance at the commune

level Starting point for reflective and corrective action Organizing public feedback as a form of voice to demand greater public

accountability An aid to improving service delivery and governance in the commune Not intended to embarrass or praise service delivery providers and other

local governance players Unlike other international experiences with parallel initiatives (such as the

report cards of India and the Philippines), the Cambodian model CRR is a localized version, where citizens themselves generate, package and act on the CRR results

44


What does the CRR provide?

45

• Level of citizen satisfaction on the quality of service or performance in any governance issue

• Comparison in terms of user satisfaction among service providers • Causes of poor service delivery or performance • Recommendations on improving service delivery or enhancing performance

in a given governance issue • Enables civil society at the commune level to assess key governance issues

as experienced by the ordinary citizen • A significant feature of the emerging Cambodian model is that it localizes

the report card process. Local citizens generate, understand and act on the data they have gathered. This is a significant deviation from all other international experiences with report cards which are mostly nationally initiated exercises, with external researchers conducting the exercise. The Cambodia CRR can rightfully claim to be the first international attempt to localize the report cards on a nationwide scale

What to do after the CRR?

• Discuss results with concerned service delivery agency or organization/or with the CC

• Disseminate information through media, including folk media • Mobilize commune-based organizations to disseminate

findings and generate social pressure for reforms and changes • Monitor actions to improve services or issues being addressed

in the CRR

3.4 .3

Concept and strategy of the CRR Concept The CRR is a trailblazing innovative mechanism that gathers user perceptions on the accessibility, satisfaction and adequacy of services, and on quality of participation in CC meetings, and aggregates these as a rating report. These rating reports, particularly data and information on citizen’s dissatisfaction, are used as a take-off point to generate collective pressure and prompt commune officials and social service providers to respond positively to the civic call for improvements in service delivery and in conducting CC meetings. It provides an alternative form of public engagement between citizens and the government; it challenges the convention in representative democracy whereby citizens obtain an exclusive opportunity to express their preferences during periodic elections through vote, then leaving the public officials accountable to elected representatives.


The CRR also puts citizen participation in decentralization into a broader human rights framework. Through the CRR, citizens participate by generating information and using this to influence planning and policy. This goes beyond the preferred form of participation in project implementation and development planning only. The results of the CRR can serve as a basis for critical dialogue with local government officials and other decision makers. Results are also shared with citizen bodies, other NGOs and the media. NGOs or NGO groups using report ratings are expected to educate and mobilize the media, other public interest groups and the citizenry at large to facilitate mechanisms for citizens' voices to develop and express themselves. The initial rating reports also serve as benchmarks to measure improvements and performance over time. The results of CRR can be used as a take-off point to advocate for reforms and changes. Indeed, the CRR can also be seen as a catalyst to build consciousness for responsive governance. In the beginning, external actors could use this initiative to provoke and activate local CSOs and citizens to demand effective and accountable service delivery. Through the knowledge transfer, local CSOs can work independently with citizens. Then, citizens themselves, as understanding and then ownership is gained, can actively interact or negotiate with their local government for desirable basic services that meet their needs. Eventually, CCs will have sufficient information not only to respond appropriately to citizens’ demands also to be able to effectively monitor and coordinate service delivery responsibilities of deconcentrated (line) agencies of the government responsible for public service delivery within its territory. The desired outcomes of the CRR intervention can take a longer or shorter time to materialize. This depends primarily on the level of capacity and consciousness of local citizens or local government.

Level of capacity and consciousness

The CC itself is conscious and responsive in facilitating and delivering basic public services in its locality

Commune council

Citizens have strong sense of activism in demanding effective service delivery and can independently interact with CCs

Citizen groups Commune council

Local NGOs can independently work with citizens and CCs on service delivery

Local NGOs Citizen groups Commune council

Required external trigger

National NGOs Local NGOs Citizen groups Commune council

Intervention trail Strategy The CRR advocated by CCSP is an innovative strategy of increasing citizen influence, improving the responsiveness of service delivery agencies and ensuring greater government accountability, starting at commune level. It implies not merely consultation of citizens in development planning but also their collaboration in decision making, requiring their influence and power. It

46


strengthens the capacity of the demand side as a major force in hauling out the responsiveness of local government. Briefly, the CRR gathers user perceptions on the awareness, accessibility, satisfaction and adequacy of services, and on quality of participation in local governance, and aggregates these to create a rating report. These rating reports are discussed by citizens themselves with the concerned provider or decision makers. This lays fertile ground in providing lessons and insights to citizens to demand basic services. Implementation of the CRR can raise citizen awareness of social services existing in the commune and provide opportunities to make an overall rating of the performance of CCs regarding levels of citizen satisfaction on key social services available in the commune. Citizens then express their perceptions on how things can be improved and suggest facilitating factors to enable commune citizens to have better access to social services. A very important step taken by CCSP NGO partners in CRR implementation is to orient CCs, key informal leaders and citizens on the rationale for implementing the initiative. This is deemed very important considering that the support of the local government and the citizenry is instrumental to the success of the CRR. In the course of this exercise, commune residents express their satisfaction or dissatisfaction regarding social services and infrastructure projects, reveal reasons for their dissatisfaction, highlight deficiencies, weaknesses and interruptions in service delivery, and then offer recommendations on how could these be improved. The implementation strategy is to train NGOs which are working with commune-based organizations through various learning events spread throughout the project life. These local NGOs will be trained on the rationale, concepts and methodology of the CRR. In turn, they will train and assist commune residents to implement the CRR, covering data collection, analysis and ratings presentation through meetings and forums. Likewise, NGOs will train and coach commune-based organizations to engage with CCs through dialogue and other forms of grassroots advocacy. Aside from building capacity of local implementers and the formation and coaching of commune research teams (CRTs) to implement research and lead advocacy initiatives, the implementer of the CRR project collaborates closely with CCs.

3.5 .3

Objectives, outputs and methodologies Objectives and outputs The CRR aims primarily to provide a systematized and documented assessment of basic social services, administrative services, infrastructure projects, budget expenditures, performance etc. in the communes, as well as on the capacity of CCs to promote citizen participation in CC meetings. Likewise, the CRR strives to develop a corps of practitioners at the commune level to engage in the promotion of social accountability. At its highest level, the project is evaluated on how it results in better or improved government policies through citizen campaigns and lobbying. Finally, it seeks to promote constructive

47


dialogue and engagement between citizens and commune-based groups on the one hand and CC officials and service providers on the other. It is also hoped that the CRR can influence sectoral initiatives for improved service delivery. Ultimately, the CRR hopes to increase people’s understanding regarding participation as the key factor for a healthy democracy in Cambodia. The CRR project has three objectives, as follows:

11..

2

To develop a system for gathering documented and systematic assessment of social services and other aspects of good governance using citizen’s feedback;

2.. enchmark information to measure

33.. nment dialogue on critical issues with the objective of instituting reforms.

The

To create a database and formulate bprogress and performance over time;

To promote civil society – gover

expected outputs of the CRR are:

11.. Increased understanding of popular participation as a key element in democracy;

22..

33.. ed stakeholder groups to respond

civic calls for improvement in services and other reforms.

ple points:

enter and CRT

oaching

Quantified ratings of public service delivery and other key dimensions of local governance (participation, for instance);

Organized local civil society groups creating pressure to prompt ratagencies, units of government and otherpositively to

Methodologies The CRR basically involves four major stages:

Training, preparation and orientation

48

Evaluating the progress and improvement

Actual field activities and rating survey

The CRR methodology constitutes the following sim

Rapid assessment on suitability Identify and select commune and basic service/s Identify scope and purpose Select and organize local implem Design questionnaires Conduct training and c

Presentation, forum, dialogue and advocacy campaign

if no progress


Develop sampling frame Conduct CRR survey Process and analyze CRR data Dissemination of CRR results: submission to CC, public meeting, media

Provide technical assistance/monitoring of CRR implementation

participatory rocess for the selection of target communes is carried out using a rapid

commune for CRR. Practi

Advocate reforms/changes based on CRR results Institutionalize local pressure groups

Initiating learning events on grassroots advocacy There are many entry points for the CRR project. It could be initial probes into basic social services, administrative services, infrastructure projects, budget expenditures, performance etc. whichever are of more relevance to citizens at local level, regardless of who is doing or providing the service. A passessment tool to gauge the suitability of the

cal approaches of project operation

11..

2

Random survey of households to obtain a rating of service across various measures of awareness, access, satisfaction;

2.. ns’ perceptions on the performance of CCs in general; Assessment of citize

33..

organizing and nalyzing the data and converting them into rating reports, presenting the rating

report to key decision makers at the commune level, and launching an a issu

eep alive relevant issues affecting them

key constraints or problems in the delivery of targeted services.

Assessment of citizens on the improvement of their lives under local governance reforms.

In the field application phase, local NGOs, CSOs or citizen groups will actually implement the CRR by organizing and preparing a CRT through field-based training on CRR processes, facilitating actual data gathering, a

dvocacy campaign to address the es identified in the CRR.

Within each commune during actual field application, the implementer will facilitate the selection and organization of a group of local residents as collaborators in the CRT, with the task of implementing the commune rating survey. In every commune, a CRT will receive echo trainings from local NGOs in the provinces. The idea of forming the CRTs is to institutionalize local people as pressure groups in each commune to

49

kand conduct grassroots advocacy work to demand solutions and improvement. Local NGOs, together with CRT members, will facilitate the assessment of basic services in the target communes. The assessment includes a

mapping of existing local services, identification of service beneficiaries or users, and

At the commune level, the CRR can be implemented with the assumptions that: a. d There will be active commune-base

organizations that will work with the partner NGOs in the field application phase. If not, there should be at least 10 commune citizens interested to conduct the field survey.

b. A CRR facilitation team will move around the target provinces or communes during the field research phase in order to provide technical assistance and facilitate problem solving relating to field issues and concerns that people may face during actual work.

c. ies Implementing partners, communitor citizen groups will be encouraged to program their work in such a way that the series of activities to be conducted is completed on time.


50

Based on these inputs, implementers and surveyors can develop a draft in e, beexercise.

Implementers

terview schedul to subject to pre-testing prior to its actual use in the

ilitate and implement the CRR.

hese organizations are encouraged to implement

National and provincial NGOs, local CSOs and citizen groups could facTthe CRR initiative based on their willingness to do so where they work.

Target areas

munes or new communes here they plan to work with by starting from one

The target area of this initiative includes communes. For the selection of target communes, CC officials, local NGO representatives, CRTs and other local leaders are invited and encouraged to take part in a participatory process assessing the suitability that leads to the identification of target communes. The assessment will be guided by a rapid assessment scorecard. The selection process will look into preconditions, consisting of willingness of CC officials to respond to feedback, levels of civic dynamism in the commune, and presence and strength of local CSOs in the commune. Implementers could choose their existing target comwcommune and building up to an adequate number they feel is manageable.

Beneficiaries and

target groups

gh information and education and, onsequently, by implementing initiatives to demand

local NGOs based in the rovinces and districts whose capacity to promote

s. Finally, the mass media are targeted as a support mechanism and are expected to play a critical role in

ocate enough space in eveloping very flexible action plans, considering the unpredictability of field

Ultimately, the target beneficiaries of the project are ordinary citizens (service users) in the communes, whose awareness and understanding of rights and responsibilities as citizens have to be either changed or enhanced throucresponsiveness and accountability from those they voted into power. The CRR also targets psocial accountability can be enhanced through various learning events. Local government and service providing agencies are advocacy targets for social accountability initiative

articulating advocacy issues identified by the CRR. Action plan To facilitate the smooth implementation of the field research and advocacy activities, the CRR implementer must prepare a generic action plan to guide operation in target areas. Local NGOs must alld


51

rea .action plans must include at least the following tasks:

lities However, it is strongly recommended that all implementers in their

11..

2

Conducting rapid assessment of communes on the suitability of the CRR initiative.

2.. d selection of local implementer or CRT or citizens e.

Identification angroup in the commune to implement CRR initiativ

33..ive.

Identification and selection of target communes and negotiation and lobbying with CC for endorsement to launch the CRR initiat

44.. nd design of

55.. 66..

77.. 88..

Identification, selection and validation of basic services aquestionnaires.

Preparing MOU for sub-contractor if necessary.

Orientation trainings on the concept and methodologies to implementers – NGOs, CRTs, CCs and service providers.

Involvement of CCs in all stages of the process.

Promotion of the CRR in the commune and to the public.

99..

1100.. l

Plan for actual field rating survey includes orientation on survey and sampling method, orientation to respondents, task assignment among CRT members, validation and consolidation of data and information etc.

Field-level technical assistance, coaching and advice to locaimplementers regarding questionnaire orientation, field survey application, data analysis, validating results and packaging CRR results for presentation during the implementation.

1111.. s or Presentation, forum and dialogue to present and validate resultfindings of the CRR survey.

1122.. the media.

1133.. Grassroots advocacy training and utilization of CRR results as take-off point for advocacy campaigns to address issues identified in the CRR.

1144.. Disseminating methodology and experiences of CRR implementation to a broader constituency to encourage replication of the process to relevant stakeholders and the media, and conducting general assembly meeting in the commune.

1155.. Monitoring and evaluation activities and maintaining sustainability.

1166.. Strengthening network of local groups.

1177.. Work with media and other local NGOs on policy advocacy.

Dissemination of CRR findings to relevant stakeholders and

Module 4:


Module 4:

Objectives of the module To make participants aware of processes and activities in CRR implementation.


The cycle of the process in implementing the CRR and the flow of activities required to carry it out;

A detailed description of how each activity will work ; Some advice for success; Management and implementation of the CRR.

4.1 .3

The CRR process

Training, preparation and orientation

Field activities and rating survey

Presentation, forum, dialogue and advocacy campaign

Evaluating the progress and improvement

if no progress

52


Phases and sets of activities Sets of activities in each phase are not necessarily put the order of execution: this can be flexible. Some activities take place continuously and therefore crosscut all phases and some others can be carried out simultaneously. The number of these activities depends very much on who undertakes the process. Phase 1: Training, preparation and orientation

Conducting rapid assessment of communes on suitability for the CRR Identification and selection of target communes Negotiation and lobbying for endorsement and launching Identification, selection and validation of basic services Designing of questionnaires Selection of local implementing organization Organization of CRT Preparing official MOU and contracts Conducting training of trainers on concepts and methodology Promotion of CRR in CCs and in public

Phase 2: Citizens’ rating survey (field activity)

Prepare action plan for citizens’ rating survey in the field Design sampling of respondents Conduct training, coaching and orientation Conduct field survey Validate results, analyze data and produce rating report Monitor and provide ongoing technical assistance

Phase 3: Presentation, forum, dialogue and advocacy campaign

Conduct assembly meeting with CCs and service providers Organize advocacy work Institutionalize and strengthen local networks, maintaining sustainability

Phase 4: Evaluating the progress and improvement

Evaluation activities Dissemination and replication

4.2 .3

How is each activity actually carried out?

53

Activities that are described below are not in

sequence!

Activities do not necessarily need to be carried out in order. It can be flexible. Some activities take place continuously and

therefore crosscut all phases and some others can be carried out simultaneously. Implementing organizations can decide

which activity they want to start with according to their convenience. The number of activities depends very much on

who undertakes the process.


Activity 1: Conduct rapid assessment of communes on

suitability for CRR The implementing organization of the CRR initiative should conduct a rapid assessment in order to check the appropriateness of implementing the CRR in the commune. This assessment will be an opportunity to observe and appraise perceptions of CCs, commune residents and other local development players regarding selection of the proposed commune for CRR implementation. This requires a participatory approach to allow commune councilors, local leaders, civil society representatives and residents to assess the suitability that will lead to identify the target communes undertaking the CRR initiative. The assessment is guided by a rapid assessment scorecard and will look at whether the following preconditions prevail or not:

Willingness of CC officials to respond to feedback Level of civic dynamism in the commune Presence and strength of local CSOs in the commune Existence of basic social services Appropriateness Timing Acclamation Other facilitating factors

Staff must be proactive in preparing scorecards and questions and making appointments in advance. The implementing NGO should arrange meetings with individual CC officials separately or a joint meeting can be arranged. Aside from the staff, commune0based implementing organizations can request village chiefs, CCs, local CSOs or citizens to assist in the arrangements.

Activity 2: Identification and selection of target communes The commune is the primary target and the entry point for this initiative. After rapid assessment, the implementing organization could identify which communes are suitable for implementing the CRR. The selection will be based on the set criteria. The implementing organization may consider choosing communes where it works or may decide to select new communes. This way it can start from one commune until it is satisfied with the number of desired target communes. The maximum number of desired target communes depends on appraisal of manageability. Three to five communes should be manageable for one implementing organization. Calibration could be based on results of the rapid assessment or baseline information that the implementing organization has related using simple preferred criteria. In case of the need to choose new communes, the implementing organization can approach CCs for endorsement or district authorities or the Provincial Local Administration Unit (PLAU) for assistance. It is advised that the implementing organization takes a large number of communes for consideration and then, following a proper screening process, selects the number it wishes to administer. The selected communes must meet at least half of the prescribed of criteria.

54


Some criteria for selecting target communes • Willingness of CCs to respond to feedback • Leadership orientation of CC chief • Level of civic dynamism or high level of commune activism • Presence and strength of NGOs etc. • Existence or availability of basic social services • High local demand • Very low level of development • High level of dissatisfaction • Appropriateness • Timing • Acclamation • Accessibility of media • Other facilitating factor/s

NOTE Identification and selection of target communes are

resolutely connected to the simplicity or difficulty of the CRR operation. The number of communes selected should fit the ability of the implementing organization, its staff, financial resources, time and managerial capacity.

The implementing organization must clearly state that political representation is not a criterion for selection!

Activity 3: Negotiation and lobbying for endorsement and launch

Negotiation and lobbying Rights of citizen for participation are guaranteed in the Constitution, law and government policies on decentralization being adopted by the government. Since its pilot phase, the Ministry of Interior has provided authenticity and encouragement to the CRR initiative. At the local level, however, the implementing organization needs to make consultations with CCs or commune chiefs regarding launching the CRR activity in their respective commune. The implementing organization should set a formal special meeting with the CC or make a request to propose the CRR subject on the agenda in the regular CC meeting. Following a maximum of half an hour of presentation on the proposed CRR initiative, lobby with the councilors for their support. In some areas, the implementing organization can speak to the commune chief before formally bringing the issue to the meeting. If needed, the implementing organization may seek approval from the district authority or PLAU. Explain about the project clearly: note that it simply aims to score the quality of services, disregarding whom these are provided to. The project should be seen as a support mechanism for the service provider rather than, for example, investigating wrongdoing. Be clear that the CRR initiative is similar to any other local development activity, and make it very clear that this has nothing to do with politics and as such has no affiliation with any political party or group. Promote the initiative as a good mechanism for collecting public opinion which provides constructive reflection on what CCs have done, to help CCs in designing better plans and projects. Make sure commune councilors welcome

55


the initiative fearlessly and with interest and do not look at it as an instrument for public embarrassment and insult.

In what ways does the CRR initiative support the CC? Some relevant explanatory points for implementing organizations: • It helps CCs be aware of the needs and concerns of people • It provides a link to connect people with CCs • It supports CCs to achieve success through constructive monitoring and reflection,

the best way to ensure success • It tells communes what is right, what is wrong • It breaks the cultural passivity of people, builds consciousness and encourages

them to take active part in commune activities • It helps improve performance of commune councilors which can help them be re-

elected in the next mandate • It gives CCs constructive ideas from the citizenry • It helps CCs to make decisions based on public opinion • It builds the strength of CCs to monitor and coordinate activities of other service

providers

CRR is not a tool of conventional resistance to local government but it helps improve its performance not only in administrative affairs but also in the delivery of basic services. It also enhances its reputation as responsive government. The specialty and importance of CRR is promotion of transparency, responsiveness and participation.

NOTE How easily CCs accept the CRR also depends on history of partnership between the implementing organization and the CC. A good record of cooperation and trust relieves the CC and builds a favorable environment for CRR operation. In the beginning, CCs may feel the project comes to criticize and interfere in council activities, and to pump up the people to investigate the “doings” of the CC. CCs may also worry about the unpredictability of CRR results, which may criticize them, or become confused about whether it is supportive and instigative. A proper explanation of the purposes of the project can clear up such confusions.

Launch The CRR launching ceremony is normally organized at the national or provincial level if the implementing organization feels it necessary to do so. In most cases, organizations just start the process. Following CC endorsement, for coordination purposes and to get the CC fully on board, the implementing organization needs the CC’s informal confirmation, verbally or by letter, of the schedule of CRR activities.

Mobilizing and using media, here! During the initial phase of CRR implementation, it is important to mobilize the media. This helps inform the government at national and local levels about the CRR and convince officials of the sincerity, good intentions, importance and usefulness of the CRR. The media helps build a conducive environment and disseminate

56


the CRR to the public. This could raise public awareness and prepare people to take part enthusiastically in the CRR process.

Activity 4: Identification, selection and validation of basic

services There are many entry points for the CRR project. It can probe into basic social services, administrative services, infrastructure projects, budget expenditures, performance etc. that are relevant to citizens at local level, regardless of who is doing or providing the service. The primary purpose of the CRR is to rate a number of basic social services and some subjects related to CC performance. The kind of services to be evaluated must be identified and selected in a participatory way. It is advisable to hold consultation meetings with CCs, village chiefs and citizens. In fact, selection of services should be based on existence in communes, especially in rural areas. In this regard, existence of services is a precondition to selection.

57

Example of services that could be selected for the rating survey • Health services • Primary education • Potable water systems • Small scale irrigation • Rural road projects • CC meetings • Administrative services etc.

In each commune, the implementing organization may select two to three services for the rating survey. The selected services can vary from one commune to another depending on existence and availability. In some communes, selected services may be the same but they may differ with respect to size and other measures. The identification and selection of service must be relevant and match the needs of local residents as well as communes. Services should also be in the mandate or under the management provision or supervision of the CC. For this reason, selection requires participation of CCs and citizens, especially women.

NOTE: In most cases, services are not delivered by CCs, but these

hold the authority to coordinate and facilitate provision. Therefore, CCs are also accountable to people with respect to service delivery even where they do not directly provide a service to residents.

Activity 5: Design of questionnaires

For simplicity's sake, questionnaires should be designed individually for each service. The number of services selected in each commune determine the number of different sorts of questionnaires to be used in each commune.


For example: If one implementing organization selects three communes to implement the CRR and in each two services are identified and selected for evaluation, some services may overlap and some may be different. The number of different sorts of questionnaires depends on the number of different kinds of services.

Commune Service in each commune Total of different kinds of services Commune A • Health services

• Primary education Commune B • Health services

• Potable water systems Commune C • Primary education

• Rural road projects

• Health services • Primary education • Potable water systems • Rural road projects

There are 4 different kinds of services totally in this case so the implementing organization needs to design 4 different questionnaires for the rating survey. The amount of questionnaires used depends on the total number of respondents selected for each service.

A good way of designing the questionnaire is to involve partners and CRTs in the process and discussion so that they are familiar with it and can easily elaborate during the field survey. A good questionnaire should consist of questions which are easy to understand and to ask, relevant to the issues it probes. A set of guiding points to consider during design of the questionnaire survey is below.

Questions should probe reasons for people's displeasure, highlight deficiencies, weaknesses and interruptions in service delivery and seek recommendations on how these could be improved. Questionnaire design for particular services must be in accordance with targets. The table below looks at targets for the assessment according to each basic social service.

Basic service Consideration targets Quality and adequacy of classrooms, adequacy of books and other learning materials, conduct and punctuality of primary school teacher

Primary education

Hand pumps and wells: installation, distances from homes, efficiency, preferences of people, maintenance and management

Potable water system

Immunization, maternal and childcare consultation services, family planning services, provision of free medicines by health center in communes

Basic health service

Culvert, canal, pumping stations: management, distribution, mechanisms for sharing, design, construction, usage, maintenance and fee collection

Small-scale irrigation

Farm-to-market roads or roads from communes leading to major roads: construction, local contribution, roads passable, maintenance

Rural roads

Total

Guiding points to consider during design of the questionnaire survey • Prepare in a simple way and format • Start with proper introduction and clear purpose • Use local language which respondents can easily understand • Questions should be simple and easy to understand, ask and explain • Technical and strong words should be simplified • Using open questions where possible • All questions should be relevant and useful for the issues probed

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Activity 6: Selection of local implementing organization The local implementing organization simply refers to provincial local NGOs which work in the area of decentralization, local governance or public sector reforms and are familiar with the issues of CCs and local affairs, especially in social service delivery. Local implementing organization also refers to CSOs, CBOs and citizen groups in districts or communes or villages. Who selects whom in this regard depends on what level the CRR will be introduced at and who will start it. Some criteria must be set to select local implementing organizations or implementing partners. Those criteria should be:

Some criteria to select local implementing organizations or implementing partners • They must be small local NGOs, CSOs, CBOs or citizen groups • Based in province, district or commune where the CRR will be anchored • Working on decentralization, local governance, public sector reform • Familiar with issues of CCs and local affairs, especially on social service delivery • Work with CCs • Willing to implement the CRR • Have enough resources to carry out the CRR activity

Activity 7: Organizing the commune research team (CRT)

CRT members are the surveyors during the actual field rating survey. The selection and formation of the CRT is important. Questionnaires are just tools to seek answers but do not in themselves guarantee that answers will emerge. The quality of information depends on the capacity of CRT member to quiz, explore and probe. The selection of CRTs should be flexible, based on the real situation of the respective commune. Implementing organizations could set up selection criteria and processes according to their preferences. Ordinary permanent residents in each commune are the most suitable CRT members because they know the situation in the commune. In particular, they know each other and it is easy for them to make contact during implementation. Respondents will feel familiar with the interviewers and will be quicker to answer. Women should be considered a priority in selection and formation of CRTs. The involvement of CC members and the members of planning and budgeting committees of CCs should be considered carefully, as this could restrict the self expression of respondents during field interviews; respondents may answer positively but the reality may be different. CCs can help in identifying potential people for selection and interview. There are different ways to identify and select CRT members. Implementing organizations could announce general application, or base this on the recommendation of CCs, or look for people in implementing organization communities. After selection, implementing organizations could sign a contract

59


with members for official recognition. Some points to consider during the selection of CRT members are indicated in the table below. CRT members should be

selected based on at least some of the criteria

below

Some people are suitable for consideration as members of CRTs

There are different methods for selecting

CRT members

• Knowledge of commune and village

• Volunteer based • Can read and write • Women as priority • Competency based • Not in public position • Actively involved in

development work • Age 20-40 years old • Good interpersonal skills • Willingness • Ordinary citizen • Permanent resident in

commune

• Group leaders within each village of the commune

• Members of CC and planning and budgeting committee

• Community activists • Women • Teachers • Active ordinary citizens

• Announce general application, interview, select and sign contract

• Commune chief joint interview and selection of CRT members

• CC help to identify and implementing organization selects CRT member from list recommended by CC

• Candidate comes to test exam to write essay

• Identify and invite candidate to interview

• Select large number of people from commune and interview

CRTs should include around 10 people as collaborators or researchers. Among these 10, there must be a vote or selection of a team leader. Women should be encouraged to be members. Forming CRTs aims to institutionalize local people as groups of force in each commune to work on local issues which affect them and to carry out grassroots advocacy to demand solutions and improvements. CRTs can make up a strong local network of local citizens within each commune.

Activity 8: Preparing official MOU and contracts After agreement, if needed, a MOU should be prepared and signed between the CC or commune chief and the implementing organization for each commune. If the implementing organization is a national NGO, it could work directly with CRTs in the field by itself, or sub-contract local provincial NGOs to do this. In this regard, they need to prepare a MOU and contract such local NGOs as implementing organizations. In case the starter is a local NGO, these also need to have a MOU with target communes and contracts with individual CRT members. After selection, implementing organizations can sign contracts with CRT members for official recognition.

A MOU with CCs and a contract with CRTs is optional. Whether or not you want to have this depends on the nature of your implementing organization. Sometimes, too much formality can restrict natural ability and productivity.

As mentioned previously, implementing organizations need to prepare official MOU and contracts accordingly. The contract must be clear and MOUs should be simple, clear and not too complicated, so that they can be agreed upon by

60


both parties. The documents could include information on purpose, responsibility, financial support, timeframe, scope of work, etc.

Activity 9: Conduct ToT on concept and methodology A key condition for the success of the CRR is proper training and orientation to implementing organizations, CSOs, CRTs, CCs and service providers. This requires all actors involved in the process to participate in training of trainers (ToT) on CRR concepts and methodology. This could entail one long training session or a series of trainings at national or regional level. Learning events could include lectures, role play, workshops, film showings, survey exercises and field practice. Before conducting ToT, the following points should be considered:

Training must be conducted in an appropriate time span and in a participatory way in order to increase levels of cognition and absorbance.

Time and topics must be appropriate for ordinary people who have never been involved in such activities.

Commune councilors and commune chiefs must be invited to attend trainings and preside over the opening to benefit from their enthusiasm and acknowledgement.

Training should take place close to the field survey schedule to keep information clear in trainees' minds.

The orientation training schedule should be flexible, as people in different places may busy at different times.

The training should be broad in content or should represent continuing capacity-building activities. Content should include: knowledge of local affairs, research and survey techniques, orientation for ordinary people, media mobilization, and coordination of advocacy work,

Activity 10: Promotion of the CRR in the commune and in public

61

Promotion of the CRR regards ongoing activities, taking place across the process. This is about explaining the positive purpose, advantages and usefulness of the CRR to all stakeholders. Promotion increases people's levels of acceptance and internalization, and gains the recognition of the people, of CCs and of service providers. This allows people to value the CRR as a mechanism to promote public participation and to enable citizen feedback on service

There are different tools and activities to promote the CRR, such as:

Seminars Workshops Informal talking Public meetings Focus group meetings Mixed group meetings Village, commune or provincial meetings Information dissemination Use of commune administration: CC

meetings, councilor visits, village chief dissemination

Campaign activities Performance Mobile spokesman and Media


delivery. It also allows people to become acquainted with the CRR's methodologies.

Mobilizing and using media, here! Although there are different ways to promote the CRR, the most effective one requires the implementing organization to work closely with the media. Using the media can help the implementing organization reach a larger population and attract more attention than using other means can. Working with the media allows for different forms of information, which could include bulletins, newspaper articles, radio broadcasts, TV spots, etc. This can also help implementing organizations to document and keep records of people's perceptions and feedback on the project.

Activity 11: Prepare action plan for field rating survey Preparing the action plan for actual field survey is about arrangement of the time frame for surveying, sampling respondents, task assignment among CRT members, validation, and consolidation of data, etc. Time allocations for each activity during actual field implementation for each commune might follow the table below.

Activity Average timeframe Remarks

Selection of CRT members 1 week Include announcement, identification, interview and

selection Orientation training 2-3 days In-class training and field

exercise Field rating survey 2-3 days Could be more flexible

depending on implementing organization

Consolidation of data and information

3 days Include tabulation, analysis and report writing

Conduct assembly meeting or dialogue with CC

1 day Present and validate findings

The preparation and execution of each activity during field work should be based on the actual situation. The schedule for field activities should be regulated to coincide with times when people are free from their work in the fields. The gap between one activity and then next should not be too long, otherwise those involved in surveying might lose concentration.

Activity 12: Sampling of respondents

62


The number of respondents per commune varies from commune to commune, depending on the size of commune and the number of villages within each commune. The implementing organization should look to work 20-30 families per village, so that the total number of respondents in each commune equals 20-30 families multiplied by the number of villages within each commune. Methods for selection of respondents may differ according to the implementing organization. These could include random selection, accidental selection, simple selection, representation selection, geographical selection and lucky draw selection. The table below reflects the different numbers and methods in CRT selection and CRT activities. Size of CRT 10 people Respondents interviewed per CRT member 15-20 people Time spent with each respondent 30 minutes Number of respondents per commune 20-30 families/village

# of villages/commune Methods for selection of respondents 1. Random selection

2. Accidental selection 3. Simple selection 4. Representation selection 5. Geographical selection 6. Lucky draw selection

Activity 13: Conducting training, coaching and orientation Orientation training for CRTs and others should take two to three days. Knowledge of research techniques, roles and responsibilities of CCs and decentralization, and communication skills, is of great importance for CRTs, who need to be confident to explore people's idea on basic services. Training could be in groups or one-on-one. After training, the implementing organization should organize a meeting to introduce CRTs to commune chiefs and councils. Content of training for CRTs should cover: Basic knowledge about decentralization, roles and responsibilities of CCs

How to use questionnaires Data gathering skills Field interviewing Note taking, organization Data analysis

63

Organizing and facilitating general assembly meetings Communication

Who should attend the orientation?

CRTs Ordinary citizens CCs District officials Provincial officials Service providers Media actors


NGOs and CBOs Elders and monks

There are three different stages for orientation for ordinary citizens:

.

. During the field survey, surveyors should give a good introduction to ose clearly.

bi

ducational, then, the media can help make the

1 Obtaining information about the CRR through different kinds of media. Some may not have time or lack of access to media.

2. Some may learn from public meetings or other promotion activities.

3orient the respondents to understand the purp

Mo lizing and using media, here! The media always plays an important role in raising public awareness so keep them informed about activities. Write articles or invite them to orientation. This can add value to transparency and openness. With media coverage or involvement, people can see that the issue is an open one. As well as being e

Orientation to ordinary citizens Orientation to ordinary citizens, especially those in villages where basic services will be rated, is very important for the field rating survey. If people do not have a full understanding of the CRR purpose and objectives, they can not provide meaningful answers to the survey. Implementing organizations have to make sure that ordinary people, who will be the respondents, clearly understand:

Purpose, objectives and what the CRR is about Local basic services and targets to be rated How information will be collected How information will be used Right to express themselves Importance and benefits Integrity and nonpartisanship of the organization or groups Authentication and legitimacy Other positive aspects

Orientation to ordinary citizens could be done through:

Public meetings Focus group meetings or mixed group meetings Village meetings, commune meetings or provincial meetings Media and information dissemination Use of commune administration: CC meetings, councilor visits, village chief

dissemination Campaign activities Mobile spokespersons

Organizers could invite ordinary citizens separately or mix them with others. This depends on the actual situation or own preference.

64


p

65

roject more attractive. It is important that the media knows the schedule.

Acti

can ivide itself into small teams of three to four people, responsible for different

e spondents, CRTs should start with a proper introduction. They must be good

CRTs could make appointments in advance or go to meet respondent by hance. They need to prepare enough copies of the questionnaires and have

NOTE:

tion services whereas men may have more experience of being the primary user of small-scale irrigation or rural roads. Not all

Activ , analysis and production of report

ting organization, CRT members, nd CC members organize a meeting. They could all be involved in counting,

to percentages and the requests and uggested solutions are to be summarized. In general, survey results will be

vity 14: Conducting the field survey

The size of the CRT is on average 10 persons, although this can vary depending on the size of the commune. In the actual survey, the CRTdvillages. Each member of the group is responsible for interviewing 15-20 respondents. This, too, can vary from commune to commune and village. In one commune, around three kinds of social service are selected for rating. As such, each CRT member should bring all relevant questionnaires. CRTs should ask about each service in turn to avoid confusion. They can speak older people or children in the family, depending on the kind of service and purpose of the questions. The most important thing is that they ask those who are the primary users of the particular service. Try to match the service to the user or the user to the service to enable quality and meaningful results. To encouragreat asking questions in a happy environment. Make sure that respondents understand the purpose of the questions, which should be elaborated clearly.

csufficient access to other necessary materials.

Women should be encouraged to provide answers. Remember, however, that women tend to be good at providing feedback on health and educa

respondents are primary users of all services. ity 15: Validation Consolidation of results Implementing organizations are responsible for producing survey results with the involvement and assistance of the CRTs. After the field survey, the best way to consolidate results is to allow the CRTs (surveyors) to tabulate the completed questionnaires. The team leader sends information to the implementing organization for consolidation. The implemenachecking, validating and correcting data. This can ensure that there is less suspicion and increase levels of recognition. Results of tabulation are to be calculated ins


divided into three parts: satisfaction, dissatisfaction and requests, according to each individual social service and subject. CRTs should b

66

e involved in the whole process of tabulation, summarizing, nalysis and interpretation of data into the rating report, so that they can be

y data and information are organized and converted into

s into recommendations. During report writing, the plementing organization may seek advice from others on how to interpret

ndings. The rating report should be publicly disseminated after validation with serv

NOTE:

n of result, so that they can see results for themselves. This encourages for trust among CCs and service providers and can assure them that results are not

Activ

onitoring helps to keep implementation on track, so this activity should be

should be set periodically in order to coach and dvise local implementing organizations regarding questionnaire orientation, eld survey application, data analysis and report writing, preparing for

Activity CC

ormal assembly meetings at ommune offices to present the rating reports

ied. Details of the assembly eeting must be properly recorded and

afamiliar with the warating reports. Writing the report A report format must be developed for report writing. After results are consolidated, the implementing organization has to produce a report on the findings and translate resultimfiCCs and ice providers.

It is good to involve CCs and service providers in consolidatio

fabricated.

ity 16: Monitoring and continued technical assistance

Mproperly planned and implemented at all stages in the process. Monitoring is an ongoing activity. Field monitoring and visits afipresentation, advocacy etc.

17: Meeting with s and service providers

Conduct f

Before the assembly meeting, the implementing organization should answer the following questio cns:

1. Is the report ready? and people's requests to CCs and service providers. Service providers, citizens, CSOs, CBOs, CCs, village chiefs and key decision makers should be present, along with those working at commune level. The composition of and number of participants in the meeting must be clearly identif

2. Appointment with CCs? 3. All relevant people invited?

Councilors, service providers, media, etc.

4. Are all invited people coming? 5. Who is presiding over the

meeting? 6. Who will take the minutes? 7. Do we have good tactics for

presentation? 8. Do we know clearly what people

want? 9. Do we have arguments prepare

md?

disseminated to those attending and to other relevant actors.

10. Do we have instruction and rules for the meeting?

11. Are the time, place, number of people, logistic arrangements and documents in place?


67

presented gently. In the meeting, try to argue for onsideration of points to be improved by CCs or service

ies are separately assigned. In this exercise, ouncilors can constructively work with each other and strengthen

ation should have follow-up plan and keep good communication with rvice providers, people and media.

ensure that CCs and service providers present rmal responses to issues arising rather than avoiding plying.

NOTE:

undesirable outcomes. eetings should start with a good introduction and

instruction, and then get to the point.

Activity 18: Advocacy

k with the knowledge and tactics to lobby local government and service roviders. This should be conducted at a level whereby ordinary people can

Findings in the rating report and comments of commune residents should be cproviders. Keep records of all promises. CCs can use information for commune development planning. This reflects on the individual roles and responsibilities of commune chiefs, first deputy chiefs, second deputy chiefs and others in the commune administrative structure, as their functions, roles and responsibilitcmutual performance. After the meeting, the implementing organiza clearCCs, se Mobilizing and using media, here! The media can be very important in terms of witnessing the assembly meeting. The media can capture and document such events and helps record all that occurs, such as discussion, elaboration, agreement and promises, as well as acting as a witness to future actions. The presence of the media canfore Make sure that participants in the assembly behave properly. Avoid personal attacks, shouting, irritation or scolding. Do not connect specific issues to government leadership. Such interpretations and attitudes could lead to tension or nullify the results of the assembly, leading toM

Conduct grassroots advocacy training Immediately after the survey is finished and the rating report has been produced, grassroots advocacy training should be conducted to equip the local networplearn. The targets of the grassroots advocacy training are CRT members, local NGOs and CBOs. Trainings on grassroots advocacy can be conducted by implementing organizations or be jointly organized by a variety of implementing organizations. They should focus on practical activities which people can


68

Grassroots advocacy

should be well coordinated

and backstopped!

y gion, depending on the number of participants in each province. Active CRT

uld be a priority for attendance.

vities initiated by local people, owever, must be well coordinated and

results by themselves. In essence, this provides CCs and

Conduct assembly meetings with CCs and service providers to present demands and negotiate for change.

Send report to relevant people, PLAU, district authorities or provincial actors

ith CCs and/or service

s to decision makers, at

e

r comparative

entry points

actually use; people could help carry out the training rather than the training being purely theory based. Training might be organized by province or bremembers or potential community leaders sho Initiate grassroots advocacy campaign CRTs or citizen groups must be encouraged toinitiate grassroots advocacy campaigns or activities using the results of the CRR. The results of the CRR can be used as a source for many advocacy activities. Actihbackstopped. How to use the results of the CRR? CRR results can be used for advocacy in the following ways:

Involve CCs and service providers in consolidating results, so that they can read the ratingservice providers with trust and confidence that rating results and reports are not fabricated.

Organize forums to inform people and discuss issues affecting them, forming a force to demand effective service delivery.

CCs, service providers, and media, who may have influence on the

improvement of services.

In other circumstances, make appointments wproviders for critical dialogue towards improvements.

Results could be use for making presentationcommune level or to competent authorities.

Propose issues from the report on thagenda of CC meetings, district meetings or technical sector meetings.

Keep the report as a tool fochecking and gauging and monitoring the level of improvement.

Use issues in the report asfor form partnerships among CCs,

service providers and citizens for dealing with common issues.

The results of the CRR will serve as a basis for critical dialogue with local government officials and other decision makers. Results are also shared with citizen bodies, other NGOs and the media. NGOs or citizen groups using the rating reports are expected to educate and mobilize the media, other public interest groups and the citizenry at large to facilitate mechanisms for to enable citizens to develop a voice and be able to express themselves. Initial rating reports can then serve as benchmarks to measure improvements and performance over time. The results of the CRR will be used as a take-off point to advocate for reforms and changes.

Use results as proof to demand people's participation in monitoring or taking part in decision making in local basic service delivery.


Use the report as evidence to support policy advocacy or as a source of evidence for sector advocacy.

Rather than just blamin

69

g and demanding, the report could be a basic source

e a statement or petition letter to mobilize

viders

o To form recommendations for improvement of performance of CCs and

ork with media and other local NGOs on policy advocacy to improve

ocating for change.

lp hold CCs and service providers accountable. This can add pressure and make positive

Activ lizing and strengthening local

ey keep motivated and learn to work as a team. Try to

for developing lessons or learning materials for capacity building for CCs and service providers.

The report is evidence to maksupport to advocate for change.

Moreover, results can be used:

o e pro As baseline information for the evaluation of serv To write formal letters to CCs and/or servic

o ices o To form benchmarks for service providers o As a source for producing articles for the media o As information to organize press conferences to present issues to the

public o As strong evidence for campaigning, demonstration or protest to demand

change and improvement

service providers, of policies for better performance, or of quality of services

Wthe policy framework. At national level, the implementing organization should work with the media and other NGOs by translating findings into evidence for policy advocacy. The results of the rating survey are envisaged to serve as a basis for critical dialogue with CCs, service providers and other decision makers at commune level. Results are also to be shared with citizen groups, other NGOs and the

assumption that these will use them to educate and mobilize othermedia, in the public interest groups and the citizenry at large to facilitate mechanisms to help citizens develop voice and express themselves towards adv Mobilizing and using media, here!

Whatever advocacy activities you carry out, you should make sure the media is informed and involved, as a powerful instrument which could he

outcomes more realistic.

ity 19: Institutionanetworks and maintaining sustainability

To make advocacy stronger, encourage the people to speak out on their own behalf. There will be a need to institutionalize and strengthen local networks and activate them as a local movement for the demand of good governance and good service delivery. For this reasons, meetings, capacity building and coaching should be continuously provided to the local network, and members should be involved in all activities related to local governance in their respective area, in order that th


e

70

quip networks with a sense of constant monitoring of service delivery and performance of CCs.

Activity 20: Evaluation activities

Mid-term and final evaluation must be in place to measure success and pacts, and to identify best practice and lessons learnt.

Activity 21: issemination and replication

f takeholders for replication. There are

to

s can be through printed articles on lessons learnt, best practice,

, etc.

process

Negot

adly to the public. This can raise public awareness and allow local people to

nted on their behalf. Promo

more, this can help the implementing organization to document and keep

nd feedback regarding the project.

im

D

To popularize this initiative, there is a need to disseminate and replicate the CRR methodology, experience, findings, lessons learnt and best practice to a broader group osmany ways disseminate the CRR.

Mobilizing and using media, here! The media will help with wide dissemination of the CRR. Thi

experiences, methodology etc., access to radio and TV

Seminars, workshops, meetings Presentations, informal talks Publications and distribution Information dissemination Campaign activities Mobile spokespersons Media

When to use the media throughout the CRR A number of CRR activities really need the media.

iation and lobbying for endorsement and launch During lobbying and launching, it is important to get the media involved. This helps inform the government at both national and local level, about the positive factors involved in the CRR. The media can help to persuade officials and CCs and convey the sincerity, good intentions, importance and usefulness of the CRR. This can help make CCs and other government officials feel more comfortable with the process, which can lead to their quicker endorsement of the project. The media can also capture the launching event and disseminate the message more bro

become aware that the project is to be impleme

tion of CRR in the commune and in public There are different ways of promoting the CRR. This requires that the implementing organization works closely with the media, as the media can help the implementing organization to reach a larger population and attract more attention than it might do so by other means. Working with the media means allowing for different forms of information, which could include bulletins, newspaper articles, radio or TV spots, etc. Further

records of people's perception a


Trainin

attractive. Most importantly, the media need to know the

Meetin

providers give a formal response to issues arising

than avoiding replying.

Advoc

is a powerful instrument which can help hold CCs and service providers accountable. This adds pressure

realistic.

DissemThey can

roduce printed articles on lessons learnt, best practice, experiences, methodology etc, or information for radio and TV, for example.

g, coaching and orientation The media always plays an important role in raising public awareness so keep them informed about activities. Write articles or invite them to orientation; this is good for adding value to transparency and openness. With media coverage or involvement, people can see that the issue is an open one. Aside from helping with education, this can make the project more

71

schedule involved.

g with CCs and service providers The media can be a very important witness to assembly meetings. They can capture and document the event. They will help to record all issues, such as discussion, elaboration, agreement and promises, and be a witness for future action. The present of the media can ensure that CCs and service

H ? ow to mobilize the media Look for local and national media

actors and connect with them Make friends with media actors List and keep all contacts of media

actors you have met Write articles for the media Make appointments for interview Keep media informed clearly about

the CRR edia with time schedule Provide m

of activities ood communication and Keep g

relations Know about different kinds of

media nformation and documents Make i

available and easy to access Invite them to parties as well as

work.

rather

acy Whatever activities you carry out in advocacy, you should keep the media informed and involved, as this

and makes outcomes more

ination and replication The media can help with wider dissemination of the CRR. p

4.3 .3

Some advice for success Below is some advice for success, from which CRR implementing

em to

organizations might benefit.

Involve CCs in trainings or formal project orientation to allow thbecome familiar with activities and willing to participate, and then to fully endorse the project. Provide proper orientation to CCs and citizens.


72

In the sampling of respondents, if possible, match the rating of a particular service with respondents who are primary users of that service, so as to gain more meaningful information from the rating survey.

The assembly meeting for presenting rating reports should include the participation of service providers according to the services identified in each commune. The meeting should be properly documented.

Data and information from rating surveys are converted into rating reports. Apart from using results as a basis for critical dialogue at local level and for advocacy purposes, they should serve as

a root for developing

, to enable them to negotiate

onnaires and

ake organized efforts to

arding options for improvements in service delivery. The model should be shared with international aid agencies and other donor organizations to enable it to be embedded in development aid interventions.

education materials to improve on weak points discovered by the rating survey and to build the capacity of CC. Identification of issues and capacity building should happen simultaneously.

Ultimately, the impact of the CRR will depend on the strength, commitment and persistence of the implementing organization and the CRT. Of urgent importance is the development of CRT skillswith service delivery agencies at district and provincial levels, to meet and negotiate with elected leaders in the communes, and to mobilize their respective communities to support the CRR.

The CRTs should be formed more formally to enable the creation of a grassroots movement that might increase influence on local councils and keep alive people's participation. It must be clear that political affiliation is not taken into consideration during the selection of CRTs. CRTs must be involved in the design and preparation of the project, especially the design of practical tools for actual field rating surveys, such questireport formats, etc. In the field, CRTs must have the confidence to carry out the research survey and, as such, must be well trained. Questionnaires and materials must be adequately supported

The CRR should not be taken as a standalone initiative. The tool is effective in monitoring the performance of government policy in terms of service delivery. However, there are social accountability initiatives in existence at each stage of the development process in the commune, and these should be explored. For instance, people’s participation in development planning should be increased to ensure that people’s needs are prioritized. Furthermore, citizens should mensure that people’s priorities as reflected in the plan can be implemented through budget allocations. In many cases, plans remain plans because they are not translated into budgetary priorities.

Article 26 of LAMC stipulates that the commune chief and the planning and budgeting committee must submit an annual report to the CC that, among other things, should include a description of the problems in basic social service delivery and options for improvements. In practice, however, CCs lack a clear methodology for gathering information along these lines. The CRR offers the potential to generate the information required, particularly reg

Module 5:


Module 5:

Objectives of the module

To familiarize and provide participants with a broader understanding of social accountability mechanisms and experiences internationally.

Expectations of the module It is expected that by reading the contents put in this module participants will have a broader understanding of:

Concepts and definitions of social accountability and mechanisms and dimensions;

Legal context of social accountability in Cambodia; Tools for promoting accountability; Experiences from case study: Bangalore, India: Citizen Report Cards

Towards the end of the training program, participants are to study these reading materials as home work. In the next day session they are asked what they understood from. A classroom discussion is organized to share learning. NOTE: The reading and learning materials presented in this

module are internationally recognized for wider dissemination. They are extracted here with due acknowledgement to the writers and publishers.

Reading 1:

Concept of social accountability1

Around the world, increased attention to decentralization and democracy has brought to the fore issues of strengthening citizen participation in local governance. While at first glance the theme may seem straightforward, in fact each of the core notions contained within the notion of social accountability is contentious. The two propositions below are intended to provoke some of this

1 Narayan 2000: Voice of the poor

73


debate in order to establish the rational, benefits and risks of social accountability. A key challenge for the 21st century is the construction of new relationships between citizens and their local governments. This means working both sides of the equation – that is, going beyond "civil society" or "state-based" approaches, to focus on their intersection, through new forms of participation, responsiveness and accountability. Enhancing accountability of local governments to citizens may seem to be another passing fad of donors and western democracy theorists. These concepts often have little grounding in the realities of many developing countries’ political and cultural contexts. The risks of these newer forms of accountability and participation outweigh the benefits. Moreover, there is little evidence of pro-poor development and governance outcomes. Poor people’s dissatisfaction with public service institutions relate largely to issues of voice and of accountability. Many poor people believe that state institutions – whether delivering services, providing police protection or justice, or as political decision makers – are either not accountable to anyone or accountable only to the rich and powerful.

Reading 2:

What is social accountability?2

Social accountability is an approach towards building accountability

That relies on civic engagement; Where ordinary citizens and/or their organizations participate directly or

indirectly in exacting accountability. Social accountability mechanisms can be initiated and supported by the state, citizens or both, but very often they are demand driven and operate from the bottom up. Social accountability mechanisms include many actions and tools that citizens, NGOs and media can use to hold public authorities accountable. Social accountability refers to a broad range of actions and mechanisms that citizens, communities, independent media and CSOs can use to hold public officials and public servants accountable. These include, among others, participatory budgeting, public expenditure tracking, monitoring of public service delivery, public commissions and citizen advisory boards. Evidence suggests that social accountability mechanisms can contribute to improved governance, increased development, effectiveness through better service delivery and empowerment.

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How does social accountability make a change? From coping to “voices” by citizens From “shouting’ to “counting” – need to quantify voice

and feedback From reaction to informed action From episodic responses to organized action From confrontational to “win-win” situations

Source: World Web Page: Participation and Civic Engagement

2 Source: Accountability International 2004


Reading 3:

Building blocks of social accountability mechanisms3

Negotiating change

Building public support

Going public/disseminating information

Analyzing information

Building and obtaining information /evidence base Mobilizing around an entry point

Social accountability encompasses an extremely broad array of actions that citizens can potentially take to hold government officials and bureaucrats accountable. These actions may be carried out by a wide range of actors (e.g. individual citizens, communities, parliamentarians, CSOs, media), occur at different levels (e.g. local to national), address a variety of different issues (e.g. public policy, political conduct, public expenditures, service delivery) and use diverse strategies (e.g. research, monitoring, participatory planning, civic education, media coverage, coalition building). Despite this diversity, social accountability approaches regularly feature processes of collective interest articulation and negotiation. Beyond mere advocacy, they often also try to build a convincing evidence base for public engagement. They normally comprise several (and, ideally, all) of the following key elements or "building blocks". Mobilizing around an entry point The first step of almost any social accountability initiative is the identification of an entry point and the development of a strategy whereby a priority problem can be addressed. The problem may be of a specific or general nature and may be identified at a local, regional or national level. For example, in the case of poor health service delivery, potential entry points might include national health budget allocations, corruption/inefficiencies within the national distribution system or the performance of local service providers or village health management committees. Each of these could be a serious bottleneck to delivery of health services. Potential strategies for addressing these issues could include, for example, budget analysis/advocacy activities, tracking of health inputs and/or expenditures, participatory evaluation of local health services, etc. Building and obtaining information /evidence base

3 Source: Enhancing citizen voice and client focus in governance and service delivery, a presentation by Reiner Forster, SDV of World Bank 2005

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Accessing or generating relevant information and building a credible evidence base that will serve to hold public officials accountable is a critical aspect of social accountability. Social accountability initiatives often involve obtaining: (i) “supply-side” data/information (from government and service providers) and (ii) “demand-side” data/information (from users of government services, communities and citizens). In accessing “supply-side” information (e.g. policy statements, budget commitments and accounts, records of inputs, outputs and expenditures, audit findings, etc.), the transparency of government and its capacity to produce and provide data and accounts are crucial. With regard to “demand-side” information, a wide variety of participatory methods and tools (e.g. community scorecards, citizen report cards, participatory monitoring and evaluation techniques) have been developed to generate data, while simultaneously serving to raise awareness and promote local-level mobilization and organization. Analyzing information Relevant data/information, once obtained, must be interpreted and analyzed in order to be rendered operationally useful. This may involve working with trained specialists (e.g. who can help to “demystify” budgets or disaggregate financial accounts) or using participatory methods to help community members or user groups analyze local data or collectively evaluate public services. In either case, the goal of the analysis is to produce meaningful findings that can be understood by all stakeholders and used to move beyond mere protest to evidence-based dialogue. Going public/disseminating information Bringing information and findings into the public sphere and generating public debate around them are key elements of most social accountability initiatives. Be it budget details, the findings of public expenditure reviews, audits or project evaluation results, this information takes on new significance and impact when made accessible to the public at large, serving both to inform and to create an impetus for action. Effective communication strategies and mechanisms are, therefore, essential aspects of social accountability. These may include the organization of public meetings and events as well the strategic use of both modern and traditional forms of media. Transmitting relevant information to government officials who are in a position to act on it (and, ideally, interacting directly with those decision makers on an ongoing basis) is also an essential aspect of social accountability. Building public support Informing citizens of their rights and responsibilities, engaging their interest and mobilizing them to build coalitions and partnerships with different stakeholders (like bureaucrats, media, parliamentarians, etc.) are core aspects of social accountability. Ideally, every step of a social accountability initiative contributes to informing/engaging citizens and mobilizing support. The ability of citizens to organize for collective action and the capacity of CSOs to facilitate and support such mobilization are crucial to the success of social accountability initiatives. Again, reaching out to poor and marginalized segments of the population requires specific effort and remains a principal challenge. Negotiating for change The most crucial and challenging element of a social accountability strategy is to be able to elicit a response from public officials and effect real change. The


77

most effective strategies usually involve direct interaction and negotiation with the concerned government counterparts and, in some cases, the institutionalization of mechanisms for ongoing consultation and dialogue. As discussed above, in negotiating change, citizens’ groups employ a range of both informal and formal means of persuasion, pressure, reward and sanction. These include, for example, creating public pressure (e.g. through media campaigns and public meetings) or, when necessary, resorting to formal means of enforcement (e.g. through legal and judicial processes). The space and opportunity for negotiation as well as the possibility of appeal to formal means of sanction obviously vary greatly from one country context to another. In many developing country contexts, citizens' groups have found that legal and/or institutional reforms are necessary to facilitate meaningful negotiation.

Reading 4:

Dimensions of social accountability4

Social accountability mechanisms can be characterized along six different dimensions: punishment vs. reward-based mechanisms; rule following vs. performance-based mechanisms; level of institutionalization; depth of involvement; inclusiveness of participation; and branches of government. Each of these dimensions is important for planning purposes and for assessing how a feasible and sustainable a particular mechanism may be for a particular country and institutional context.

Six different dimensions of social accountability Incentive structure: punishments or rewards? To what extent is the accountability mechanism oriented towards rewards or sanctions? Mechanisms relying too heavily on sanctions may threaten officials and cause paralysis. Rewards may not correct the behavior of bad apples. Some of the strongest accountability mechanisms rely on a balance of punishments and rewards. Accountability: rule following or performance-based? A focus on rule following is linked to the so-called “Old Public Management” grounded in traditional notions of bureaucracy and rational action. Mechanisms that seek to stimulate performance improvement are characteristic of the “New Public Management” and focus on accomplishing results through performance evaluation. Some of the best pro-accountability strategies focus citizen participation both on enforcing rules and on improving performance. Institutionalization: low or high? Many accountability mechanisms are ad hoc initiatives designed by well meaning public servants without being permanently embedded in the structure of the state. To what extent are participatory accountability mechanisms inscribed into law, requiring individual agencies or government as a whole to involve societal actors at specific moments in the public policy process? Involvement: external or internal? Many accountability mechanisms involve consultations and workshops with societal actors but few involve inviting actors “into the kitchen” to observe the step-by-step process of government planning. To what extent does the mechanism encourage deeper, internal involvement versus shallow participation? Inclusiveness: elitist or inclusive?

4 Source: Ackerman: Dimensions of Social Accountability 2004


78

There is a tendency of accountability mechanisms to only involve a small group of “well behaved” NGOs, middle-class professionals, and centrist politicians. To what extent does the mechanism actually promote participation of groups with less voice or groups with alternative interests and ideological perspectives? Branches of government: executive, judicial or legislative?

Accountability mechanisms often tend to be directed towards the executive branch. Though reforming the executive branch is an important challenge the legislative and judicial branches are equally important. The judiciary may be very difficult to penetrate while the legislative branch is often an untapped “gold mine” for pro-accountability reform.

Reading 5:

Social accountability: critical factors of success5

The evolution of most social accountability initiatives has been far from systematic. For the most part, measures by citizen groups to promote accountability have been opportunistic responses to particular situations. Their success has therefore also been heavily dependent on several factors. Some of these are discussed below. Political context and culture The parameters for social accountability are largely determined by the existing political context and culture. For example, the feasibility and likelihood of success of social accountability initiatives are highly dependent upon whether the political regime is democratic, a multi-party system is in place, basic political and civil rights are guaranteed (including access to information and freedoms of expression, association and assembly) and whether there is a culture of political transparency and probity. The existence of these underlying factors, and the potential risks that their absence may pose, must be taken into account when planning social accountability initiatives. Legal, institutional and socio-cultural factors will also have an important influence on the success of social accountability activities. An unfavorable context does not mean that social accountability activities should not be pursued. In such circumstances, however, an analysis of the key factors influencing the environment for social accountability (and the risks they entail) must be undertaken and appropriate strategies for addressing potential barriers developed. Access to information As described above, the availability and reliability of public documents and data is essential to building social accountability. Such information is the basis for social accountability activities, and thus its quality and accessibility is a key determinant of the success of social accountability mechanisms. In many cases, initial social accountability efforts may need to focus on securing freedom of information legislation, addressing a lack of political will to disclose or strengthen the technical capacity of public institutions to record, manage and make available relevant data. The role of the media

5 Source: World Bank, Social development paper, an introduction to the concept and emerging practice,


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The media plays a critical role in promoting social accountability. In many countries, independent media is a leading force in informing/educating citizens, monitoring government performance and exposing misdeeds. Local-level media (in particular, private and community radio) provide an important means whereby ordinary citizens can voice their opinions and discuss public issues. The extent to which media is independent and ownership is pluralistic (versus concentrated in a few hands) are important factors that can contribute to the accountability of the political system. A common element of almost all successful social accountability initiatives is the strategic use of both traditional and modern forms of media to raise awareness around public issues, disseminate findings and create a platform for public debate. Civil society capacity The capacity of civil society actors is another key factor of successful social accountability. The level of organization of CSOs, the breadth of their membership, their technical and advocacy skills, their capacity to mobilize and effectively use media, their legitimacy and representation and their level of responsiveness and accountability to their own members are all central to the success of social accountability activities. In many contexts, efforts to promote an enabling environment for civil society and to build the capacity (both organizational and technical) of CSOs are required. State capacity The success of social accountability initiatives also depends upon the capacity and effectiveness of the state. Social accountability initiatives make little sense, for example, where the state machinery has collapsed or is entirely ineffectual. A functioning public administration that has some capacity to respond to citizen demands is, therefore, a prerequisite. Other aspects of state capacity that influence the success of social accountability initiatives (and that may require capacity development investments) include: the ability to produce records and accounts; the existence of conventional (“horizontal”) accountability mechanisms; the effective devolution of authority and resources; the willingness and capacity to build partnerships/coalitions; and, a political or administrative culture that values notions of public sector probity, accountability and equity. State-civil society synergy Ultimately, the success of social accountability initiatives depends on some form of effective interaction between civil society and the state. Meaningful results are most likely to be achieved when citizens, politicians and bureaucrats all have an incentive to act. Ackerman (2004)6 points out that “unilateral state action normally ends up in manipulation, while unilateral social action often ends in repression and violence by the state” and that “the most productive results arise when both sides actively participate”. He clarifies that such mutual participation does not necessarily depend upon agreement or trust and that even “conflict and suspicion” can lead to effective state-society synergies. The lesson is that social accountability initiatives must include both state and societal actors and focus on the interface between them. Institutionalization

6 Ackerman (2004): Dimension of social accountability


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While ad hoc or one-off social accountability initiatives can make a difference, experience shows that impact is greatest and most sustainable when social accountability mechanisms are “institutionalized” – in other words, embedded within and systematically implemented by a civil society, state or “hybrid” institution. As discussed earlier, “external” mechanisms of social accountability can be particularly effective when combined with accountability mechanisms “internal” to the state. According to Fox (2000)7, “civil society demands for state accountability matter most when they empower the state’s own checks and balances.” As a result, beyond seeking specific operational outcomes, social accountability initiatives should also pay attention to institutional factors and seek opportunities for influencing longer-term institutional development and/or reform. Social accountability initiatives often identify the need for institutional changes in government agencies and public services (e.g. changes in the behavior and attitudes of frontline staff, of the incentives and sanctions of a particular organization, its management style or decision making processes, etc.) They can go further and also play a catalytic role in bringing these changes about (e.g. by engaging with staff of health centers to regularly seek and embrace client feedback systems, setting up citizen transparency committees for local government decision making or introducing social monitoring groups to evaluate performance of national programs or policies on an ongoing basis). Where possible, the legal institutionalization of participatory mechanisms from the level of individual programs and agencies through to the overall system level should be considered as a means to enhance long-term effectiveness and sustainability.

Reading 6:

Tools for promoting accountability8

Participatory budgeting: Participatory budgeting is emerging as an important mechanism to enable civic engagement in budget formulation. It involves getting civil society to actually partake in the making of a public budget – citizens and CSOs propose spending projects, set priorities and decide which projects get funded. Participatory planning: Decentralization can be viewed as a process with varying degrees of devolution of functions and finances to the local bodies. Participatory planning is part of the decentralization process and it aims to identify the critical problems, joint priorities, elaboration and adoption of a socioeconomic development strategies. Citizen report cards: Citizen report cards are a tool to facilitate improvements in public service delivery. The citizen report card is an assessment of public services by the users of public through survey methods. It reflects the actual experience of people with a wide range of public services. Community scorecards:

7 Jonathan Fox (2000): State-Society Synergy for Accountability 8 South-Asia Social Accountability Network: www.sasanet.org

http://www.sasanet.org/


81

The community scorecard process is a community-based monitoring tool that is a hybrid of the techniques of social audit, community monitoring and citizen report cards. Like the citizen report card, the scorecard process is an instrument to exact social and public accountability and responsiveness from service providers. Social audit: Social audit may be defined as an in-depth scrutiny and analysis of the working of any public utility vis-à-vis its social relevance. It is a tool through which government departments can plan, manage and measure non-financial activities and monitor both internal and external consequences of the department/organization's social and commercial operations. Social impact assessment methodology: Social impact assessment can be defined in terms of efforts to assess or estimate, in advance, the social consequences that are likely to follow specific policy actions (including programs and the adoption of new policies), and specific government actions. It is a process that provides a framework for prioritizing, gathering, analyzing, and incorporating social information and participation into the design and delivery of developmental interventions. Survey methodology: In the light of changing aspirations of the citizens, it is incumbent on the state to provide ways and means to enhance the role of citizens in the decision-making process and facilitate better state-society articulation. Citizens' surveys assume importance in this context. Citizen's charters: The citizen's charter is a written, voluntary declaration by service providers that highlights the standards of service delivery that they must subscribe to, availability of choice for consumers, avenues for grievance redressal and other related information. Citizen's charters can thus be used as a tool for enhancing standards of service delivery and fostering greater public accountability. People's estimate: The people's estimate is an estimate that can be prepared in local language through a participatory process by using similar standard specifications but based on local market rates and local units. Execution of public works through the people's estimate entails a participatory process whereby public works can be undertaken at the local level through people's participation in estimate design, execution and monitoring of works. Other social accountability mechanisms include …

Independent budget analysis Public expenditure tracking surveys Citizen juries Citizens' forum Citizens' hours Investigative journalism Right to information movements


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Reading 7:

Experiences from various countries9

Women’s Budget Initiative: South Africa This initiative analyzes public expenditure patterns in terms of their likely impact on the economic and social conditions of women. The aim is to monitor central government commitments to gender equality by tracking expenditures spending on gender-sensitive policy measures and public services. A civil society initiative, which replicates the state-based budget analysis initiative in Australia, it has inspired other similar programs in Canada, Croatia, Jamaica, Mozambique, Russia, Tanzania and Uganda. The focus is on ex-post budget analysis since there is limited access to government budgets before they are published. Participatory Municipal Budgeting: Brazil Participatory budgeting is a process through which newly created regional assemblies and the Participatory Budget Council participate in allocating resources and monitoring how they are used. The Council is composed of delegates elected from municipal unions, neighborhood associations and local government. The Councils are responsible for organizing ongoing consultation meetings, representing district priorities to the municipal governments, and – in collaboration with government representatives – establishing and monitoring the local budget. Originally started in Porto Alegre, participatory budgeting is now established in some 80 cities. The process is currently being applied to the state level, covering some 500 municipalities. Civil Service Performance Improvement Program: Ghana Ghana’s district assemblies, set up in 1989, provide two key mechanisms for improving the responsiveness and performance of government. The first enhances popular participation in local government through both direct and representative methods. The second seeks to create a more "service conscious and responsive" public service through civil service reforms. The reforms involve government agencies in designing their own performance improvement plans (PIPs), which form the basis for performance agreements between staff and management. The PIP process uses self-appraisal and participatory management methods, supplemented by client satisfaction surveys, to encourage staff to confront problems and design their own solutions. Report Cards: Mumbai, Bangalore, Calcutta, India Formal, quantitative surveys of client satisfaction with public services have been conducted by NGOs in low-income neighborhoods in several Indian cities. The surveys generate ‘report cards’ on the perceived quality and appropriateness of a range of urban services. They are used to put pressure on elected officials by demonstrating the extent of public dissatisfaction, with the hope that this will result in greater responsiveness on the part of public servants responsible for services. The surveys are also used to educate the media, other public interest groups, and citizenry. Citizens’ Information Centers: Romania

9 Source: Narayan 2000, Voive of the poor


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As part of general public administration reform in Romania, the government established a national public relations unit and citizens’ information centers in eight local councils with the aim of creating a more open, accessible and "citizen friendly" public service. The overall results have not been very encouraging owing to continued patronage appointments in government, low pay and staff demoralization, excessive "legalism" in civil service attitudes and high turnover in top levels of management. However, the centers greatly improved the transparency of local government and encouraged citizen involvement through contacting and petitioning officials. Law of Popular Participation: Bolivia The Law of Popular Participation of 1994 empowers democratically elected municipal councils to design and implement local development policies and programs, with finance transferred from the local government. In addition, the law empowers community organizations to participate in the development of five-year municipal plans. These groups are given jurisdiction over a given territory and assigned rights and duties covering a range of social, infrastructural, productive and environmental matters. In addition, vigilance committees act as watchdogs on the municipal council, and ensure that community priorities are reflected in municipal budgets/expenditures. Participatory Local Government: Philippines The Local Government Code of 1991 establishes a Local Development Council (LDC) for each province, city, municipality and barangay. The primary responsibility of LDCs is to draft comprehensive, multi-sector development plans, including a land-use plan for each local government. A least one-fourth of the total membership of the LDCs should come from NGOs, people’s organizations and private sector. LDCs have become vehicles for these CSOs to mobilize people in the barangays to claim from government minimum basic services and to prioritize local projects. A national network of NGOs (known as BATMAN) has worked to strengthen planning and local government/civil society interaction. Community Radio: Karnataka, India This community radio show – initiated by citizens – aims to educate marginalized groups about how local government structures should work, especially in light of India’s 73rd Amendment providing greater representation of women in local government. With characters and story lines relevant to people in the district, the show weaves themes about the roles, responsibilities and functions of local government into the plot of each episode. Radio can reach 98% of the population, including those who cannot read. Women especially are targeted. They can listen while they are at home doing chores and obtain information on issues such as the role of local forums, women’s rights and service delivery. Assembly of the Poor: Thailand This loose farmers’ network organizes mass agitation campaigns and sit-ins to demand response from government officials on issues affecting poor rural communities like dam displacement and access and rights to local resources such as land, water and forests. Campaigns target policymakers continuously at the local level and reached the national level during a mass mobilization of 20,000 farmers in 1997 for a 99-day sit-in. Objective media coverage and


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leadership that bridged the urban-rural cultural divide were essential elements of this movement’s awareness-raising capacity. Participatory Poverty Assessment: Uganda Participatory poverty assessments (PPAs) involve the use of participatory and qualitative research techniques for national-level consultation on local people’s perceptions of poverty and priorities for poverty reduction. The Ugandan PPA is an extensive consultation exercise that has generated nuanced qualitative information about the experience, depth and breadth of poverty. It has sought to build a national system to integrate quantitative and qualitative poverty monitoring and to inform poverty alleviation policy. It was initiated by bilateral donors (with some World Bank support) and NGOs and is managed by Oxfam. The PPA has focused on building government ownership and is housed in the Ministry of Finance, Planning and Economic Development.

Reading 8:

Case Study: Bangalore, India: Citizen Report Cards10

Civil society working in tandem with government for the greater good of all”11

BACKGROUND In Bangalore, three report cards were prepared through a civil society initiative in 1994, 1999 and 2003. The first report card gave very low ratings to all major service providers of the city, creating a sense of shame. However, this did not make an immediate impact; only a few providers acknowledged their problems and took corrective actions. The second report card showed that partial improvement had occurred in some services, probably owing to actions taken by providers and pressure from civil society. The third report card revealed substantial improvements in almost all the service providers. There was not only a significant increase in citizen satisfaction with services, but also some decline in corruption. The big question is, what caused this surprising turnaround? Bangalore was a growing industrial city with a population of over four million in 1993, rapidly turning into India’s hub of information technology. A quarter of its population was poor, most living in slums spread throughout the city. Bangalore’s residents depended on several public agencies established by the provincial (state) government for their essential services such, as the city’s municipal corporation, which provided roads, street lights and garbage removal. While electricity was supplied by another large agency, water, transport, telecom, healthcare and urban land and housing were the responsibility of other large public service providers. A common feature of all these services was that they were monopolistic or dominant supply sources. People had little choice in terms of alternative suppliers. This mattered even more to the poor as they could not afford some of the high cost options that richer people could use in the event that public service providers failed. Thus, when electricity failed, the rich could turn on their generators. They might use private vehicles when public transport failed. Such options were seldom feasible for the poor. The poor suffered from yet another handicap, namely, their lack of influence and voice to 10Source: by Samuel Paul, "Citizens Report Cards: Case Study", Public Affairs Center, 2005. 11Source: The Times of India, "On the citizen report card process", Bangalore, 8 November 1999.


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get their problems solved at the agency level. Collective action by citizens to address these problems was also difficult to organize and costly in terms of time and resources. PROCESS In 1993, a small citizens’ group in Bangalore launched a survey of citizens to gather feedback on the public services in the city. The actual survey work was carried out by a market research firm, Marketing and Business Associates and costs were met through local donations. The survey was launched after the group assessed problems people faced through focus group discussions. Structured questionnaires were designed and pre-tested to ensure their relevance and suitability for field-level interviews. The survey covered nearly 1,200 middle-class and low-income households, with separate questionnaires for each. Objectives of the survey were to find out: 1) how satisfactory were the public services from users' perspective; 2) what aspects of services were satisfactory or not; and 3) what were the direct and indirect costs incurred by users for these services. Satisfaction was measured on a rating scale (1 to 7) and aggregated to yield averages for different dimensions. Trained investigators conducted the field interviews. Results obtained from an analysis of the data were used to rate the different service providers in terms of quality of service, corruption, and overall user satisfaction. A structured summary of ratings across agencies was called the “citizen report card on public services”. The survey covered only households with direct experience with services and interaction with agencies, to be sure of meaningful answers. The representative nature of the sample, the professionalism and neutrality in the conduct of the survey, and the large number of respondents ensured credibility of findings.

Steps in planning and organizing a report card

I. Planning a report card: What do you want to know? About whom? How will you use the information? How can data be obtained? How do you plan to collect the data? How will you fund the project?

II. Choosing an approach: Qualitative and/or quantitative research?

III. Sampling: Major steps are: defining the population, census of sample, sample design, sample size, fixed vs. sequential sampling, costs of sampling, execution of sampling process.

IV. Designing questionnaires: specify and rank order the information objective of the survey from most important to least important; enumerate the kinds of information needed from respondents that relate to each information objective; rank the items in each topical group in the order of their importance to the study; for each item in the group answer: why, who, how, and what; place the most interesting item at the beginning of the questionnaire by using either open-ended or close-ended questions.

V. Piloting, coding and analysis: Pre-test the questionnaire in the form of a pilot survey for quality control; many quantitative questionnaires can be pre-coded and can be completed by the fieldworker at the time of the interview. Use strict guidelines for data collection which must be articulated to the field staff through group training and manuals. Data can be analyzed using several techniques including: averages, data ranges, frequency and mid-point. Processed data will be presented in a series of tables. The interpretation of the analysis should bring together the findings from multiple perspectives and help the audience understand the issues and problems identified.


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VI. Dissemination of findings: Communicate the research findings through: 1) a survey report which outlines the objectives, methodology, major findings and implications of findings; 2) media releases; and 3) interface meetings between citizens, service providers and government officials.

VII. Institutionalizing: from theory to action. Three common models are: 1) independent CSOs undertake the initiative (India); 2) service providers themselves seek client feedback directly (UK); and 3) an oversight agency undertakes the initiative (US).

RESULTS First report card (1994) The first report card on Bangalore revealed several interesting patterns about the city’s public services. It showed that the satisfaction levels of the middle-income respondents did not exceed 25% for any of the seven service providers covered by the survey. Dissatisfaction levels, on the other hand, were much higher, and in the case of the Development Authority were as high as 65%. Public satisfaction with staff behavior in these agencies was a mere 25% and over a quarter of the people had to make three visits or more to the agencies to solve their problems. The problem resolution was 57% when all agencies were taken together. On average, 14% of respondents had paid bribes. Second report card (1999) A second report card provided new evidence on the state of public services in Bangalore after a lapse of five years. The survey methodology used was essentially the same as in 1993, but the sample size was increased to 2,000 households. The results showed a partial improvement in public satisfaction with most of the agencies, but the satisfaction level was still only below 50%, even for the better performers. A disturbing finding was that corruption levels in several agencies had increased. The low-income respondents continued to visit agencies more often than their middle-income counterparts to solve their problems. The report cards indicated a clear link between petty corruption and inefficient service provision. The finding on corruption showed how difficult it is to root out non-transparent and arbitrary procedures and mindsets. The follow up actions in 1999 differed significantly from those in 1994. Well before public dissemination of results, mini report cards were presented to major service providers in the city on a one-on-one basis. This was followed by a seminar for the management teams from selected agencies to exchange their experiences with reforms since the first report card. The objective of this exercise was to learn from each other. The deliberations showed that agencies other than those who sought its help were also engaged in improving their services in different ways. The final event was a public meeting with citizen groups and media where the report card findings were presented to both leaders and staff of all the service providers. Leaders of the agencies addressed the gathering and explained to the public their plans to deal with the problems highlighted in the report card. This event and the report card findings were widely covered in the news media. Though the report card of 1999 showed only partial improvements in the city’s services, it was clear that several of the service providers had initiated action to improve service quality and respond to the specific issues raised in the first report card. One example is the improvements in some agencies' billing


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procedures. Another is the increasing use of joint forums with users to improve the responsiveness of staff. Within a few months of the second report card, the new Chief Minister of Karnataka, of which Bangalore is the capital, announced the creation of the Bangalore Agenda Task Force (BATF) to improve the services and infrastructure of the city with greater public participation. He set up BATF as a public-private partnership with several non-official and eminent citizens as members along with the heads of all service providers. In contrast with the more limited agency responses, this move by the Chief Minister raised the level to systemic responses across agencies. It created a forum where all the stakeholders could be brought together both to solve the city’s problems and to tap ideas and funds from the private sector. It was the first time that a chief minister had launched an initiative to improve services in response to citizen feedback. Third report card (2003) A comparison of these findings with the earlier report cards will show improvements in the city’s public services. A person’s satisfaction with an agency’s services reflects his/her overall assessment of that agency. Full satisfaction with an agency implies a higher rating of its services than partial satisfaction. Satisfaction can be measured for different dimensions of the quality of a service or agency. Four measures of agency responsiveness were taken: problem incidence, staff behavior, time taken to attend to problems and bribes paid or demanded. These measures reflect different aspects of quality as experienced by the users of services. An increase in the proportion of users who are satisfied with a service/agency is an indirect indicator of an improvement of that service/agency. User satisfaction among general households ranged between 96% for Bangalore Metropolitan Transport Corporation (BMTC) and 73% for Bangalore Water Supply and Sewerage Board (BWSSB), Bangalore Municipal Corporation (BMP) and government hospitals. Agencies did vary, however, in respect of the proportions of people who gave a rating of “completely satisfied”. While BMTC had the largest proportion of satisfied users, it was Bangalore Electricity Company (BESCOM) which had the largest segment of users expressing “full satisfaction”. The fact that a number of agencies have significant segments of users who are partially satisfied suggests that much could be done to improve upon what has been achieved till now. It also signals that improvements in services are being experienced by larger proportions of people (greater spread) even though the quality standards achieved by agencies may not be anything close to perfection. A comparison of the performance of these agencies over the past 10 years revealed a significant improvement in the satisfaction of users of services. Of the nine agencies on which citizens of Bangalore provided feedback, all received satisfaction ratings above 70% this time, in contrast with less than 40% in 1999 and much lower ratings in 1994. The improvement was the greatest in the case of Bangalore Development Authority (BDA) where citizen satisfaction moved up from 16% to 85%. In the cases of BWSSB and BMP, the improvement in citizen satisfaction has been less impressive. Maintaining the high levels of satisfaction that has been achieved by agencies such as BMTC and BESCOM are a challenge.


The improvement was the greatest in the case of BDA where citizen satisfaction moved up from 16% to 85%. In the cases of BWSSB and BMP, the improvement in citizen satisfaction has been less impressive. Maintaining the high levels of satisfaction that has been achieved by agencies such as BMTC and BESCOM are a challenge. An important next step for them is to increase the proportion of users who are completely satisfied (see chart above).

While the poor (slum dwellers) also indicated substantial improvement in satisfaction with services, their ratings are significantly lower, with four of the six agencies receiving satisfaction ratings above 70%. The poor do not use the entire range of services shown against the general households (middle income). This is not to suggest that quality of services in the slums has not improved much. Feedback from slum dwellers indicated that service quality in terms of availability of water in public toilets and regularity of garbage clearance had improved substantially. Problem incidence has also declined and compared well with that reported by general households (see chart above). Slum dwellers encountered problems in the course of their interactions with agencies most often while dealing with the Bangalore police. This was the case in 1999 also. The most significant decline in problems with service has been in relation to BMTC. It is in relation to BWSSB that the decline has been of a small order, since there were a number of institutional issues that affected its service provision in the slums. DRIVERS OF CHANGE The drivers of change in Bangalore can be divided into two categories: One set of factors operated from the demand side, and the other from the supply side. Demand for better services tends to operate from outside the government

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system. Citizen demands and media pressure are some examples. In a real sense, all demand factors act as external catalysts. They have no direct role in the design or delivery of services. These external pressures can be sustained, however, only in open, democratic societies that tolerate dissent and debate. Demand side interventions I. The glare effect of citizen report cards pressured city service providers

in three ways: performance was under the “public scanner”; 2) inter-agency comparisons worked as a surrogate for competition;

and 3) the chairmen of

some of the agencies saw the report card as an aid and a catalyst in their efforts to reform their agencies to be more transparent and accountable and to deliver on their promises.

II. Pressure from civil society groups. Advocacy work was carried out

through a network of civil society groups (neighborhood groups and civic and service-related NGOs) in Bangalore which participated in: 1) public meetings and seminars where report cards or other civic issues were discussed; 2) engaging service providers in active dialogues; and 3) citywide campaigns.

III. Reinforcement of pressure by the media. The media has been a driver

of change by: 1) publicizing the negative findings and improvements of service providers; 2) devoting more space to reports on the different wards of the city, highlighting their problems and focusing on those elected; and 3) organizing interactive meetings with citizens and senior officials from selected groups of public agencies.

IV. The role of donor dialogues. Donor agencies have confirmed how, in

their dialogues with the government, they have lent support to the importance of user feedback and to the need to view civil society pressure as an aid to accountability.

Supply side interventions The supply of services, on the other hand, is the business of government itself. The factors that cause supply responses to happen therefore tend to be linked to government and are largely within its control. They could take action on their own, or they may act in response to demand side drivers of change. The interaction between the demand side and supply side factors that caused positive service outcomes has been a special feature of the past decade in Bangalore. In terms of sequence, demand side forces were first to appear on the city scene. The supply responses came later.

I. Bangalore Agenda Task Force: A State Initiative. BATF began its work in earnest in 2000 and catalyzed a number of reforms in a number of agencies. Important reforms were on property tax that resulted in increased revenues and reduced hassles for the citizen and on solid

Market

competition has so far affected only one service provider, namely, Bangalore Telecom (BSNL). Cell phones had begun to make inroads by the late 1990s, along with waste management, sanitation and roads. BATF also prepared a simpler version of the report card to monitor the progress of the different city agencies. Over a three-year period, its report cards (based on public feedback through interviews) showed a positive response from the people to


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the reforms and some improvement in the workings of most of the city’s public agencies and their services.

II. Resource mobilization by the agencies. A parallel development since the BATF was set up was a visible improvement in the resources available to the seven service provider agencies. New projects and expansion of infrastructure called for more resources. There is clear evidence that the leaders of the different agencies mobilized additional resources through a variety of sources. In the case of BMP, its roads and related infrastructure programme was financed by a loan from the Housing and Urban Development Corporation. Similar loans were accessed by BMTC, BWSSB and BESCOM from other sources. BDA was a unique case where most of the funds required for new infrastructure projects were raised from its own internal surpluses. These agencies budgets had increased by 50-100% over a three-year period from 2000. Upgrading of services and infrastructure through increased borrowing could have been attempted in the preceding years too. But it took the proactive support of the state government and the catalytic role of the BATF to make this happen in a short period of time.

III. Role of the Lok Ayukta (ombudsman). The ombudsman (“Lok Ayukta”) in Karnataka played an indirect role in enhancing accountability in the agencies. He has powers not only to investigate grievances from the people about public agencies, but also to initiate investigations into the operations of the agencies on his own. In Bangalore, the ombudsman has been active on both fronts, even since his appointment in 2000. His raids on offices and the subsequent actions taken to penalize public officials who indulged in corruption have given much adverse publicity to many agencies and departments of the state government. His integrity and courage have been lauded by civil society, the media and political leaders. Moreover, many observers believe that the ombudsman’s actions have had a “deterrent effect”, even on agencies not investigated. Strong support from the Chief Minister was a major factor that made it possible for the ombudsman to function fearlessly. Through the BATF, the Chief Minister stimulated public agencies to perform better. Through the ombudsman, he created a sense of fear among the agencies that corruption and sloth would not be tolerated. These two approaches were mutually reinforcing. IV. Political commitment and support. The common thread that runs through the different supply side interventions discussed above is the political commitment and support of the Chief Minister. This was a weak factor during the period 1994-9. The 1999 change in leadership made a decisive difference. The new Chief Minister was a leader committed to improving public services and infrastructure. He was determined to find answers to citizen dissatisfaction with essential services and industry’s dissatisfaction with infrastructure. This is why he took the initiative to set up the innovative partnership of BATF. He then allowed public agencies to mobilize more resources and facilitated their efforts. He appointed a new ombudsman known for his integrity and willingness to deal with corruption and other abuses of power in government. These were wide ranging actions that could not have been achieved without political commitment at the highest level. The boldness of the Chief Minister owed in no small measure to his strong majority. That political commitment can vary with changes in


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leaders and governments raises questions about the sustainability of reforms.

KEY CONCERNS The improvement in services reported above did not happen overnight. Starting with the first report card in 1994, the spotlight on public services set in motion a series of actions by different stakeholders, which converged and cumulated to produce these results. Some agencies took remedial steps to improve their services as is evident from the report card of 1999. How these and other factors interacted and cumulated to achieve this turnaround in Bangalore is not easy to measure and explain. Nor is it possible to attribute the precise contribution of each of these factors to the turnaround. Needless to add, the same constellation and sequence of factors may not be required in other settings. It may not perhaps be easy to replicate the drivers of change that worked in one context in another. Nevertheless, the contributions made by the different interventions in Bangalore may have some lessons to offer reformers in other settings. The foregoing discussion highlights the contributions made by a variety of interventions that reinforced one another in the Bangalore context. It is their joint influence that is reflected in the report card of 2003. As noted above, the precise influence of each of the factors is difficult to quantify. An agency head, for example, could take credit for the turnaround in his/her services. But the fact remains that without the support or pressure from the other factors mentioned above, the agency head may not have taken the necessary actions. The political commitment of the Chief Minister would have worked as an enabling condition. The assistance provided by BATF may have brought better ideas and more citizen friendly practices to the agency (e.g., improved solid waste management, simpler tax system, improved billing procedure, etc.). Report cards and media publicity would have acted as external catalysts and speeded up the change. The service improvement for which the agency takes credit may not have happened in the absence of the joint influence of all these drivers of change. Some preconditions need to be in place to ensure the acceptability of report cards. The credibility of those who use the tool and engage in advocacy is extremely important. The exercise should be seen as impartial and independent. The conduct of the survey and the interpretation of its findings should be done with utmost integrity. In general, competent and professionally managed organizations need to act as intermediaries for this to happen. These conditions apply irrespective of whether the initiative comes from civil society or the government. Report cards are likely to be used by civil society groups in relatively open and democratic societies that respect dissent. This is not to say that non-democratic settings cannot benefit from this tool. But its proper use is unlikely to happen unless there is strong interest on the part of the political leadership to listen to public feedback and use the findings to improve public services or other aspects of governance. The feedback from the sample of low income households was also similar. Over 70% had to make three or more visits to the agencies to solve their problems. Nearly a third of them had to pay bribes. Their problem resolution rate was


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much lower than that of the middle-class households. Yet, their satisfaction with the service providers was not as low as in the middle-income sample, perhaps because of their low expectations from services. The report card findings were widely publicized through the press in Bangalore. The government and service providers were also kept informed of the full report card. Citizen groups were invited to debate the findings and propose ways and means to deal with the problems being highlighted by the report card. Newspapers played a major role in creating public awareness about the findings of the report card. A leading paper, the Times of India, published the findings about each of the agencies every week, a feature that continued for a few months. Beyond the publication of the report card, the citizen group that started the initiative did not take any other follow-up action. But inquiries began to reach the leader of the group on how this work along with advocacy for reform could be scaled up. The growing public interest in this endeavor persuaded the leader of the group to establish a new non-profit body called the Public Affairs Centre in Bangalore in 1994 to expand and strengthen this work in the country. One of its early activities was to respond to the requests for advice from three of the city’s service providers covered by the report card. One of them was the worst rated agency which sought the PAC’s help in further probing into its problems and finding remedies. Though the report card did not provoke all the service providers to take immediate steps to improve their services, it is creditable that three out of eight agencies initiated action and sought help from PAC on their own.

Reading 9:

The context of social accountability in Cambodia12

Accountability is one of the underlying principles for successful decentralization (Blunt and Turner, 2005). Since the first local elections in 2002, the government and donor agencies have expended a great deal of effort improving accountability, specifically in relation to good governance, better service delivery and improved social outcomes. Accountability is therefore emerging as a crucial concern and is gaining more significance in Cambodian governance reforms. The government, donor community and civil society commonly acknowledge that good governance cannot be achieved and sustained without a workable system of accountability that fits Cambodia’s historical, cultural, governance and institutional contexts. Cambodia Development and Research Institute (CDRI)’s recent review of D&D reform suggests that staffing and accountability structures within commune administrations need to be improved by deepening and expanding capacity and clarifying the roles and status of commune chiefs. Local participation and downward accountability are crucial areas, although it is generally recognized that there are no easy solutions. The report notes that there is no mechanism currently in place for CCs to express satisfaction or dissatisfaction to provincial departments. Nor do the central ministries have mechanisms to incorporate external evaluation into their monitoring and evaluation. It concludes that this

12 Kieng Sochivy, 2006: Assessment of current decentralization in Cambodia


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problem has hindered the accountability of service providers to consumers. Blair (2000) notes that the major promise of democratic decentralization is that “by building popular participation and accountability into local governance, local government will become more responsive to local demands and more effective in delivering services”. In this regard, Rusten et al. (2004) indicate that the major goals of decentralization in Cambodia are “promoting pluralist democracy, promoting a culture of popular participation and contributing to reduction of poverty”. Likewise, Cohen and Peterson (1999) emphasize that accountability is one of the most important underlying principles to achieve these goals. Rudengren el al. (2005) conducted Seila mid-term review and suggested a need for promoting social and financial accountability. They argue that there is a need for more checks and balances both within and outside the current Seila system. The report describes downward accountability from CCs to their electorates as weak, especially in the absence of information about commune performance. Similarly, downward accountability at the provincial level is hindered by lack of coordination in planning and implementation between line departments and CCs. The provincial level of government is expected to be the major focus of reform in the new D&D strategic framework (Royal Government of Cambodia, 2005). The concept of accountability is not easily understood by the person in the street. Local people tend to understand the Khmer translation of “accountability” as something similar to “accounting”. They do not link the word with traditional Khmer values for governance, such as responsibility (kar totuol khos chom pos mok), honesty (smos trong), helpfulness (jes jouy tok tu-reak), or serving people (bom-reu pro-chea-jon). Considering this difficulty and the huge range of definitions offered, it is useful to focus accountability in the Cambodia context on two core aspects – answerability and enforceability – without which accountability cannot be maintained (Schedler, 1999). The differences between the notion of accountability in the wider literature and accountability as practiced in Cambodia are critical to understand. Political, personal, subjective and patronage-driven relationships of power, kinship ties and influence drive informal processes that directly influence an individual’s ability to be accountable. The desired state of accountability that the reforms seek to foster is a practical departure from the latter toward the former. Source: CDRI (2005). In Cambodia, the delivery of basic social services remains primarily the mandate of national government ministries. However, the LAMC delegated monitoring or oversight functions on basic service delivery to the CC. By gaining the support of this body for the CRR, the CRT has a strong ally in articulating CRR results and pushing for service delivery reforms. In this sense, the CRR is an alternative form of civil society-CC partnership. Accountability is defined as the obligation of power holders to account or take responsibilities for their actions. Power holders are not limited to government officials alone; they also include those who hold political, financial, or other forms of power. Accountability is a consequence of the implicit social compact between citizens and the people they vote into power. Government officials and bureaucrats should thus be held accountable not only for their performance but also for their conduct. In most cases, the supply side of accountability has been long over-emphasized as the mainstay of monitoring and evaluation. However,


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the demand side of accountability, involving citizens assessing performance and holding service deliverers and rights bearers accountable, has been weak at best, ignored at most. Social accountability refers to the broad range of actions and mechanisms, aside from voting in elections, that citizens, communities, CSOs and independent media can use to hold government officials and bureaucrats accountable. Among these mechanisms are citizen participation in development planning, participatory budgeting, public expenditure tracking, and citizens monitoring of public service delivery (World Bank, 2003). Social accountability, then, means processes whereby citizens are engaged in the assessment of performance of public policies and thereby influence the process, outcomes and impacts of these policies and the corresponding expenditures that are allocated to implement them. Social accountability mechanisms promote good governance, improve public service delivery through improved policy design, and are seen as an empowering process for ordinary citizens. There are numerous reasons for the failure of governments to deliver adequate social services to the people. These includes lack of funds, misallocation of resources or distorted priorities, corruption and other forms of leakages, or the lack of an articulated demand. Social accountability mechanisms are useful in improving delivery of basic services by generating and providing information or articulating a demand, strengthening citizen voices, and promoting dialogue and other forms of engagements with the government. Through social accountability initiatives, chances are greater for decision making to be more transparent, participatory and pro-poor. Social accountability initiatives begin with people’s understanding of their rights and responsibilities in a democracy. For instance, in all its learning events for NGO partners and CRT members, CCSP always emphasizes the importance of citizens exercising their rights and responsibilities, particularly in the context of the new governance reforms in Cambodia. These “rights awareness” efforts then are triggers for moving into implementation of social accountability initiatives such as the CRR. Social accountability is an empowering process brought about by people’s awareness and understanding of their rights to demand and obligation to hold government officials and agents accountable. By giving voice to ordinary citizens in the communes, social accountability improves the chances of government being responsive to poor people’s needs. Accountability of public officials is the cornerstone of good government and a prerequisite for effective democracy. Conversely, people’s trust and respect for the government quickly erodes when government officials are unresponsive to their needs and claims. Nothing happens, however, if people merely shout and protest in the streets. Social accountability mechanisms are concrete actions which enhance the ability of citizens to move beyond protests towards engaging with government officials and service providers in a more informed, organized and constructive manner, thus increasing chances of effecting positive change.

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