Appointment Letter for Financial Manager - Excel by phi13325

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									DRAFT
Dimension:           Structure
Category:            FOIA - institutional capacity, staff procedures


                    FOIA - Freedom of Information Act; in Serbia, refers to Zakon o dostupnosti informacija od javnog znacaja. The matrix should
                    consider the ability of an institution to implement it, e.g., whether it has made appropriate staffing arrangements, whether relevant
                    staff has received appropriate training in handling requests, and whether procedures regarding handling of FOIA requests are
                    written and unambiguous, whether the agency meets the statutory deadline for responding to requests, and to what extent the
                    agency furnishes the requested information that meets statutory criteria or denies the request with a written explanation and within
                    the statutory deadlines.
GGM Definition

Sub-indicator: Staffing arrangements to address FOIA request are clear

Checklist                                            Y                  N                data source                verification method
                                                                                         1. FOIA
                                                                                                                    check web-sight, FOIA
                                                                                         Information
                                                                                                                    bulletin, appointment
Public Relation department/person                                                        Officer (FOIA IO)
                                                                                                                    decision or systematization
(within the institution) has other duties                                                or manager if
                                                                                                                    act; also check with
in addition to PR activities.                                                            such person is not
                                                                                                                    designated individual and
                                                                                         appointed; 2.
                                                                                                                    'pisarnica'
                                                                                         mailroom clerk




                                                                                         1. FOIA IO or
Responsibilities of FOIA public
                                                                                         manager if such            Obtain a copy of annual
information officer or other title dealing
                                                                                         person is not              work plan for ___ (year)
with FOIA requests, exist in writing                                                     appointed




                                                                                                          check written evidence of
                                                                                                          training (date, work plan,
Staff with FOIA responsibilities                                                         1. FOIA IO; and  topics covered, lecturers,
received training and/or instruction in                                                  2.Commissioner's training material) and note
2007                                                                                     Office           data on the separate sheet,
                                                                                                          or collect material if FOIA IO
                                                                                                          has a spare copy to give




Staff with FOIA responsibilities have                                                    FOIA IO or
office space, phone, computer, printer                                                   manager if such            on the spot check or
and supplies, access to legal database                                                   person is not              statement of FOIA IO
and access to Internet                                                                   appointed
                                                                        check written evidence of
Other institution personnel had FOIA                                    training (date, work plan,
                                                       1. FOIA IO; and  topics covered, lecturers,
training and/or have been given
                                                       2.Commissioner's training material) and note
instructions (been sensitized) to
                                                       Office           data on the separate sheet,
handling of FOIA requests in 2007                                       or collect material if FOIA IO
                                                                        has a spare copy to give




Sub indicator: Public institution has an effective system in place to deal with FOIA
requests

Checklist                                  Y   N       data source         verification method


                                                       1. FOIA
                                                       Information
Institution has internal procedures or a               Officer (FOIA IO) if in writing, check and try to
functioning system for dealing with                    or manager if      obtain copy; if not, interview
FOIA requests in place                                 such person is not and triangulate
                                                       appointed; 2.
                                                       mailroom clerk




                                                                        1. check FOIA IO data log or
                                                                        annual report; 2. compare
                                                                        with Commissioner's
                                                       1. FOIA IO; and  database; 3. write down total
FOIA requests for 2007 were
                                                       2.Commissioner's number processed, number
answered within the statutory time
                                                       Office           answered on time and not;
                                                                        4. check accuracy with
                                                                        Commissioner's database of
                                                                        complains



                                                                           1. see FOIA annual report of
                                                                           institution for number of
Justification for denial of FOIA                                           such decision, 2. mark
requests is provided, in writing, for                                      number of official denial
                                                                           decisions; 3. mark number
specified reasons provided in the Law                  FOIA IO
                                                                           of denials based on an
and official decision issued in such                                       unofficial answer; 4. check
cases                                                                      whether the reasons stated
                                                                           are in accordance with the
                                                                           law
                                      1.
                                      Commissioner's    check in Commissioner's
                                                        database that all such
                                      Office and 2.
Institution complies with orders or                     orders are complied with
                                      FOIA IO if data
judgment to respond to requests or                      and check in institution's
                                      from the          database for cases which
provide information
                                      Commissioner's    are not recorded as resolved
                                      office is         in Commissioner's database
                                      incomplete




                                                        obtain a copy of the
Procedures on how to submit FOIA
                                                        procedures and mark
requests are widely and easily        FOIA IO
                                                        location where citizens can
available to the public                                 obtain info
                                    relevance             assessment
comment                             (coefficient 0 - 1)   score             total

                                    0.4

comment                             relevance             assessment score total

Y if such information is
published on web or available
in FOIA bulletin; lesser score if
                                    0.1
request and/or requestor is
directed elsewhere than to
designated person




 Yes and 10 pts if institution
                                    0.1
produce annual work plan(s).




note where: 1.post-training test
was conducted; 2. if training
covered more aspects of FOIA
IO duties; 3. duration of
training; not to be reflected in
scores this year but to be used
as baseline for follow on years;
scores will reflect yes/no
dichotomy but the analysis will
make distinctions
                                    0.1

note whether office and printer
are shared with other staff, if a
direct phone line is available to
FOIA IO, type of access to
internet, if computer is less
than 3 years old; will not
necessarily affect scores this
year but will be used as a
baseline for future years;
scores to reflect a yes/no
dichotomy
                                    0.05
Y if any staff, in addition to
FOIA IO, received FOIA
training/instruction and
institution is able to document
it; note total staff number and
number of staff covered in
FOIA training/instruction; will
not affect score this year but
will be addressed in the
analysis/narrative
                                      0.05

                                                  assessment
comment                               relevance                     total
                                                  score

comment                               relevance   assessment score total


Y if such procedures exist,
whether separate or through
other acts (rules of procedure,
data management, mailroom
                                      0.10
regulation); note if rules
specify what to do if a FOIA
request is addressed to other
persons than the FOIA IO




Y if all; score directly related to
the percentage of answers
                                    0.15
within statutory time; note
reasons for delays if available




Y if all; score directly related to the
percentage of answers where official
decision is issued and where
reasons are stated in accordance
with the law, compared with the
                                        0.10
overall number of cases where
access was denied on cause (not on
procedural reasons); if more than 10
such decisions random check 10 of
them.
Y if in all such cases. Score directly
related to the number of instances
where institution complied with order
                                       0.10
or judgment compared with overall
number of such orders or judgments
issued




Y if such information is available
with less than 3 clicks on institution's
web presentation, on informative
board in premises or in the form of
publication posted in premises           0.15
where clients are visiting institution;
must include contact information;
greater score if forms and examples
are provided
DRAFT
Dimension:                Structure

Category:                 Outside Oversight


                          For purposes of this matrix, oversight includes the monitoring of the institution's operations by other public agencies and/or
                          civil society organizations. The matrix should consider the nature of oversight mechanisms, the target institutions' roles,
GGM Definition            responses and/or receptiveness to initiatives for increased accountability, and the documentation regarding utilization and      comment
                          outcomes of the mechanisms.


Sub-indicator: Public institution addresses the findings of official oversight bodies and
mechanisms

Checklist                                    Y                   N                  data source                     verification method comment
                                                                                                                                                           the matrix distinguishes between: 1
                                                                                                                    Internal acts or other                 2. official international; 3. civil socie
Public Relation department/person                                                                                   documents; at a minimum                international); and 4. donor commu
                                                                                    manager or other
(within the institution) has other                                                                                  a list of oversight bodies             official international oversight. The t
                                                                                    designated person
duties in addition to PR activities.                                                                                and mechanisms is readily              prepare a list of official oversight bo
                                                                                                                    available to management                mechanisms for each target institut
                                                                                                                                                           Institution identifies only oversig
Institution has internal procedures
to address results of official                                                      manager or other                Obtain a copy of annual                 Yes and 10 pts if institution produc
oversights (domestic and                                                            designated person               work plan for ___ (year)               plan(s).
international)


                                                                                                                    ask for evidence of
Institution acts on or responds                                                                                     examples cited during
                                                                                                                    interview; note number of
to recommendations of official                                                      manager or other                                                       in future years, cross-reference with
                                                                                                                    oversight reports that the
domestic outside oversight                                                          designated person                                                      oversight bodies
                                                                                                                    institution 1. discussed; 2.
reports                                                                                                             analyzed; and 3. acted
                                                                                                                    upon in 2006



                                                                                                                    Internal acts or other
Institution acknowledges oversight                                                                                  documents; at a minimum
                                                                                    manager or other                                           assuming that this will primarily app
role of official international outside                                                                              a list of oversight bodies
                                                                                    designated person                                          standards;
oversight bodies and mechanisms                                                                                     and mechanisms is readily
                                                                                                                    available to management



Institution acts on or responds
                                                                                                                    check evidence provided
to recommendations of official                                                      manager or other
                                                                                                                    by data source and/or
international outside oversight                                                     designated person
                                                                                                                    internet, records of
reports                                                                                                             institution, reports of
                                                                                                                    oversight bodies


Sub indicator: Public institution addresses the findings of civil society oversight and                                                                    comment
donor concerns

Checklist                                    Y                   N                  data source                     verification method comment
                                                         check evidence provided
                                                         by data source and/or
Institution invites oversight from   manager or other                                    In future years, cross-reference with
                                                         internet, records of
civil society organizations          designated person                                   and documents.
                                                         institution, reports of civil
                                                         society oversight



Institution acts on or responds                          check evidence provided
                                     manager or other    by data source and/or           In future years, cross-reference with
to recommendations of CSO            designated person                                   and reports;
                                                         internet, records of
oversight reports                                        institution, reports of
                                                         oversight bodies

                                                         check evidence provided
Institution receives reviews,                            by data source and/or
assessments and concerns from        manager or other    internet, records of     In future years, cross-reference with
international donor organizations    designated person   institution, reports on  and reports;
about its operations                                     donor reviews,
                                                         assessments and concerns


Institution acts on or responds                          check evidence provided
                                     manager or other                                    In future years, cross-reference with
to recommendations of donor          designated person
                                                         by data source and/or
                                                                                         and reports;
reviews and assessments                                  internet, records of
                                                         institution, donor reports

Institution has a mechanism in                           ask what procedures exist
place to track compliance with       manager or other    to that effect and request
recommendations it accepted          designated person   to see them (even if a 'to
in 2007                                                  do' list)
                                                          relevance           assessment
                                                                                         total
                                                          (coefficient 0 - 1) score



                                                                       0.4

comment
the matrix distinguishes between: 1. official domestic;
2. official international; 3. civil society (local and
international); and 4. donor community not part of
official international oversight. The team needs to
prepare a list of official oversight bodies and
mechanisms for each target institution No internal act.               0.15
Institution identifies only oversight of Government

 Yes and 10 pts if institution produce annual work
plan(s).

                                                                      0.05



in future years, cross-reference with reports of
oversight bodies



                                                                       0.2


assuming that this will primarily apply to EU acquis
standards;


                                                                       0.1




                                                                       0.1
                                                          relevance           assessment
                                                                                         total
                                                          (coefficient 0 - 1) score

                                                                       0.4
comment
In future years, cross-reference with CSO interviews
and documents.

                                                         0.05


In future years, cross-reference with CSO interviews
and reports;

                                                          0.1


In future years, cross-reference with donor interviews
and reports;


                                                         0.05

In future years, cross-reference with donor interviews
and reports;

                                                         0.05




                                                         0.15
                                                          0.6
DRAFT
Dimension:           Structure
Category:            Grievance procedures


                     The availability, accessibility, simplicity, speed and perceived fairness of grievance procedures should encourage employees to choose that
                     system rather than external systems when seeking redress of perceived injustice. Procedures should be clear about coverage, definitions,
                     eligibility, time limitations and/or any other limitations, and the actual steps in the grievance procedure. Grievances are usually reviewed by
                     a Grievance Committee, which has a limited time to make a recommendation to management. At a minimum, the matrix should verify the
                     existence of any grievance procedures applicable to the institution, rank their quality in terms of clarity regarding coverage, definitions,
                     eligibility, deadlines, and availability of redress, and check evidence with regard to utilization and outcome.
GGM Definition

Sub-indicator: Institution has clear and unambiguous grievance procedures

Checklist                               Y                  N                   data source                      verification method
                                                                               manager, Grievance
Public Relation                                                                Committee member                 Obtain a copy of internal procedures
department/person (within the                                                  and/or HR department             from legal database, Internet, FOIA
institution) has other duties in                                               (interview, if required)         bulletin or through filling a FOIA
addition to PR activities.                                                                                      request



Procedures are clear about                                                                                      Obtain a copy of annual work plan for
                                                                               N/A
coverage and eligibility                                                                                        ___ (year)

                                                                                                                Highlight relevant provisions in
Procedures are clear about
                                                                               N/A                              internal acts regulating the grievance
procedural steps and timelines
                                                                                                                procedure act

Procedures stipulate                                                                                            Highlight relevant provisions in
remedies when grievances                                                       N/A                              internal acts regulating the grievance
are upheld                                                                                                      procedure act

                                                                               manager, Grievance               Highlight relevant provisions in
Procedures include                                                             Committee member or              internal acts regulating the grievance
                                                                               HR department                    procedure; if not clear from internal
enforcement mechanism for
                                                                               (interview if required)          act: interview with person in charge
decisions                                                                                                       for grievance procedure or manager
                                                                                                                to describe what procedures apply



Sub indicator: Institution follows its grievance procedures
Checklist                               Y                  N                   data source                      verification method
                                                                               Internal act regulating
It is clear who, in the target                                                 the grievance                    note names or functions of people
institution, is tasked with                                                    procedure, or                    appointed. Check with named
receipt and facilitation of                                                    Systematization act, or          person(s) whether appointment is still
grievance requests                                                             Appointment decision             valid
                                                                         Statistics contained in the reports of
                                                                         competent bodies within the
                                                                         institution (“grievance body”), or
                                                                         on-sight review of the documentation
                                                                         held by the institution; obtain copy of
Institution can verify that the
                                               Grievance body            annual report or note figures from
procedures are followed
                                                                         records on overall number of
                                                                         procedures, number of cases
                                                                         processed and compare dates to
                                                                         establish whether processed within
                                                                         set timeframe



                                               Statistics contained in
                                               the reports of            obtain copy of annual report or note
                                               competent bodies          figures from records on overall
                                               within the institution    number of procedures, number of
Decisions on grievances are                    (“grievance body”), or    cases processed and number of
made within the procedural                     on-sight review of the    decisions enforced. Random check
timeframes                                     documentation held by     with persons concerned whether
                                               the institution. If       decision is enforced. Compare
                                               statistics incomplete,    number of enforced decisions with
                                               interview with person     number of issued decisions
                                               in charge for g.p.


Institution can verify how                     Grievance body, HR        procedures in place for follow up after
many non-appeal decisions                      Manager or Manager        decision
Institution provided its                       Manager, Grievance
                                                                         Obtain copy of instructions and verify
employees with information                     committee or HR in
                                                                         that letter is sent
about internal grievance                       target institution

Sub indicator: Public institution uses grievance procedures to enhance its performance
Checklist                         Y   N        data source               verification method


Institutions has changed                       Manager, Grievance        interview and verification of policies
policies based on the                          committee or HR in        made (obtain document if exist or
outcome of grievances                          target institution        statement of manager)



Institution publishes
information regarding
previously conducted                           Interview with or
grievance procedures (e.g.                     statement of person       Obtain documents in which previous
description of the situations                  responsible for           grievance cases are published
and description of the                         grievance procedures
outcomes)
Institution has responded to
requests for files or
information from the appellate
Grievance bodies (Judiciary      Manager, Grievance       cross-reference interview data
                                 committee or HR in       obtained from both sources or obtain
Grievance Committee;
                                 target institution and   documents (copies of request, copies
Government Grievance
                                 Appellate Grievance      of respond). Note figures for previous
Committee; and municipal         bodies                   year
court) within the time
deadlines set by appellate
body

                                 Manager, Grievance       cross-reference interview data (or
                                 committee or HR in       copies of obtained documents)
Institution enforces decisions
                                 target institution and   obtained from both sources on total
of external appellate bodies
                                 Appellate Grievance      number vs. enforced (for previous
                                 bodies                   year)
                             relevance
comment                      (coefficient 0 - 1)    assessment score total

                             0.25

comment                      relevance              assessment score total

Y if mandatory exists.
Greater score for any
                             0.05
additional procedure
established


 Yes and 10 pts if
institution produce annual 0.05
work plan(s).

Y if both is clear for all
                             0.05
such procedures



Y if exist.                  0.05




Y if such procedure exist
in g.p. internal act or
defined in other acts of
institution

                             0.05

comment                      relevance              assessment score total
                                              0.5
comment                      relevance              assessment score total

Y if appointed. Lesser
score if appointed later
                             0.10
than envisaged in act
regulating appointment
Y if all. Score should
reflect percentage of
timely processed
compared with overall
number of procedures



                             0.10




Y if all. Score should
reflect percentage of
enforced decisions with      0.10
overall number of issued
in previous year




                             0.10


                                         0.1

comment                      relevance         assessment score total
                             0.25
comment                      relevance         assessment score total
Y if any such change
could be documented.
NA if there were no
grievances. Greater score 0.05
if change of policy is not
just fulfillment of legal
duties.


Y if publishes (protecting
personal data when
necessary). Greater
                             0.05
score if more typical
aspects of g.p. are
covered.
Y if responded to all in
set timeframe and
complete. Score should
decrease proportionally
                           0.05
for percentage of not
responded requests and
those not responded in
set timeframe.



Y if all decisions are
enforced. Score should
decrease proportionally    0.05
for percentage of not
enforced decisions.
DRAFT
Dimension:                 Structure
Category:                  Availability of data/statistics, including methodology



                           It is both a professional good practice and an element of good governance that public institutions be clear about the data
                           set, methodology, data collection period and other relevant information on any statistics, caseload information and
                           performance measurements used. In transition countries, it is often the case that only selected figures are posted on
                           public pages without sufficient background information that allows for comparison and/or analysis of data. For data which
                           each agency is required to collect: at a minimum, the matrix should consider: whether the data is collected at pre-
                           determined intervals and on schedule; whether the data is made available to the public in a timely fashion; whether
                           previous data sets are also available for comparison; how easy it is for the public to access the data; whether data is
                           disaggregated by sex or other relevant criteria; if procedures for access are easily available to the general public; if the
                           methodology for statistical collection or interpretation is easily available or accessible to the general public; if there is
                           sufficient background information easily available or accessible so the data can be compared or analyzed
GGM Definition             independently, and the costs to the public, if any, of obtaining the information.




Sub-indicator: Public institution gathers and analyzes official data in a transparent way

                                              Y                   N                   data source                  verification method
                                                                                                                    Check internal act that
Public Relation department/person                                                                                  regulate data collection (if
                                                                                     Interview with
                                                                                                                   exist), as well as any
(within the institution) has other                                                   representative of
                                                                                                                   source of collected data
duties in addition to PR activities.                                                 institution
                                                                                                                   (internal or external
                                                                                                                   publications, web site etc).

                                                                                     Interview with
Data are posted on the internet or                                                   representative of
                                                                                                            Obtain a copy of annual
otherwise widely available to the                                                    institution; Internet,
                                                                                                            work plan for ___ (year)
public                                                                               relevant
                                                                                     publications.
                                                                                     Interview with
Source of data and                                                                   representative of
                                                                                                            Check Internet and
methodology for data collection                                                      institution; Internet,
                                                                                                            publications
appear with the data                                                                 relevant
                                                                                     publications.

Time of data collection and identity                                                 Interview with
                                                                                     representative of
of data collector (individual - if only
                                                                                     institution; Internet, Reading
one, department or firm) appears
                                                                                     relevant
with the data                                                                        publications.

                                                                                      Interview with
Previous data is equally available                                                   representative of
for comparison or baseline year is                                                   institution; Internet, Reading
clearly marked                                                                       relevant
                                                                                     publications.



Sub indicator: Public institution is responsive to requests for data


Checklist                                     Y                   N                   data source                  verification method
Additional data/statistics, collected
                                        Regular request for
but not regularly published by the                           Document with requested
                                        data during
institution, are available to the                           data.
                                        interview
public upon request

Specific FOIA requests
pertaining to official data are
                                        FOIA request         Submit a request.
being answered within the
statutory time
                                        Interview with
Institution has procedures allowing                          Check document where
                                        representative of
archived data to be retrieved.                               procedures are described.
                                        institution


Public has access to archived data
                                        FOIA request         Submit a request.
within FOIA deadlines

Institution provides web content        Interview with
targeted to key audiences                                     Check document and web
                                        representative of
                                                             items with content
(citizens, businesses, investors,       institution;
                                                             targeted to key/specific
etc - they define their key             document with this
                                                             audience.
                                        type of content.
public).
                           Comment for   relevance                   assessment
comment                    revisions     (coefficient 0 - 1)         score        total


                                                          0.64
                                                                     assessment
comment                                  relevance                   score        total
Yes and 10 points if
institution collects
regular (annual) data
                                                           0.17
that either constitutes
or contributes to
'official' datasets.




 Yes and 10 pts if                                         0.17
institution produce
annual work plan(s).

Yes and 10 points if
methodology appears
with data
                                                               0.1

Yes and 10 points if
time and identity of
collector appear with
data, half of scoring if
only one appears.
                                                               0.1

Yes and 10 points if
previous data is
equally available.
                                                               0.1


                                                                     assessment
comment                                  relevance                                total
                                                                     score
                                                          0.36
                                                                     assessment
comment                                  relevance                                total
                                                                     score
Yes and 10 points if
this condition is      0.16
accomplished.




Yes and 10 points if
request has been
answered in adequate
way
Yes and 10 points if
institution has such    0.1
procedure.
Yes and 10 points if
request has been
answered in adequate
way


Yes and 10 points if
institution provides    0.1
content.


                         1
DRAFT
Dimension:              Structure
Category:               Published Rates and Procedural Steps


                        Publicizing rates and procedural steps for services to citizens contributes to curbing corruption and reducing the
                        public perception of corruption in institutions. At a minimum the matrix should examine: (1) if services available to
                        citizens and their procedures (including those for complaints), rates, and timetables are posted in a public area
                        that is easily accessible and visible; (2) in how many other forms, including electronic, the information is available
                        and at what cost; (3) whether the information is easy to understand and follow; (4) whether the information is
GGM Definition          updated regularly; and (5) if specific people are clearly assigned to handling each stage of the procedural process.     comment
Sub-indicator: Public institution provides complete and accurate public
information regarding procedural steps for standard services

                                                                             data source                verification -
Checklist                                  Y                N                (person)                   source and method comment

                                                                                                                                                 USAID to provide a list
                                                                                                                                                 of 'standard services' to
                                                                                                        on the spot check of                     citizens and businesses
Public Relation                                                                                         bulletin boards, special                 to be checked for each
department/person (within the                                                                           publications and/or                      target institution; this
                                                                             N/A
institution) has other duties in                                                                        leaflets available in                    year, count as 'yes' if
addition to PR activities.                                                                              premises, and check web                  either one is 'yes' but
                                                                                                        site (3 clicks or less)                  make a comment
                                                                                                                                                 whether both or just one
                                                                                                                                                 'yes' apply




Free of charge information about
                                                                                                                                                  Yes and 10 pts if
standard services is easily                                                                             Obtain a copy of annual
                                                                             N/A                                                                 institution produce
accessible and visible by the                                                                           work plan for ___ (year)
                                                                                                                                                 annual work plan(s).
public



                                                                                                        random check for services
                                                                                                        specified by USAID by
                                                                                                        asking the clerk to walk
Information about the services
                                                                             clerk                      you through the procedure
posted is complete and accurate
                                                                                                        and comparing with
                                                                                                        information posted in
                                                                                                        premises


Contact information for                                                                                 on the spot check of
department/office/function that                                                                         bulletin boards, special
                                                                                                        publications and/or
can provide additional                                                       N/A
                                                                                                        leaflets available in
information or clarification of                                                                         premises, and check web
procedural steps is clearly marked                                                                      site (3 clicks or less)
                                                                   on the spot check of
Information about working hours                                    bulletin boards, special
of the different departments                                       publications and/or
                                                                   leaflets available in
providing services to the clients is
                                                N/A                premises, and check web
posted in the institution's
                                                                   site (3 clicks or less); on
premises and the institution’s                                     the spot check of
web-page                                                           compliance with 'break
                                                                   time'



Sub indicator: Public institution posts complete and accurate information                        comment
regarding rates for standard services

                                                data source        verification -
Checklist                               Y   N                                        comment
                                                (person)           source and method

                                                                   on the spot check of
Information about rates for                                        bulletin boards, special
standard services that the                                         publications and/or
                                                N/A
institution provides is posted in its                              leaflets available in
premises and/or on the web site                                    premises, and check web
                                                                   site (3 clicks or less)


                                                                   on the spot check of
Free of charge information about                                   bulletin boards, special
rates for standard services is                                     publications and/or
                                                N/A
easily accessible and visible by                                   leaflets available in
the public                                                         premises, and check web
                                                                   site (3 clicks or less)


                                                                   on the spot check of
Information about rates for                                        bulletin boards, special
                                                                   publications and/or
services posted is complete and                 N/A
                                                                   leaflets available in
accurate                                                           premises, and check web
                                                                   site (3 clicks or less)

Forms necessary to use for                                         on the spot check for
standard procedures are easily                  N/A                services outlined by
available and are free of charge                                   USAID
                                                                   on the spot check: cost of
Services related to procedural                                     photocopying and other
steps offered within the                                           services related to
                                                service provider
institution's premises are                                         procedural steps for
available at a reasonable cost                                     standard services; list
                                                                   other services
relevance                   assessment
(coefficient 0 - 1)         score        total

                      0.5

                            assessment
relevance                   score        total




                      0.1




                      0.1




                      0.1




                      0.1
            0.1

                  assessment
relevance                      total
                  score
            0.5
                  assessment
relevance                      total
                  score




            0.1




            0.1




            0.1




            0.1




            0.1
DRAFT
Dimension:            Accountability
Category:             Internal COI procedures


                      At a minimum, the matrix should consider whether the institution has its own procedures in place for ensuring that
                      employees comply with Serbia’s Zakon o drzavnim sluzbenicima, part III. (Prevention of conflict of interest), the
GGM Definition        quality of those procedures, whether it can document that it enforces those procedures and legal provisions, and
                      whether it can document the number of requests from the institution to the Republic Conflict of Interest Board and
                      High Civil Servants Council to determine possible violation of the law.




Sub-indicator: Public institution has internal COI procedures


Checklist                                Y             N             data source                verification method


Public Relation                                                                                 Check internal acts defining
                                                                     Manager/HR
                                                                                                such procedures and verify
department/person (within the                                        department or
                                                                                                instructions; verify clarity of
institution) has other duties in                                     custodian of
                                                                                                definition:" gift related to work"
addition to PR activities.                                           internal acts



Institution has internal
procedures for reporting the
                                                                     Manager/HR
existence of conflict of interest
                                                                     department or              Obtain a copy of annual work
in concrete cases (e.g.
                                                                     custodian of               plan for ___ (year)
involvement of “related persons”                                     internal acts
or personal interests in such a
procedure)


                                                                                                Check act defining
                                                                                                procedures or instructions
                                                                                                issued and look for at least
                                                                                                exemplary list of forbidden
Institution has instructions or                                      Manager/HR                 jobs, whether there is
procedures in place that                                             department or              information whom to address
regulate outside employment of                                       custodian of               for permission, whom to
employees                                                            internal acts              inform about additional work,
                                                                                                deadline to make decision
                                                                                                about permit and reasons to
                                                                                                be considered when issuing
                                                                                                permit



                                                                                                Check internal acts and verify
                                                                     Manager/HR
Institution has internal                                                                        instructions defining
                                                                     department or
instructions or procedures for                                                                  membership on boards to be
                                                                     custodian of
reporting membership on boards                                                                  reported, whom to report and
                                                                     internal acts
                                                                                                when
                                                                   Check internal acts and verify
                                                                   instructions defining
Institution has internal                         Manager/HR        managerial right and transfer,
instructions or procedures for                   department or     procedure of transfer,
reporting transfer of managerial                 custodian of      information whom to report
rights                                           internal acts     transferring and within what
                                                                   deadline.



Sub indicator: Public institution enforces internal COI procedures


                                                 data source       verification - source and
Checklist                          Y    N
                                                 (title of person) method


                                                                   records of the institution;
                                                                   records of the institution in
Institution enforces internal                                      charge of appointment of civil
                                                                   servants; records of the
procedures regulating receipt of
                                                 file custodians   Republican Board; check
gifts by employees and related
                                                                   concrete evidence that the
persons                                                            procedures were used at
                                                                   least once in 2007; count
                                                                   number of times used in 2007;




                                                                   records of the institution;
                                                                   records of the institution in
                                                                   charge of appointment of civil
Institution enforces internal                                      servants; records of the
procedures regulating outside                    file custodians   Republican Board; check
employment of employees                                            concrete evidence that the
                                                                   procedures were used at
                                                                   least once in 2007; count
                                                                   number of times used in 2007;



                                                                   records of the institution;
                                                                   records of the institution in
                                                                   charge of appointment of civil
                                                                   servants; records of the
Institution enforces internal                                      Republican Board; check
                                                                   concrete evidence that the
procedures regulating                            file custodians
                                                                   procedures were used at
membership on boards                                               least once in 2007; count
                                                                   number of times used in
                                                                   2007; see the list of
                                                                   institution's employees who
                                                                   are members of boards
                                                                  records of the institution;
                                                                  records of the institution in
                                                                  charge of appointment of civil
                                                                  servants; records of the
Institution enforces internal                                     Republican Board; check
procedures regulating transfer                 file custodians    concrete evidence that the
of managerial rights                                              procedures were used in
                                                                  2007; see the list of
                                                                  institution's employees who
                                                                  reported and transferred
                                                                  managerial rights



                                                                  records of the institution;
                                                                  records of the institution in
institution enforces internal                                     charge of appointment of civil
procedure for reporting the                                       servants; records of the
existence of conflict of interest                                 Republican Board; check
in a concrete cases (e.g.                      N/A                concrete evidence that the
involvement of “related persons”                                  procedures were used in
or personal interests in such                                     2007; ask for minutes where
procedure)                                                        such procedure is recorded,
                                                                  examined or discussed and
                                                                  verify if relevant



Sub indicator: Public institution seeks to promote compliance with COI Laws


Checklist                           Y   N       data source       verification method

Institution submitted requests                 Manager/HR
for advice to the Republic COI                 department or
Board or the High Civil Servants               custodian of
                                                                  Copies of requests submitted
Council in regards to potential                internal acts or
conflict of interest of its                    COI Board or
employees                                      High Council



Institution enforced                                              Institution’s documents
                                               Manager/HR         proofing implementation of
recommendations and
                                               department or      recommendations;
measures made by Republic
                                               custodian of       subsequently: interview with
COI Board and the High Civil                   internal acts      person in charge for COI or
Servants' Council                                                 human resource manager



                                                                  Ask contact persons to
                                                                  provide you with evidence of
                                               Manager/COI
Institution monitors compliance                                   such activity and verify
                                               person/ HR
with COI rules and procedures                                     relevance of presented
                                               department
                                                                  activities; note number and
                                                                  type of cases/actions taken
                                                   Records of the institution
Institution initiates disciplinary                 (reports on disciplinary or
                                     Manager/COI   sanctioning activities)
procedure and applies
                                     person/ HR    Subsequently: interview with
sanctioning mechanisms for
                                     department    person in charge for COI or
non-compliance by employees                        human resource manager




Institution educates its             Manager/COI   Records of institution
employees about COI rules and        person/ HR
procedures                           department



                                     TOTAL
                                           relevance                   assessment
comment                                                                             total
                                           (coefficient 0 - 1)         score




                                                                 0.3

                                                                       assessment
comment                                    relevance                   score        total

Y if they exist. Up to 3 points for
clarity of definition, up to 2 p. for
instructions about non-pecuniary
gifts, up to 3 p. for instructions about   0.05
gifts received by related persons,
and up to 2 p. for instructions about
reporting




 Yes and 10 pts if institution
                                           0.10
produce annual work plan(s).




Y if they exist. Score list of
forbidden jobs up to 2 p., whom
to ask for permission 2 p.,
                                0.05
whom to inform 2 p., deadlines
for decision 2 p, and reasons
2p.




Y if they exist. Score: up to 6 p.
for definition of membership,
                                   0.05
and up to 2p.for info whom to
report and when
Y if they exist. Score: up to 4p.for
clarification of HR, up to 4 p. for
instructions about procedure of        0.05
transfer, 1p.for whom to report and
1p.for deadline



                                                          assessment
comment                                relevance                       total
                                                          score
                                                    0.3

                                                          assessment
comment                                relevance          score        total



Y and 1p. if any. Additional
point for any other case.
Project team may give bonus
points (to calculate one case                      0.05
with 2 or 3 p. for institutions
with small number of
employees).




Y and 1p. if any. Additional
point for any other case.
Project team may give bonus
points (to calculate one case                      0.05
with 2 or 3 p. for institutions
with small number of
employees).




Y and 1p. if any. Additional
point for any other case.
Project team may give bonus
points (to calculate one case                      0.05
with 2 or 3 p. for institutions
with small number of
employees).
Y and 1p. if any. Additional
point for any other case.
Project team may give bonus
points (to calculate one case                 0.05
with 2 or 3 p. for institutions
with small number of
employees).




Y and 1p. if any. Additional
point for any other case.
Project team may give bonus
points (to calculate one case
with 2 or 3 p. for institutions
with small number of
employees).


                                               0.1
                                                     assessment
comment                           relevance                       total
                                                     score
                                               0.4
                                                     assessment
comment                           relevance          score        total



Y if any. However, N if request
was about issue clearly defined               0.06
in the law.




Y if it enforced all of them.
                                              0.04
Score either min or max.




Yes if any and 5p. Additional
up to 5 p. if control was
effective one.


                                              0.06
Y if any. However, N if the case
was not based on facts. Up to
4p. On the basis of initiated
procedures, and 6p. For
sanctions imposed.

                                   0.14
Y if any and 2p. Additional 2 p.
for providing copies of
document or posting it on web.
Additional up to 6 p. for
trainings or distribution of
written instructions.               0.1
                                     1
DRAFT
Dimension:              Accountability
Category:                Asset, income and property declarations



                        At a minimum, the matrix should consider the percentage of employees covered by the Zakon o sprecavanju sukoba interesa
GGM Definition          submitting the report(s) required by Articles 12, 13 and 14 of the law.




Sub-indicator: Relevant public officials submit declarations

Checklist                                 Y            N             data source                 verification method

Public Relation                                                                                  Republican Board for COI (RBCI) data -
                                                                                                 interview or request for number
department/person (within the                                        RBCI staff; target
                                                                                                 submitted; target institution and/or RBCI
institution) has other duties in                                     institution staff
                                                                                                 for total number; compare datasets and
addition to PR activities.                                                                       calculate % but have #available



Number of officials required to
submit report and number of
officials who have submitted                                         RBCI staff; target          Obtain a copy of annual work plan for
declarations within the legal                                        institution staff           ___ (year)
timeframe for 2007 and for the
latest annual report (January 31st)

The institution has formal                                                                       collect internal guidelines provided by
                                                                     Personnel
mechanism(s) to verify that                                                                      institution or note statement of official
                                                                     department or
required income/asset                                                manager
                                                                                                 about who is responsible for verification
declarations have been sent                                                                      and how verification is made


Institution makes data about
                                                                     Personnel                   Search in internet or FOIA bulletin for
current incomes of its officials
                                                                     department or               updated data, submit FOIA request if
from the budget available to the
                                                                     manager                     such data is missing
public


Institution collects declarations                                    Personnel
                                                                                                 Search internet; ask manager whether
and provides public access to                                        department or
                                                                                                 such database exists and check if so
declarations                                                         manager




Sub indicator: Relevant officials and institution cooperate with conflict of interest board


Checklist                                 Y            N             data source                 verification method
Institution provides RBCI, in a
                                          RBCI and
timely manner, with names of
                                          personnel          Cross-check
officials obligated to submit
                                          department
declarations in 2007




Institution provides RBCI, in a           RBCI and
timely manner, with names of              personnel          Cross-check
officials resolved during 2007            department



Number of public warnings and
directives issued by the RBCI to
                                                             Collect information and check against
the institution's officials in relation   RBCI
                                                             overall number of officials in institution
to submission of declaration in
2007
Number of officials in target
institution receiving public
                                                             Collect information and check against
announcement of                           Official Gazette
                                                             overall number of officials in institution
recommendation for dismissal
in 2007
Orders or recommendations of                                 Collect information and check how many
                                          RCBI and
RCBI respected by                                            warnings and recommendations were
                                          personnel
institution/officials (those              department
                                                             fulfilled against overall number of issued
related to asset declaration)                                recommendations and warnings
                                 relevance           assessment
comment                                                           total
                                 (coefficient 0 - 1) score

                                 0.70
                                                  assessment
comment                          relevance        score           total



Y if all submitted reports       0.20




 Yes and 10 pts if
institution produce annual       0.20
work plan(s).




Y if exist in writing; greater
score if institution collects
statements of official or
check facts with RBCI
                                 0.10
Y if provide at least on the
basis of FOIA request;
greater score if provided
without request
                                 0.10

Y if collects; greater score
if public has access to
declarations, greatest
score if declarations are
posted on web-page
                                 0.10

                                                  assessment
comment                          relevance                        total
                                                  score

                                                  assessment
comment                          relevance        score           total
Y if provided in all
instances. Score directly
related to percentage of
                            0.06
information provided within
15 days upon appointment
or RCBI request



Y if provided in all
instances. Score directly
related to percentage of
                            0.06
information provided within
15 days upon appointment
or RCBI request


Y if there was no such
warning. Score decreases
from max one point for
each 5 % of officials
warned                      0.04
Y if there was no such
warning. Score decreases
from max one point for
each 1 % of officials
receiving such decision
                            0.04
Y if all fulfilled. Score
directly related to the
number of fulfilled
warnings and
recommendations.            0.10
DRAFT
Dimension: Accountability
Category: Classification of information




                       at a minimum, the matrix should consider whether the institution has identified all statutes or by-laws which allow it not to disclose non-personal
                       information to the public; whether the institution has standards and procedures in place to determine which non-personal information it is entitled
GGM Definition         not to disclose to the public under any statute or by-law; the quality of those standards and procedures, and the quality of their implementation.

Sub-indicator: Public institution has internal procedures regarding non-disclosure of information

Checklist                                 Y                  N                   data source                    verification method
Public Relation
                                                                                 Interview with
department/person (within the
                                                                                 representative of              Copy of internal acts on procedures
institution) has other duties in
                                                                                 institution
addition to PR activities.

Institution has a list of all legal
                                                                                 Interview with
provisions pertaining to                                                                                        Obtain a copy of annual work plan for ___
                                                                                 representative of
classification and non-disclosure                                                                               (year)
                                                                                 institution
of data/information

Institution has internal                                                         Interview with
regulations governing                                                            representative of              Copy of internal acts on procedures
classification of information                                                    institution


Institution has procedures and
                                                                                 Interview with
standards for responsible
                                                                                 representative of              Copy of internal acts on procedures
persons/body to de- and/or re-
                                                                                 institution
classify information/data


Institution has regulated the
storage of and access to                           Interview with
various categories of                              representative of Copy of internal acts on procedures
classified/protected                               institution
information
Sub indicator: Public institution enforces procedures regarding classification and protection of
information/data
Checklist                                 Y                  N                   data source                    verification method

Institution complies with orders of
the FOIA Commissioner
regarding release of
                                                                                 FOIA Commissioner              Answered question.
information/data the institution
had indentified as classified or
protected

Institution has mechanisms
                                                                                 Interview with
for handling complaints about
                                                                                 representative of              Written procedures or internal act
denial of access to classified                                                   institution
or protected information
Rules and procedures on
                                     Interview with
classification and protection of
                                     representative of   Web site, publication, board or other source
information/data are widely and
                                     institution
easily available to the public



List of all legal provisions
pertaining to classification and     Interview with
non-disclosure of                    representative of   Web site, publication, board or other source
data/information is widely           institution
available to the public


Rules and procedures on access
to classified and protected          Interview with
access to information/data are       representative of   Web site, publication, board or other source
widely and easily available to the   institution
public
                             relevance
comment                      (coefficient 0 - 1)         assessment score total
                                                   0.5

comment                      relevance                   assessment score total

Yes and 10 points if
institution has                                0.12
mentioned act.


 Yes and 10 pts if
institution produce                                0.1
annual work plan(s).


Yes and 10 points if
institution has internal
regulations.                                   0.12
Yes and 10 points if
institution has both
procedures and
standards. Half of
scoring if institution has
or procedure or
standards.                                     0.06


Yes and 10 points if
institution has regulated
the storage.
                                                   0.1
comment                      relevance                   assessment score total
                                               0.5
comment                      relevance                   assessment score total



Yes and 10 points if
                                                   0.1
institution complies.




                                                   0.1
Yes and 10 if institution
has such mechanism.
Yes if it's available;
                Ways of
availability: 1) web site;    0.1
2) publication; 3) boards
 10 if 3 of 3, 7 if 2 of 3,
4 if 1 of 3, 0=0


Yes if it's available;
                Ways of
availability: 1) web site;    0.1
2) publication; 3) boards
 10 if 3 of 3, 7 if 2 of 3,
4 if 1 of 3, 0=0


Yes if it's available;
                Ways of
availability: 1) web site;    0.1
2) publication; 3) boards
 10 if 3 of 3, 7 if 2 of 3,
4 if 1 of 3, 0=0
                               1
DRAFT
Dimension:              Accountability
Category:               Personal data protection




                        The matrix should consider whether the institution has identified all statutes and by-laws which regulate personal data protection
                        (namely collection, retention, processing, and disclosure of personal data to data subjects and third parties); whether the institution
GGM Definition          has internal standards and procedures to that effect in place and the quality of their implementation.


Sub-indicator: The Institution has procedures in place for the protection of personal data in its possession that are
available to the public




Public Relation department/person (within the institution) has other duties in addition to PR activities.
                                Y             N             data source                verification method
                                                                                                                         Obtain a copy of annual work plan for ___ (year)




The institution has adopted internal                                                                                     Copies of documents outlining
standards and procedures for                                                      data protection offices or              standards and procedures for
gathering, retention, and processing                                              the responsible person                 gathering, retention, and
of personal data                                                                                                         processing of personal data




The institution has adopted internal
                                                                                                                         Copies of documents outlining
standards that prevent keeping of
                                                                                                                         standards and procedures
personal data longer than it is                                                   data protection offices or
                                                                                                                         that clearly define
required (i.e. prescribed by statutory                                            the responsible person
                                                                                                                         deadlines/refer to relevant
provisions or defined by the purpose
                                                                                                                         statutory provisions
for which the data were stored)
The institution has adopted internal
standards and procedures
regulating the exercise of statutory
                                                                                           Copies of documents outlining
rights of data subjects (e.g. right to
                                                                                           standards and procedures
access data held about him/her,
                                                             data protection offices or    regulating the exercise of the
right to request rectification or
                                                             the responsible person        statutory rights of data
deletion of data, etc.), and for
                                                                                           subjects, and for disclosure of
disclosure of personal data to third
                                                                                           personal data to third parties
parties




The institution has adopted internal
security standards and procedures
for the protection of personal data
                                                                                           Copies of documents outlining
against accidental/unauthorized
                                                             data protection offices or     internal security standards
destruction, accidental loss, or
                                                             the responsible person        and procedures for protection
unauthorized access,
                                                                                           of personal data
alteration/dissemination




                                                             1. web-site; 2.
Information about standards ad                               instruction's premises; 3.
procedures for gathering, retention,                         institution's publications;
                                                                                           1. web-site; 2. institution's
processing, disclosing and                                   4. interview with Public
                                                                                           premises; 3. institution's
protecting personal data in its                              Information Officer; 5.
                                                                                           publications; 4. FOIA request
possession (i.e. 10, 11, 12 and 13)                          responsible person if
are available to the public                                  information is otherwise
                                                             unavailable



Sub indicator: The Institution has made staffing, operational and technical arrangements for the protection of
personal data in its possession

Checklist                                 Y     N            data source                   verification method


It is clear who, in the institution, is
tasked with assignments related to
personal data protection (for                                                              1. Systematization Act; 2.
example, maintaining and updating                                                          Appointment decision; 3.
                                                             manager (interview)
the personal data registry,                                                                check with the designated
processing requests for access to                                                          person and the mailroom
personal data held by the institution,
etc.)
Responsible staff received training
and/or instructions within last 12                            manager (interview)          instructions/training materials
months




The institution has a record
(“registry”) of data contained within
its filing systems (i.e. information on
the type of personal data collected                           data protection offices or
                                                                                           on-sight check of the registry
and retained, the legal basis for it,                         the responsible person
the manner in which the data was
collected, and the categories of
population covered)




                                                                                          data officer or a responsible
Staff within the institution has been                                                     person explains how such
informed about (sensitized to)                                                            information was distributed
standards and procedures for                                  copy of letters/information and researcher randomly
gathering, retaining, processing,                             sheets sent to employees checks information obtained
disclosing and protecting personal                                                        with employees
data
                                                                                           instruction/training materials


Sub indicator: The institution has an effective system of personal data protection


Checklist                                 Y      N            data source                  verification method


                                                                                           1. record of the institution
                                                                                           (record the total number of
The institution has complaints for
                                                                                           complaints on unauthorized
allowing unauthorized access to                               manager or data
                                                                                           access filed against the
personal data by third parties filed                          protection person
                                                                                           institution and the total
against it upheld by a second                                 (interview)
                                                                                           number of complaints upheld
instance review body
                                                                                           by the second instance review
                                                                                           body)



                                                              records on the total
                                                              number of requests
                                                              denied based on personal
The institution has had orders                                data protection and the
issued by the Public Information                              total number of orders       check the information receive
Commissioner for limiting public                              issued by the Public         from the institution on the total
access to personal data when                                  Information                  number of complaints upheld
access was granted by law (i.e. the                           Commissioner stating that    from the Office of the Public
institution does not limit public                             the data was unlawfully      Information Commissioner
access when it is granted by law)                             denied (information held
                                                              by the Public Information
                                                              Officer or the head of the
                                                              institution)
                                         records of the institution   basis for denial of access
                                         on the total number of       (check with the data
Data subjects can access data held
                                         requests received in 2006    protection officer or the
about them
                                         and the total number of      responsible person); review of
                                         requests denied              denials for basis if possible




                                         records of the institution   basis for denial of access
Institution responds to requests of
                                         on the total number of       (check with the data
data subjects for deletion and
                                         requests received in 2006    protection officer or the
rectification of incorrect/not-updated
                                         and the total number of      responsible person); review of
data
                                         requests denied              denials for basis if possible




                         TOTAL
                                               relevance
comment                                        (coefficient 0 - 1)         assessment score   total



                                                                     0.3



comment                                        relevance                   assessment score   total
Yes and 10 pts if institution produce annual work plan(s).

The answer Y if there are written
procedures regulating any aspect of the
issue; scoring guidelines:
1) procedures clearly define lawfulness, for
which limited purposes it can be held,
duration for which it can be kept
2) procedures clearly define
procedures/steps for gathering, retention,
and processing of personal data
                                                                0.06
3) procedures clearly define deadlines
4) procedures include principles for
handling sensitive data
if all 4 requirement met, score 10
if any 3 of 4 requirements met, score 6
if any 2 of 4 requirements met, score 3
if any 1 of 4 requirement met, score 1




The answer Y if there are written
procedures which clearly define deadlines                       0.06
or refer to relevant statutory provisions
The answer Y if there are written
procedures regulating any aspect of the
issues; scoring guidelines:
1) procedures clearly define coverage (i.e.
right of the data subject to access data
held about him/her, right to request
rectification or deletion of data; which data
is accessible to third parties)
2) procedures clearly define eligibility (i.e.
guidelines on who can request rectification
or deletion;                                                 0.06
persons/institutions/organizations that can
request access or those who don't)
3) procedures clearly define procedural
steps
4) procedures clearly determine the status
of sensitive data
if all 4 requirement met, score 10
if any 3 of 4 requirements met, score 5
if any 2 of 4 requirements met, score 3
if any 1 of 4 requirement met, score 1


The answer Y if there are written
procedures regulating any aspect of the
issue; scoring guidelines:
1) regulations clearly define division of
responsibility                                               0.06
2) regulations clearly define procedural
steps
if both requirement met, score 10
if 1 of 2 met, score 3




Any item should be available in forms 1, 2,
3 and 4 described on left.
1+2+3+4=10
1+2+4 = 7 or 2+3+4=5                                         0.06
1+2 = 3 1(or 2)+3=2
through 4 (FOIA request) = 1
None =0 (same as "no")




comment                                          relevance          assessment score   total

                                                              0.3

comment                                          relevance          assessment score   total


Scoring guidelines:
1) clear who maintains data registry
2) clear who processes request
3) clear who is responsible for security
measures                                                      0.1
3 of 3 = 10
2 of 3 = 6
1 of 3 = 3
0 = 0 (same as 'no')
Scoring guidelines:
-training + written guidelines= 10
-only written guidelines = 7                              0.05
-only training = 5 - only informal verbal
instructions by supervisor = 2


Scoring guidelines:
data registry notes:
1) type of personal data
2) legal basis for it
3) manner in which data collected
4) categories of population covered
if all 4 requirement met, score 10
if any 3 of 4 requirements met, 6
if any 2 of 4 requirements met, score 3
if any 1 of 4 requirement met, score 1
0 = 0 (same as if there were no registry at
all)                                                       0.1


Scoring guidelines:
-training + written guidelines= 10
-only written guidelines = 7
                                                          0.05
-only training = 5
-only informal verbal instructions by
supervisor = 2



                                              relevance          assessment score   total

                                                           0.4

comment                                       relevance          assessment score   total


Complaints upheld in 50% or more cases
would constitutes a Y. Sores will be
assigned as follows: up to 10%=10
up to 20%=9
                                                          0.08
up to 30%=8
up to 40%=7
up to 50%=6
over 50%=0




Orders issued in more then 50% or more
cases constitutes a Y. Sores will be
assigned as follows: up to 10%=10
up to 20%=9
up to 30%=8
up to 40%=7
up to 50%=6
over 50%=0




                                                          0.08
Acceptance of requests in 50% or more
cases will constitute a Y. Relation of
percentages and scores assigned will be:

0=0
up to 50%=1                                0.08
up to 60%=3
up to 70%=5
up to 80%=7
up to 90%=9
100%=10



Acceptance of requests in 50% or more
cases will constitute a Y. Relation of
percentages and scores assigned will be:

0=0
up to 50%=1                                0.08
up to 60%=3
up to 70%=5
up to 80%=7
up to 90%=9
100%=10

                                             1
DRAFT
Dimension:            Accountability
Category:             Monitoring and Evaluation


                      The matrix should consider whether there are structured efforts to measure progress towards the stated goals and
                      objectives, including whether the evaluations are done internally or by external factors, whether evaluation findings are
GM Definition                                                                         comment
                      available to the institution’s staff and/or the public, how readily and at what cost.

Sub-indicator: Public institution measures progress towards stated goals and objectives

Checklist                                Y                  N                   data source                verification method                    comment

Public Relation
                                                                                Interview with             Copies of internal documents Yes and 10 pts if
department/person (within the
                                                                                representative of          that regulate internal goals institution has internal
institution) has other duties in
                                                                                institution                and objectives               strategic document(s).
addition to PR activities.



Institution has indicators to                                                   Interview with                                           Yes and 10 pts if
                                                                                                           Obtain a copy of annual work
track progress towards the                                                      representative of                                       institution produce
                                                                                                           plan for ___ (year)
stated goals and objectives                                                     institution                                             annual work plan's).




                                                                                                           Availability of assessment
Institution conducts                                                                                       and evaluation reports, list
assessments and                                                                                                                                   Yes and 10 pts if
                                                                                Interview with             dates and scope of each
                                                                                                                                                  institution conduct
evaluations to verify                                                           representative of          assessment/evaluation
                                                                                                                                                  assessment and
progress on stated goals and                                                    institution                report and classify as
                                                                                                                                                  evaluations.
                                                                                                           internal, external or
objectives
                                                                                                           combined;



                                                                                                                                Yes and 10 pts if
                                                                                Interview with
                                                                                                                                institution's budget
Institution has a budget line for                                               representative of Specific budget line item and
                                                                                                                                has a specific budget
assessments and evaluations                                                     institution (finance note the amount for 2007.
                                                                                                                                line. 5 pts. If donor
                                                                                manager)
                                                                                                                                fund it.




Institution has integrated                                                      manager, HR                                                       Yes and 10 pts if
                                                                                department staff  Systematization act or other                    institution's has
M&E function into its staffing                                                  or other          internal documents                              integrated M&E
arrangements                                                                    designated person                                                 function


                                                                                                                                                  comment
Sub indicator: Public institution manages for results


Checklist                                Y                  N                   data source                verification method                    comment
                                                                                        Yes and 10 pts if
Institution disseminates findings                       Web-page, publication,          institution
                                    Interview with      boards or other evidence        disseminates findings
and recommendations of
                                    representative of   demonstrating that the          and
assessments and evaluations
                                    institution         findings have been              recommendations of
internally.                                             disseminated                    assessments and
                                                                                        evaluations internally.



                                                        List of specific changes in
                                                        policy and/or operations as a
Institution applies lessons         Interview with      result of evaluations
learned and recommendations         representative of   (interview and/or report)
from evaluations                    institution         and/or timetable for
                                                                                      Yes and 10 pts if
                                                        implementation of
                                                                                      institution applies
                                                        recommendations
                                                                                      results of evaluation

                                                        Web-page, publication,
Assessment and evaluation                                                               Yes and 10 pts if
                                    Interview with      boards or other evidence
                                                                                        assessment and
results are available to the        representative of   demonstrating that the
                                                                                        evaluation results are
public                              institution         findings have been available
                                                                                        available to the public
                                                        to the public

                                                         Beside list of broader
Institution is aligning its                                                             Yes and 10 pts if
                                                        strategies, ask the
                                    Interview with                                      institution is
strategic priorities with                               representative for very
                                    representative of                                   harmonizing its
broader, sector or other            institution
                                                        concrete example for aligning
                                                                                        strategies with
higher level strategies.                                the priorities with broader
                                                                                        broader strategies.
                                                        strategies.
Institution collects data on        Interview with                                      Yes and 10 points if
any additional indicators that      representative of   A list of those indicators      institution collects
                                    institution                                         data and indicators.
are consistently and widely
Comment       relevance            assessment
for revisions (coefficient 0 - 1) score         total
                              0.52
                                   assessment
              relevance            score        total


                             0.1




                            0.11




                            0.11




                             0.1




                             0.1
                                   assessment
              relevance                         total
                                   score
                           0.48
                                   assessment
              relevance                         total
                                   score
0.14




0.14



0.12




0.08




  1
DRAFT
Dimension: Management
Category: Comprehensive                        budget


                       A comprehensive budget captures the totality of government's or a particular public institution's financial operations.
                       These include the total revenues to be collected, funds to be expended, debts to be repaid, and new and old liabilities to
                       be incurred. The full picture of the government's financial status cannot be captured if some programs, agencies or
                       commitments are "off-budget," or outside the budget. Comprehensiveness also implies providing data that cover several
                       years. At a minimum, budgets should include information on estimated levels of expenditure and revenues in the year
                       immediately following the budget year as well as the actual levels for the year or two prior to current budget year. At a
                       minimum, the matrix should consider the following elements of a sound budget system: a) the legal and regulatory
                       framework to define institutional roles and responsibilities, including checks and balances; b) the comprehensiveness of
                       the institution's budget; and c) accurate and timely spending reports and projections;
GM Definition
Sub-indicator: Public institution has regulatory and staffing arrangements in place for
an effective budget process
                                                    data
Checklist                      Y         N          source     verification method

                                                                                                   check: Internal act,
                                                                                                   Systematization act, Appointment
                                                                                                   decision; If needed: consultation
Public Relation                                                                                    with head of financial department;
                                                                                Head of
department/person (within the                                                                      Optional: visit to appointed
                                                                                Finance
institution) has other duties in                                                                   person; collect documents, if
                                                                                Department
addition to PR activities.                                                                         needed after consultations with
                                                                                                   head of FD, mark provisions
                                                                                                   about procedure and decisions
                                                                                                   where persons are assigned tasks




Institution's budget includes
information on revenue,
                                                                                Head of
expenditure and financial                                                                          Obtain a copy of annual work
                                                                                Finance
assets/liabilities, arranged by                                                                    plan for ___ (year)
                                                                                Department
economic and functional
classification



                                                                                                   check job descriptions and
Institution has staff dedicated to                                              Head of
                                                                                                   appointment letters and/or other
budget preparation, execution                                                   Finance
                                                                                                   internal acts; talk to relevant staff
and reporting                                                                   Department
                                                                                                   in these roles


Expenditure controls limit
                                                                                Head of
commitments to actual cash
                                                                                Finance            Obtain copies of policy documents
availability and approved                                                       Department
budget allocations
                                                    Head of
                                                                   check Internal act,
                                                    Finance
                                                                   Systematization act and
                                                    Department
                                                                   Appointment decision; collect
Institution has regulatory and                      and/or
                                                                   documents, mark provisions
institutional framework for                         designated
                                                                   about procedure and decisions
internal audit function                             persons with
                                                                   where persons are assigned
                                                    internal
                                                                   tasks; optional: meet with
                                                    audit
                                                                   designated persons
                                                    function



Sub indicator: Public institution has effective financial reporting and control
mechanisms in place
                                                    data
Checklist                            Y   N                         verification method
                                                    source
Recommendations made by                                            Check Internal auditor's report for
internal auditor during the                                        2006 and evidence that
                                                    Internal Auditor
execution of the budget are                                        recommendations were taken into
taken into account                                                 account



                                                    Head of        check Audit findings; note year
Institution complies with
                                                    Finance        when Audit was conducted;
external audit findings                             Department     check evidence of compliance




Execution reports allow for direct                                 Review or obtain a copy of an in-
comparison to the original                          Head of        year budget report for 2006 and
budget, and track expenditure at                    Finance        the original 2006 budget;
both commitment and payment                         Department     compare (consult with FD
stages                                                             manager for help)



Institution's budget includes
information on estimated
expenditure and revenues in
                                                    Head of        check evidence of expenditure
the year immediately following
                                                    Finance        and revenues for 2005, 2006 and
the budget year as well as the                      Department     2007 in the 2007 budget
actual levels for the year or
two prior to the present
budget year


Institution complies with                                          Obtain copies of documents for
                                                    Head of        2007; check dates on the reports
statutory deadlines for
                                                    Finance        and compare with legal
reporting expenditures and                          Department     timeframe. Ask for clarification if
future budget projections                                          necessary



                                                    TOTAL
                             relevance                    assessment
comment                      (coefficient 0 - 1)          score        total

                                                   0.5
                                                          assessment
comment                      relevance                    score        total




Y if procedure is defined
in written and persons in
charge appointed. Half of                           0.1
score if only procedure
exists




 Yes and 10 pts if
institution produce annual                         0.15
work plan's).




Yes if they have staff
dedicated and a higher
                                                   0.05
score if all the positions
are filled


Yes if there are
expenditure commitment
                                                   0.05
and control regulations in
writing (for 2007)
Y if procedure is defined
in written and staff
designated. Half the score
if only procedures exists


                                          0.15


                                                 assessment
comment                       relevance                       total
                                                 score
                                          0.5
                                                 assessment
comment                       relevance                       total
                                                 score




                                          0.1




                                          0.1


Y if information is
provided. Proportionally
lesser score if information               0.05
is comparable with the
approved budget.




Yes if all three are
available in the 2007
budget



                                          0.05




Y if deadline respected,
                                           0.2
for both.




                                            1
DRAFT
Dimension:             Management
Category:              Transparent budgets


                       Transparency can be a matter of both tradition and law. Budget transparency can be supported by laws, which typically regulate
                       procedures for budgeting, economic reporting, and auditing. A transparent system of budgeting promotes participation in budget
                       issues by legislatures and civil society. Meaningful transparency, however, is not only about the availability of information, but also
                       its usefulness to the public debate and formulation of policy. Thus it is useful to think of transparency and participation together, and
                       that an aim of transparency is to promote greater participation. At a minimum the matrix should consider what stages of the budget
                       procedures (and what procedures) and what information about the budget are open to stakeholders and the public, and whether the
                       procedures for participation in the budget process are pre-determined and easily accessible.
GM Definition
Sub-indicator: Public institution provides public access to budget information

Checklist                                           Y               N               data source                verification method

Public Relation department/person
                                                                                    Manager/other     check document sent to the MoF
(within the institution) has other duties
                                                                                    designated person feeding into 2007 budget process
in addition to PR activities.

Institution publishes the
                                                                                    Manager/other     Obtain a copy of annual work plan
macroeconomic and sector specific                                                   designated person for ___ (year)
assumptions of the budget in a format

                                                                                    Head of Finance            Check web-site and official gazette and
Institution makes information about                                                 or Manager if              make notes; alternatively, collect
the amount and structure of its budget                                              information is not         documents from head of financial
widely and easily available to the public                                           available                  department; or submit FOIA request for
                                                                                    otherwise                  institution's budget financial plan


Institution includes
                                                                                                               Check evidence that donor
income/expenditure information for                                                  Head of financial
                                                                                                               funding is included in 2007 fiscal
donor-funded projects in its fiscal                                                 department
                                                                                                               report
reports
Institution makes budget narrative                                                  Head of financial
                                                                                                               Check evidence that the 2007
easily and widely available to the                                                                             budget narrative was made
                                                                                    department
                                                                                                               available to the public
public


Sub indicator: Public institution supports citizen participation in budget preparation


Checklist                                           Y               N               data source                verification method



Institution has mechanisms for public                                                                          Check whether mechanisms exist;
                                                                                    Head of Finance            check records of past utilization (in
participation in the budget/financial
                                                                                    Department                 2007) and obtain copies of typical
plan drafting process                                                                                          examples
Institution makes supporting                               Obtain documents, ask head of
                                                           FD to identify how documents
documentation available to potential     Head of Finance
                                                           were made available to potential
participants before public               Department
                                                           participants; ask for evidence to
debate/consultation                                        support his/her claim for 2007




                                                           obtain list or review records;
Institution considers budget                               identify number of proposals
                                         Head of Finance   received, number of proposals
suggestions received from
                                         Department        accepted by institution and
beneficiaries and citizens                                 number of proposals not accepted
                                                           but answered by the institution




Institution makes information about
substantial changes to the budget        Head of Finance
                                                           Check evidence for 2007
during the budget year widely and        Department
easily available to the public

Institution makes its annual financial                     check web-site and premises;
                                         Head of Finance
reports widely and easily available to                     alternatively ask Head of finance
                                         Department
the public                                                 department

                                         TOTAL
                                  relevance           assessment
comment                           (coefficient 0 - 1) score        total

                                               0.6
                                                      assessment
comment                           relevance           score        total


Yes if there is evidence of
such a document

                                                0.1
 Yes and 10 pts if institution
produce annual work plan's).
                                                0.1

Y if both budget and
financial plan is collected.
Greater score if information                  0.15
is available on-line, lesser if
only through requests


Y if any of it is (in
subsequent years,
                                                0.1
triangulate with donors and
ISDACON)

Y if evidence is available
                                              0.15

                                                      assessment
comment                           relevance                        total
                                                      score
                                                0.4
                                                      assessment
comment                           relevance                        total
                                                      score

Y if mechanisms/records
exist. Please bear in mind
dates -- before July 15th for                 0.05
the local level and August
1st at the Republic-level
Y if documents were
identified in public
announcement and                0.05
available for free when
announcement was posted.



Y if institution accepted any
or answered to all
suggestions. Score reflects
percentage of suggestion
accepted or answered and
                                 0.1
clearly stated why the
suggestion is not accepted
(compared with overall
number of received
suggestions)

Y if the institution has
visibly posted changes in
the budget. Maximum              0.1
points if it explained the
implications

Y if available for 2007.
Maximum score if provided
                                 0.1
in a user friendly/easy to
understand format

                                  1
DRAFT
Dimension:              Management
Category:               Personnel recruitment and appraisal


                         The matrix should consider whether the institution conducts recruitment and appraisal in a fair and transparent manner, following relevant statutory
                        requirements (e.g. Law on State Servants and the Law on Employment in State Organs), and with a view of promoting competence, professionalism and
                        efficiency.
GM Definition
Sub-indicator: The institution's system for staff recruitment and appraisal complies with the Law on Civil Servants


Checklist                                 N/A           Y           N          data source

Public Relation
department/person (within the                                                  manager or other designated
institution) has other duties in                                               person (interview)
addition to PR activities.




Institution has conducted a
systematization of internal
                                                                               Obtain a copy of annual work plan
positions and has determined
                                                                               for ___ (year)
positions that need to be filled
out in a given year




Institution has written job
                                                                               HR manager
descriptions for its staff positions




Selection of candidates for
                                                                               manager (interview) or human
vacant positions is not in the
                                                                               resource department/person
competence of one person alone
Institution designates persons
who grade employees work,
persons who control initial
                                                         human resource department/person
assessments and sets
performance goals, to be
evaluated, in advance




Sub indicator: Institution complies with requirements for representation of national minorities, persons with disabilities
and both sexes in its personnel recruitment

Checklist                                 Y       N      data source
                                    N/A
Relevant staff are trained on
implementing procedures to
                                                         human resource department/person
ensure proportional
representation of national
Institution monitors compliance
with its hiring goals for
proportional representation of                           human resource department/person
national minorities, gender and
persons with disabilities during
Institution employees people with
                                                         human resource department/person
disabilities




Institution has women in senior
                                                         human resource department/person
positions




Sub indicator: Institution recruits employees in a transparent manner


Checklist                                 Y       N      data source
                                    N/A



Institution meets statutory
requirements for posting internal                        human resource department/person
openings
Institution meets statutory
requirements for posting external    human resource department/person
openings




Institution provides applicants      human resource
with information to submit           department/person; NHRMS web-
competitive job applications         site; newspaper (where necessary)




Institution verifies professional
qualifications, knowledge and
                                     human resource department/person
skills of applicants for vacant
positions




Institution maintains a good         human resource department/person
                                     and the Government's Grievance
record of procedural violations in
                                     Committee (NHRMS) and the
recruitment
                                     Judicial Grievance Committee
                                     (Supreme Court of Serbia)


                                     TOTAL
l in a fair and transparent manner, following relevant statutory                                                  relevance
s), and with a view of promoting competence, professionalism and
                                                                                                                  (coefficien assessm
                                                                   Scoring guidelines:                   Comment: t 0 - 1)    ent score total
complies with the Law on Civil Servants                                                                                   0.4
                                                                                                                             assessme
                    verification method                            comment                                         relevance nt score total


                    1. Systematization Act; 2. Appointment         likely to have several different
                    decision; 3. check with the designated         persons but the purpose is to check                   0.08
                    person and the mailroom                        whether there is a system




                                                                   Scoring guidelines:
                     Yes and 10 pts if institution produce         if both=10, if 1 of 2= 5
                                                                                                                         0.08
                    annual work plan's).




                    Check job descriptions for: 1. senior
                    level positions; 2. junior level positions;
                    3. vacant positions; depending on the
                    number of employees, check between 5                                                                 0.08
                    and 15 total and mark whether each
                    position description contains language
                    on perquisite qualifications


                                                             selection conducted by multiple
                                                            persons (e.g. Competition
                                                            Committees) in 50% or more cases
                                                            will constitute a Y. Relation of
                    review of decisions to form Competition
                                                            percentages and scores assigned
                    Commissions; if not applicable, check
                                                            will be:
                    with the human resource
                                                            0=0                                                          0.08
                    department/person how many persons
                                                            up to 50%=1
                    and of what profile participate in the
                                                            up to 60%=3
                    selection process
                                                            up to 70%=5
                                                            up to 80%=7
                                                            up to 90%=9
                                                            100%=10
              for the same 5 - 15 positions checked
              under 'written job descriptions', check
              evidence that graders and controllers
                                                                                                         0.08
              have been appointed and that
              performance goals have been
              established for 2007 evaluation cycle




                                                                                                                assessme
f national minorities, persons with disabilities                                                   relevance             total
                                                                                                                nt score
                                                                                                          0.2
                                                                                                                assessme
              verification method                         comment                                  relevance             total
                                                                                                                nt score
              copies of information sheets/letters;
              alternatively, HR person explains how
              the information has been distributed
                                                                                                         0.03
              copy of a document outlining the
              monitoring mechanism and/or on-sight
              check; alternatively, check the                                                           0.046
              statement of the HR person with the
              manager
              random check of 1 -3 individuals
              identified by HR to make sure that                                                         0.06
              they're on the job

              check organogram and verify which
              positions are considered as 'senior'
              positions; establish 1. total number of
              institution's current employees,                                                          0.046
              disaggregated by sex; 2. total number
              of filled senior positions, disaggregated
              by sex

                                                                                                                assessme
                                                          comment                                  relevance             total
                                                                                                                nt score
                                                                                                          0.4
                                                                                                                assessme
              verification method                         comment                                  relevance             total
                                                                                                                nt score

                                                          Scoring:
              NHRMS website and the NHRMS for
              public administration organs;               3 of 3 = 10
              researcher random checks with several       2 of 3 = 4 (drastically lower, since
                                                                                                         0.08
              employees                                   relevant by-laws envisage all 3
                                                          methods)
                                                          1 of 3 =1 * this will be verified on a
                                                          sample of adds (3 or 5)
                                        Scoring for public administration
                                        organs:
For public administration organs:       4 of 4 =10
NHRMS website (information on the       3 of 4 = 5 (drastically lower, since
Official Gazette where the competition  relevant by-laws envisage all 4)
was advertised may also be found        2 of 4 = 3
there); records of the HR department on 1 of 4 =1 * this will be verified on a
                                                                                   0.08
sending an add for an open position to sample of adds (3 or 5)
a daily newspaper to be published and n.b. the scale would have to be
check with the National Employment      adjusted based on statutory
Service. For other institutions         obligations of a particular institution
verification method should be           being surveyed.
determined based on their statutory
obligations concerning advertising open
positions.


random sample and check job
                                             Scoring: if all 4 elements present,
notices/ads to see if they specify: 1) job
                                             score = 10
description, 2) required education and
                                             if 3 of 4 elements present= 6
experience 3) skills/knowledge to be                                               0.08
                                             if 2 of 4 elements present= 3
assessed and the manner of
                                             if 1 of 4 elements present= 1
assessment; and 3) deadline for
                                             0=0
applications



                                             Relation of percentages and scores
                                             assigned will be:0=0
                                             up to 50%=1
copies of tests or records (zapisnici) of,
                                             up to 60%=3
e.g., the Competition Commission
                                             up to 70%=5                           0.08
meetings ; check with the manager and
                                             up to 80%=7
the NHRMS
                                             up to 90%=9
                                             100%=10 50% and more will
                                             constitute a Y.


check record on the number of
recruitment complaints filed against the
institution; check number of successful
                                                                                   0.08
complaints; check total number of
complaints vs. the total number of
recruitments conducted


                                                                                     1
DRAFT
Dimension:              Management
Category:               Ethical Code of Conduct


                        Ethical codes, as opposed to disciplinary codes, encourage professional behavior. At a
                        minimum, the matrix should consider whether ethical codes are in place for different
                        categories of employees, the quality of the code(s), and their utilization and enforcement.

GGM Definition
Sub-indicator: Public institution promotes specific values through an Ethical Code of Conduct

Checklist                             Y          N           data source          verification method

Public Relation                                              HR/Manager or
                                                             designated           Obtain a copy of the Code from the
department/person (within the
                                                             person (if           institution's web-page or from the
institution) has other duties in
                                                             required)            contact person in the institution
addition to PR activities.


Institution specified the values to                          N/A unless
                                                             multiple Codes       Obtain a copy of annual work plan for
be upheld by its employees in the
                                                             are in use. If so,   ___ (year)
Code of Conduct                                              contact HR



                                                             N/A unless
Provisions in the Code of Conduct                            multiple Codes       Obtain a copy of the Code; the expert
are clear and unambiguous                                    are in use. If so,   team to identify and note the values
                                                             contact HR


Institution's Code of Conduct
                                                             N/A                  Obtain a copy of the Code.
stresses transparency and good


                                                                                  Check appointment decision, act on
                                                                                  the establishment, or other document.
Institution has a mechanism in                               Monitoring            Interview the monitoring person. If a
place to monitor implementation                              person/body          monitoring body is envisaged, check
of the Code of Conduct                                       members              that it has been fully established and
                                                                                  operational. Note other duties of the
                                                                                  monitoring person(s).




Sub indicator: Institution requires ethical conduct of its employees


Checklist                             Y          N           data source          verification method
                                                        Check training material/reports,
                                                        copies of written instructions, letters
Institution reinforces knowledge      HR/manager or     to employees accompanying the
about the Code of Conduct             Monitoring Body   Code. Consult with HR/manager for
among its employees                   head/member       other ways in which use of the Code
                                                        is encouraged. List all of the different
                                                        ways identified.




                                                     Code, internal act re: establishment of
                                                     a monitoring body, instructions issued
                                                     about the implementation of the Code;
                                                     interview MB member and check
Institution counsels employees                       records: requests for advise in writing
regarding the implementation of       MB head/member or records on consultations. Obtain
the Code of Conduct                                  copy of the listed documents, or
                                                     review the database or the listing from
                                                     the database if information is
                                                     classified. Ask MB member about the
                                                     way in which they provide advise




                                                        Check Annual Report of the
                                                        monitoring body (MB) and/or
Institution enforces compliance                         documentation about the cases
                                      Monitoring body   opened/resolved; note figures in the
with its Code of Conduct
                                      head/member, if   report; compare dates when reported
                                      necessary         to MB with dates when MB issued a
                                                        decision; count number of cases
                                                        initiated by MB; consult with the
                                                        person in charge, if necessary.




Institution rewards ethical conduct
of its employees                      Monitoring body   Get evidence from MB head/member;
                                      head/member       make sure that it is documented.




Institution makes the Code of                           Check web-page and visit premises in
                                      N/A
Conduct widely and easily                               order to identify whether the Code is
available to the public                                 posted and accessible
TOTAL
                                          relevance            assessment
comment                                   (coefficient 0 - 1) score         total
                                                           0.5
                                                               assessment
comment                                   relevance            score        total


                                                        0.06




 Yes and 10 pts if institution produce
                                                        0.15
annual work plan(s).



Y if clear. Score proportionally lesser
by percentage of unclear provisions. If
more than one code as been adopted,                     0.15
divide possible points and calculate
them for each code separately.



Y if specifically stressed in the Code.                 0.06



Y if an appointment was made (4
points). Greater score if body/person
began performing his/her task
                                                        0.08
(additional 3 points); if more than one
code exists split possible points
among them.




                                                               assessment
comment                                   relevance                         total
                                                               score
                                                         0.5                total
                                                               assessment
comment                                   relevance
                                                               score
Y if the institution did at least one
thing. Providing a copy – 3 points;
Providing instructions – 3 points;
Provided training – 4 points; If copies,
training or instructions were provided
for some officials or servants affected
but not to all, institution will get only 1
                                                0.15
point for this check. Instructions or
copies available on the internet will
count as delivered to all employees. If
more than one code exists split
possible points among them.



Y and 2 points if there is evidence that
consultation is codified and/or
available on regular basis. Additional
3 points for records of past
consultations; additional 5 points to be
distributed proportionally among
requests for consultation responded to
within 15 days or within other
                                         0.05
deadline, as defined in the rules of
procedure (i.e. if 40% percent
answered within deadline institution’s
score will be raised by 2 points).
If more than one code exists split
possible points among them.




Y if evidence that cases reported in
2007 were resolved or are pending
because of a decision of another
competent body. Additional 1 point (up
to 5) for every case initiated by the
MB. Additional 5 points will be
distributed proportionally among
cases resolved within 30 days or other
                                                 0.1
deadline, as defined in the rules of
procedure. Maximum score given to
institutions that have an internal ethics
hotline or whistleblower mechanism. If
more than one code exists split
possible points among them.




Points for every case documented.
The team to decide on point                      0.1
distribution.




Y if the Code is available on the
internet OR in the premises.
Maximum score if available in both               0.1
manners. If more than one code exists
split possible points among them.
1
DRAFT
Dimension:                       Management
Category:                        Internal audit function
                                                                               Interview with representative of the institution (or the PR manager)

                           At a minimum, the matrix should consider whether the institution can document that its decision-making authority for
                           financial and personnel decisions follows a pre-determined and fixed chain of command, and whether it can
Public Relation            document the decision-making procedures are followed and duties
                  department/person (within the institution) has other recorded. in addition to PR activities.

Sub-indicator: Institution has an active internal audit function

Checklist                                          Y             N             data source                     verification method


                                                                                                               obtain the document,
                                                                                                               submit FOIA request if
Institution conducts internal audits                                           Manager/designated
                                                                                                               needed, mark where
with defined scopes and procedures                                             person
                                                                                                               duties and
                                                                                                               responsibilities are listed




                                                                                                               see appointment letter or
                                                                                                               other document that
It is clear who, in the target institution,
                                                                               Manager/designated              specifies internal audit
is responsible for conducting internal
                                                                               person                          responsibilities; check
audits                                                                                                         evidence of activity in
                                                                                                               2007



                                                                                                               check the file provided by
Institution keeps findings of                                                                                  internal auditor or other
                                                                                                               relevant person; ask if
internal audits on file in
                                                                               Internal Auditor                the findings were
compliance with statutory                                                                                      disseminated within the
provisions                                                                                                     institution; if so, check
                                                                                                               evidence



                                                                                                               obtain a copy of the 2007
Institutions includes discussion of its                                                                        annual report and a list of
                                                                               Manager/designated
record on fulfilling its statutory duties                                                                      statutory duties and
                                                                               person
and responsibilities in its annual report                                                                      responsibilities. Cross
                                                                                                               check for comparison.



                                                                                                               obtain the document,
Institution makes its annual report
                                                                                                               submit FOIA request if
widely and easily available to the                                             N/A
                                                                                                               needed, mark where
public                                                                                                         achievements are listed



Sub indicator: Decision–making authorities and procedures are clear and accessible
Sub indicator: Decision–making authorities and procedures are clear and accessible



Checklist                                Y   N      data source          verification method

                                                                         Check internal act,
                                                                         received from the
                                                                         institution or through
Institution follows a pre-determined
                                                    Manager or other     FOIA request;
chain of command and procedures in
                                                    designated person    alternatively, check
making financial decisions                                               procedures described in
                                                                         writing by contact person
                                                                         of the institution;

                                                                         Check internal act,
                                                                         received from the
Institution follows a pre-determined                                     institution or through
chain of command and procedures                     Manager or other     FOIA request;
relating to decisions on income                     designated person    alternatively, check
generating services or properties                                        procedures described in
                                                                         writing by contact person
                                                                         of the institution;


                                                                         Check internal act,
                                                                         received from the
Institution follows a pre-determined                                     institution or through
and fixed chain of command and                      Manager or other     FOIA request;
procedures as it makes major policy                 designated person    alternatively, check
decisions                                                                procedures described in
                                                                         writing by contact person
                                                                         of the institution;


                                                                         Check internal act,
                                                                         received from the
Institution follows a transparent                                        institution or through
process for appointments to paid                    Manager or other     FOIA request;
internal and external boards and                    designated person    alternatively, check
commissions                                                              procedures described in
                                                                         writing by contact person
                                                                         of the institution;


                                                                         Check internal act,
                                                                         received from the
Institution is transparent about                                         institution or through
authority and pathway for selection of              Manager or other     FOIA request;
persons working on sole source and                  designated person    alternatively, check
non-competitive public procurements                                      procedures described in
                                                                         writing by contact person
                                                                         of the institution;

total
nstitution (or the PR manager)


                                                  relevance              assessment
                comment                           (coefficient 0 - 1)    score        total

                                                                   0.5
                 Yes and 10 pts if institution produce annual work plan(s).
                                                                         assessment
                comment                           relevance              score        total

                Y if rules/procedures exist
                and can be checked upon
                request (2 points). Additional
                3 points if the document is
                                                                  0.15
                posted or available in
                premises and another 5
                points if posted on its web-
                site


                Y if at least one person has
                authority/responsibility to
                perform internal audit
                function. More points if                          0.15
                there is a committee.
                Maximum score if there is
                evidence of activity in 2007




                Y if at least one for 2007.
                Maximum score if findings                         0.05
                were disseminated.




                Y if all listed. Score reflects
                percentage of duties listed in                    0.05
                the document




                Y if available at least through
                FOIA request (4 points).
                Additional 6 points if posted                     0.05
                on its web-site




                                                                         assessment
                comment                           relevance
                                                                         score
                                           0.5                total
                                                 assessment
comment                        relevance
                                                 score



Y if document identifies the
decision making authority                  0.1
(by name or function)




Y if document identifies the
decision making authority                  0.1
(by name or function)




Y if document identifies the
decision making authority                  0.1
(by name or function);




Y if document identifies the
decision making authority                  0.1
(by name or function)




Y if document identifies the
decision making authority                  0.1
(by name or function)




                                            1
DRAFT
Dimension:              Open entry/competition
Category:               Procurement procedures and enforcement




                        The matrix should consider compliance of target institutions with the Serbian public procurement law -- Zakon o javnim nabavkama. It will
                        specifically look at practices regarding three major procurements per institution in the last year: a) existence and implementation of
                        procurement plan; b) evidence that tender-related documents were published in the Official Gazette (Sluzbeni glasnik) and one daily
GGM Definition          paper; c) level of achieved competition; d) availability of official reports.

Sub-indicator: Public institution is transparent about its procurement plans and actions

Checklist                                           Y            N           data source                     verification method
Public Relation department/person                                                                            check availability for 2007; check the
                                                                             Manager or
(within the institution) has other duties                                                                    document provided by the institutional
                                                                             designated person
in addition to PR activities.                                                                                contact; ask for a copy




                                                                                                             check Official Gazette 2007 based on
Institution publishes procurement                                            Procurement officer,            the instructions from institution; check
notices and contract awards in the                                           Manager ort other               other sources proposed by the
Official Gazette *                                                           designated person               counterpart in the target institution and
                                                                                                             take note of the specific source



Institution publishes procurement                                            Procurement officer,
                                                                                                             check source; make sure to distinguish
notices and contract awards on the                                           Manager ort other
                                                                                                             between 2007 and 2008
Internet *                                                                   designated person


Institution publishes procurement                                            Procurement officer,            check source proposed by the
notices and contract award in one daily                                      Manager ort other               counterpart in the target institution and
newspaper                                                                    designated person               take note of the specific source


                                                                             Procurement officer,
The institution issues reports after each                                                                    check reports for 3 largest
                                                                             Manager or other
separate procurement *                                                                                       procurements in 2007
                                                                             designated person


Sub indicator: Public institution seeks to promote competition in procurement of goods and services


Checklist                                           Y            N           data source                     verification method


                                                                                                             calculation based on Annual Report
Full and open competition is the                                             Procurement officer,            Form A data; compare number of open
primary procurement mode for the                                             Manager or other                tenders with overall number of
institution                                                                  designated person               procurements; and number and value
                                                                                                             of procurements for 2007
                                         Procurement officer,
                                         Manager or other
Institution documents need for other     designated person      see evidence of justification and check
than full and open competition in        and Public             how many tenders from the institution
writing, before tender is issued         Procurement            were rejected by the PP Commission
                                         Commission, if
                                         required
Institution produces annual                                     check annual report, forms A and B,
                                         Procurement officer,
procurement reports that include                                ask for a copy; check whether the
                                         Manager or other
required forms [A and B wouldn't mean                           content is in compliance with the forms
                                         designated person
anything to the non-specialist reader,                          prescribed by PPL
Institution improves its procurement
                                         Procurement officer,   check evidence provided by the
processes by analyzing individual
                                         Manager or other       institution (report, minutes of the
tenders have been partially or totally   designated person      meeting; revised instructions)
canceled by the Commission for
Institution submits annual procurement
                                         Public Procurement     Ask for a copy of the report from the
reports to the Public Procurement        Agency                 PPA for the targeted institution
Agency within prescribed deadline
                                         TOTAL
                         relevance                assessment
comment                  (coefficient 0 - 1)      score        total

                                                  assessment
comment                  relevance                score        total
Y if the Public
Procurement Plan                           0.15
exists
 Yes and 10 pts if institution produce annual work plan(s).


Y if public
procurement notices
are published in OG                       0.15
(for three selected
procurements)


Y if public
procurement notices
are published on the
Internet                                  0.05
Y if public
procurement notices
are published in one
daily paper (for three
procurements)                               0.1
Y if the reports exist
(for three                                0.05
procurements)

                                                  assessment
comment                  relevance                             total
                                                  score

                                                  assessment
comment                  relevance                             total
                                                  score


Y if more than 50% of
tenders were carried
                                            0.2
out through open
procedures
Y if there is
justification for each
procurement other
than full and open;        0.1
higher score if no
rejections form the
Commission

Y if both forms exist
and the template is        0.1
followed

Y if at least one
rejection has been
analyzed
                          0.05
Y if reports exist with
the Public                0.05
Procurement Agency
                            1
DRAFT
Dimension:                 Open entry/competition
Category:                  Enforcement mechanisms


                           The matrix will consider the existence and quality of mechanisms for enforcement of procurement rules, such as audits
GGM Definition             by the institution and any bidder complaints review mechanisms.




Sub-indicator: Mechanisms for enforcement of procurement rules exist

Checklist                                                Y           N           data source                verification method

                                                                                                            check Tender Commission
Public Relation department/person (within                                        Manager/Tender
                                                                                                            establishing act; Tender
the institution) has other duties in addition                                    Commission
                                                                                                            Commission must have 3
to PR activities.                                                                member
                                                                                                            members, one lawyer


                                                                                 Manager/Tender
Bid guarantees are obtained in accordance                                                                   Obtain a copy of annual
                                                                                 Commission
with by-law provisions                                                                                      work plan for ___ (year)
                                                                                 member

                                                                                 Manager/Tender             check tender
Performance bonds are obtained in
                                                                                 Commission                 documentation; 10% of
accordance with by-law provisions
                                                                                 member                     contracted amount or less

                                                                                 Manager/Tender
Institution has criteria for charging
                                                                                 Commission                 Ask for written criteria
bonds/guarantees
                                                                                 member
                                                                                 Manager/Tender             Ask responsible person
Institution collects from bonds/guarantees if
                                                                                 Commission                 and ask for related
successful bidder doesn't perform
                                                                                 member                     documents



Sub indicator: Public institution has bidders’ complaints review mechanisms in place


Checklist                                                Y           N           data source                verification method
                                                                                 Manager/Tender
There are written rules and procedures for                                                                  Ask for a copy of the
                                                                                 Commission
protection of bidders’ rights.                                                                              procedure
                                                                                 member
The rules and procedures for protection of                                       Manager/Tender
                                                                                                            check location indicated by
bidder's rights are widely and easily                                            Commission
                                                                                                            contact person
available to potential bidders                                                   member

                                                                                                            Check documentation to
                                                                                 Manager/Tender
Institution responds to complaints from                                                                     verify whether the
                                                                                 Commission
bidders                                                                                                     institution responded to
                                                                                 member
                                                                                                            complaints
                                                               Ask for a copy of the
                                                               tender annulment
                                                               decision; check
                                              Manager/Tender
Percentage of bidder complaints upheld by                      Procurement report and
                                              Commission
procurement entity                                             other documentation of
                                              member
                                                               institution; compare to the
                                                               overall number of
                                                               procurement procedures



                                                               check documentation; ask
Percentage of complaints upheld by the        Commission for
                                                               for a copy of the
Commission for Protection of Bidders Rights   Protection of
                                                               Commission's decision
                                              Bidders Rights

                                              TOTAL
                                  relevance           assessment
comment                           (coefficient 0 - 1) score        total

                                               0.6
                                                      assessment
comment                           relevance           score        total


Y if tender commission is
established completely                          0.2
according to by-laws



 Yes and 10 pts if institution
                                                0.1
produce annual work plan(s).

Y if amount is 10% or less;
higher score for lesser
amount
                                                0.1

Y if criteria exists in writing
                                              0.05
Y if guaranties are charged
regularly
                                              0.15

                                                      assessment
comment                           relevance                        total
                                                      score
                                                0.4
                                                      assessment
comment                           relevance                        total
                                                      score
Y if procedures exists in
                                                0.5
writing


Y if available                                  0.5


Y if there is any kind of
follow up response in 100%                      0.5
cases
Y if upheld complaints exist,
higher score for larger
number of upheld complaints



                                 0.1

Y if upheld complaints exist;
higher score for lower          0.15
number of upheld complaints


                                  1
DRAFT
Dimension: Open entry/competition

Category:   Partnership


                     The matrix should consider whether target institutions encourage and capture public-private partnerships and leveraging of resources.
                     It should be clearly stated/ranked whether these are ad hoc initiatives to capture PPPs or whether policies and procedures exist to
                     track, develop and evaluate such cross-sector partnership efforts. Data should be disaggregated by for profit and non profit sector
GGM Definition       partnerships


Sub-indicator: Public institution seeks to promote PPP

Checklist                                                    Y              N               data source             verification method

Public Relation department/person (within the                                                                       Copies of Internal
                                                                                            Manager/other
                                                                                                                    documents, Strategic plans,
institution) has other duties in addition to PR                                             designated
                                                                                                                    Development strategies or
activities.                                                                                 function
                                                                                                                    other relevant document.

                                                                                            Manager/other
Institution has rules and procedures in place                                                                       Obtain a copy of annual
                                                                                            designated
for PPP design and implementation                                                                                   work plan for ___ (year)
                                                                                            function

                                                                                                                    Copies of internal
                                                                                            Manager/other           documents, action plans,
Institution initiates PPP                                                                   designated              reports, policies or e-mails
                                                                                            function                that testify to institution's
                                                                                                                    attempts to launch PPP




                                                                                                                    Copies of proposals for
                                                                                            Manager/other
Institution is responsive to partnership                                                                            partnership reviewed and
                                                                                            designated
initiatives of other organizations                                                                                  responded to by the
                                                                                            function
                                                                                                                    institution




                                                                                                                    see evidence of reference
                                                                                            Manager/other           check or other
Institution check references of potential
                                                                                            designated              organizational assessment
partner organizations                                                                       function                reports (and obtain copy/ies
                                                                                                                    if possible)



Sub indicator: Public institution values and measures benefits from PPP


Checklist                                                    Y              N               data source             verification method
                                                Manager/other
                                                                Check budget reports on
Institution leverages funds through PPP         designated
                                                                leveraging of funding
                                                function




                                                                Check internal documents
                                                Manager/other   and make sure that the
Institution establishes PPP with NGOs           designated      objective of PPP is clear;
                                                function        note NGOs and amounts
                                                                invested by both parties

                                                Manager/other
Institution uses PPP to support its strategic                   Check evidence and state
                                                designated
goals                                                           cause
                                                function/PR




Institution follows specific procedures in      Manager/other
                                                                Check copes of Internal
electing and monitoring PPP with for-           designated
                                                                documents, data base
profit organizations                            function




                                                                Check assessment report;
                                                Manager/other
Institution conducts assessments to                             note total number and type
                                                designated
determine success of PPP                                        of assessments (internal,
                                                function
                                                                external)

Total
                                  relevance              Comment for   assessment
comment                           (coefficient 0 - 1)    revisions     score        total
                                                  0.5
                                                                       assessment
comment                           relevance                            score        total

Yes=10pts if institution
provides formal recognition of                    0.15
PPP value.


 Yes and 10 pts if institution
                                                  0.15
produce annual work plan(s).



Yes=10pts if institution has
evidence of any PPP activity                       0.1
that it initiated in 2007.




Yes=10pts if institution
reviewed at least one
proposal for partnership in
2007. Maximum score if there
is a log of all proposals
received
                                                  0.05
Yes=10pts if institution has at
least one potential partner
assessment report; 5pts. if
institution is able to describe
the assessment process but
does not have a report.
                                                  0.05
                                                                       assessment
comment                           relevance                                         total
                                                                       score
                                                  0.5
                                                                       assessment
comment                           relevance                                         total
                                                                       score
Yes=10pts if institution is able
to provide a report that lays
out leveraging of funds with
other institutions (including
other government bodies,              0.2
NGOs, for profits and donors);
get financial figures; if multiple
leveraging sources,
disaggregate by source



Yes=10pts; if institution close
the pop with at least one non-        0.1
profit organization.


Yes=10 points if institution
can demonstrate support for a        0.05
specific cause in 2006



Yes if institution follows
different procedures; 10pts. If
institution always follows the
same procedures; 5pts. If
                                      0.1
institution follows different
procedures in different cases;
0pts.if institution does not
follow any procedures



Yes=10pts. if institution has
at least one report in place for
2007
                                     0.05

                                       1
DRAFT
Dimension:              Open entry/competition
Category:               Equal opportunity policies and enforcement



                       The matrix should focus on compliance with: a) the Law Against Discrimination of Persons with Disabilities – Zakon o sprecavanju
                       diskriminacije osoba sa invaliditetom; and b) Article 21 on sexual harassment in Zakon o radu (Labor Law). Under the first consideration, the
                       matrix will examine discrimination with regards to service provision and access as the directly measurable aspects of the law. It will further
                       examine the availability of any incentives in compliance with Part Four Incentives for Equality of PWDs. Under the second part, i.e. sexual
GM Definition          harassment, the matrix will consider the existence and quality of enforcement by target institutions.

Sub-indicator: Public institution implements policy of non-discrimination towards persons with disabilities
in provision of services

Checklist                                        N/A              Y             N            data source                       verification method

                                                                                                                               text of the
                                                                                                                               document/guidelines,
Public Relation department/person                                                                                              including codes of conduct
                                                                                             Manager/other
(within the institution) has other                                                                                             and ethical codes;
                                                                                             designated person
duties in addition to PR activities.                                                                                           alternatively, check with
                                                                                                                               several randomly picked
                                                                                                                               employees;




Policies/guidelines prohibiting
discrimination of PWD in provision of
                                                                                             Obtain a copy of
services are widely and easily                                                                                                  Yes and 10 pts if institution
                                                                                             annual work plan for
available to the public                                                                                                        produce annual work plan's).
                                                                                             ___ (year)




                                                                                                                               check letters/information
                                                                                                                               sheets sent to employees; if
                                                                                                                               the hard evidence is not
                                                                                                                               available, ask the
                                                                                                                               responsible person to
                                                                                             Manager/other
Institution trains staff about policies                                                                                        describe the information
                                                                                             designated person
regarding prohibiting discrimination                                                                                           flow and content and
for PWDs                                                                                                                       conduct random check for
                                                                                                                               accuracy with staff; note
                                                                                                                               staff functions and number




                                                                                                                               record of the institution on
                                                                                                                               the number of complaints
Institution has upheld complaints                                                            Manager and the legal
                                                                                                                               filed against the institution
about discriminatory behavior of its                                                         department of the
                                                                                                                               that were upheld in the
staff towards PWDs                                                                           institution
                                                                                                                               previous year v. the total
                                                                                                                               number of complaints filed;
                                                                                       documents that outline
                                                                                       existing mechanisms (e.g.
                                                                                       disciplinary proceedings
                                                                                       instituted on this bases,
Institution has a mechanism for                                                        behavior is recorded in the
sanctioning discriminatory behavior                              Manager               employees personal file,
of its employees                                                                       etc.); check records of any
                                                                                       such proceedings, if
                                                                                       possible; alternatively,
                                                                                       check with several randomly
                                                                                       picked employees;



Sub indicator: Public institution fosters equal access for persons with disabilities


Checklist                                N/A   Y        N        data source           verification method




The institution has an action plan for
                                                                 Manager/other         text of the action plan,
increasing access of PWDs to
                                                                 designated person     document or guidelines
facilities and services




                                                                                       check evidence in the
The institution has a budget line item                           Manager/other
                                                                                       budget for 2006; see if
for implementation of the action plan                            designated person
                                                                                       anything happened




                                                                                       on-site visit (researcher
                                                                                       should look for e.g. access
                                                                                       ramps for wheelchair users,
The institution is accessible to
                                                                 N/A                   availability of functioning
persons with physical disabilities
                                                                                       elevators, their width as well
                                                                                       as width of the corridors,
                                                                                       signals, etc.)
                                                        check evidence provided by
                                                        the designated person;
                                                        alternatively, check with
                                                        employees who provide
                                                        information/documents to
                                                        the public (Public
                                                        Information Officers; staff
                                                        working on "salters"; the
                                                        mailroom). Check whether:
                                                        a) institution has staff
                                                        members that can assist
                                                        PWD, b) whether such staff
The institution's employees and
                                    Manager/other       members have undergone
services are accessible to
                                    designated person   any training for assisting
visually/hearing impaired persons                       PWD, c) whether
                                                        procedures before the
                                                        institution have been
                                                        relaxed for the purpose of
                                                        assisting PWD in exercising
                                                        their rights/fulfilling their
                                                        obligations, d) whether the
                                                        institution has information
                                                        sheets and or forms in
                                                        format that would suit the
                                                        needs of PWD (e.g. the
                                                        blind).



The institution has a policy of                         text of the document;
granting priority to the disabled   Manager/other       alternatively, check with
candidate if s/he fulfills job      designated person   several randomly picked
requirements                                            employees;
                                                                                     If there are PWD among
                                                                                     staff, interview them about
                                                                                     basic working conditions; if
                                                               Manager/HR
                                                                                     PWDs are not available
The institution has persons with                               manager/other
                                                                                     during visit, check
disabilities among its employees                               designated person and
                                                                                     documents stating
                                                               PWD
                                                                                     employment of PWDs; note
                                                                                     total number, names and
                                                                                     positions




Sub indicator: Public institution has a transparent and effective system for dealing with sexual harassment


Checklist                               N/A   Y        N       data source               verification method

                                                                                         text of the document
                                                               Manager/other             outlining the
The institution has written complaint                          designated person;        mechanism/procedure;
mechanism for sexual harassment by                             alternatively interview   alternatively, check with
and of its employees                                           random picked             several randomly picked
                                                               employees                 employees; note their
                                                                                         functions
                                                                                         check text of the document
                                                               Manager/other             outlining the
                                                               designated person;        mechanism/procedure;
The institution's procedures contain
                                                               alternatively interview   alternatively, check with
sanctions for sexual harassment
                                                               random picked             several randomly picked
                                                               employees                 employees; note their
                                                                                         functions

                                                                                         responsible person explains
The institution trains staff about                             Manager/other             how such information was
                                                               designated person;        distributed and researcher
sexual harassment complaint
                                                               alternatively interview   randomly checks
mechanism
                                                               random picked             information obtained with
                                                               employees                 employees
                                                               documents that outline
                                                               existing mechanisms;
The institution accepts and reviews
                                                               records of any such
sexual harassment complaints          manager (interview)
                                                               proceedings, if possible;
pursuant to statutory requirements                             check with several randomly
                                                               picked employees;




The institution makes its sexual      Public Information
                                                               1. web-site; 2. institution's
                                      Officer or other
harassment complaint mechanism                                 premises; 3. institution's
                                      responsible person, if
widely and easily available to the                             publications; 4. FOIA
                                      information is
public                                                         request as the last resort
                                      otherwise unavailable




                                      TOTAL
                                                         relevance              assessment
Scoring guidelines:                           Comment:   (coefficient 0 - 1)    score        total

                                                                          0.3
                                                                                assessment
comment                                                  relevance              score        total




                                                                         0.04




Any item should be available in forms 1, 2,
3 and 4 described on the left.
1+2+3+4=10
1+2+4 = 7 or 2+3+4=5
1+2 = 3 1(or 2)+3=2
through 5 (FOIA request) = 1
None =0 (same as "no")

                                                                         0.06



Scoring guidelines:
-training + written guidelines= 10
-only written guidelines = 7
-only training = 5
-only informal verbal instructions by
supervisor = 2; all checks pertain to 2006


                                                                         0.06



Sores will be assigned as follows: up to
10%=10
up to 20%=9
up to 30%=8
up to 40%=7                                                              0.07
up to 50%=6
over 50%=0 50% and more will constitute a
Y.
no complaints in a given year = N/A
                                                                 0.07




                                                                        assessment
comment                                             relevance                        total
                                                                        score
                                                                 0.35
                                                                        assessment
comment                                             relevance                        total
                                                                        score



the plan should contain at a minimum: 1) list
of activities to be taken; 2) time-line for their
implementation; 3) responsible person/s;                        0.055
Scores: 1+2+3=10; 2out of 3 = 6; 1 out of
3=3




Yes if budgeted in 2006                                         0.055



scoring guidelines: a) functioning access
ramps to the building, b) functioning sliding
(automatic) doors, c) no physical barriers in
the hallway, d) functioning elevators wide
enough to take persons in wheel chairs, e)
clear signs pointing to offices within
premises, f) clear signs on the offices
themselves and g) availability of staff
members that can provide assistance.
                                                                 0.08
1. all 7 = 10
2. points a - f = 9
3. points a - e =8
4. points a, b, c & d =7
5. points a, b, c & e = 6
6. points a, b and c = 5
7. points a & b = 3
8. any other 2 = 1
9. none listed = 0
Scoring guidelines: a) institution has staff
members that can assist PWD, b) whether
such staff members have undergone any
training for assisting PWD, c) whether         0.08
procedures before the institution have been
relaxed for the purpose of assisting PWD in
exercising their rights/fulfilling their
obligations, d) whether the institution has
information sheets and or forms in format
that would suit the needs of PWD (e.g. the
blind)
1. all 4 =10
2. a, c and d = 8
3. a, b and c = 6
4. a & c = 5
5. a & b = 3
6. only a or only c = 2
7. none = 0



Yes if policy is available in writing          0.02
Yes if one. More if several people.
Maximum if PWDs occupy management/top
tiers positions Scoring guidelines:
1. below 5% of the total number of
employees and holding a low level position
=1
2. below 10% of the total number of
employees and holding a low level position
or below 5% of the total number of
employees and holding a medium level
position = 3
3. below 10% of the total number of
employees and holding a medium level
                                                          0.08
position or below 5% of the total number of
employees and holding a high level position
=4
4. below 10% of the total number of
employees and holding a high level position
or above 10% and holding a low level
position = 5
5. above 20% of the total number of
employees = 6 (additional points for
holders of medium or high level positions)
6. above 30% of the total number of
employees = 7 (additional points for
holders of medium or high level positions)




                                                                 assessment
comment                                       relevance                       total
                                                                 score
                                                          0.35
                                                                 assessment
comment                                       relevance                       total
                                                                 score



                                                          0.07




                                                          0.07




Scoring guidelines:
-training + written guidelines= 10
-only written guidelines = 7
                                                          0.07
-only training = 5
-only informal verbal instructions by
supervisor = 2
Yes and 10 points if evidence is provided
that the procedures were implemented at
least one time in 2006; note the number of    0.07
times the mechanism was used; note
decision




Any item should be available in forms 1, 2,
3 and 4 described on left.
1+2+3+4=10
1+2+4 = 7 or 2+3+4=5
                                              0.07
1+2 = 3 1(or 2)+3=2
through 4 (FOIA request) = 1
None =0 (same as "no")



                                                1
DRAFT
Dimension: Open entry/competition

Category: Planning              for changes


                     The matrix should consider the availability of longer term (3-5 years) strategic and budget plans pertaining to the organization’s
                     core functions; performance monitoring indicators and plans; and other planning documents that help the public understand
GM Definition        longer term priorities of an organization.



Sub-indicator: Public institution links short- and long-term plans and budget projections

Checklist                               Y                   N                   data source                 verification method

                                                                                                  Check evidence of: a) strategic
                                                                                                  budget plan for the strategy
Public Relation                                                                                   that was valid in 2007; b)
department/person (within the                                                   Manager/other     annual budget plan for 2007; c)
institution) has other duties in                                                designated person comparative analysis of levels
addition to PR activities.                                                                        planned and actual levels;
                                                                                                  obtain documents from the
                                                                                                  contact person




Institution produces annual                                                     Manager/other     Obtain a copy of annual work
work plans                                                                      designated person plan for ___ (year)




Annual work plans are                                                                             Obtain a copy of annual
                                                                                Manager/other     workpants for 2007; check
linked with strategic goals                                                     designated person whether it established clear
and objectives                                                                                    links with strategic objectives


                                                                                                  Check evidence that the
                                                                                                  annual work plan has been
Annual work plans are                                                           Manager/other     disseminated to: a) senior
disseminated to staff                                                           designated person management; b) second tiers
                                                                                                  management; and c) other
                                                                                                  professional staff in 2006




Institution has
procedures/mechanisms                                                           Manager/other     check mechanism/procedures
governing review of its                                                         designated person provided by the contact person
strategic plans
                                                                    Check availability of evidence
Institution conducts strategy                                       regarding formal strategy
                                                  Manager/other     review during the strategy
reviews pursuant to its
                                                  designated person implementation period and for
procedures/mechanisms                                               the strategy that was valid in
                                                                    2007;




Sub indicator: Public institution is transparent about plans and results


Checklist                              Y   N      data source        verification method

                                                                    Check copy of action
                                                                    plan/other document for
Institution has action plans                      Manager/other     implementation of strategic
derived from strategic plans                      designated person plans; check other documents
                                                                    that regulate implementation of
                                                                    strategic plans



Institution has multi-year                                          Check multi-year action plans;
                                                  Manager/other
budget plans aligned with                         designated person
                                                                    note whether there are clear
strategic and action plans                                          links with strategic objectives



Institution produces                                                Check performance reports for
performance reports against                       Manager/other     2007; note whether quarterly,
strategic performance                             designated person semi-annual, annual or bi-
indicators                                                          annual



                                                                    Check evidence that the
                                                                    performance reports have
Performance reports are                           Manager/other     been disseminated to a) senior
available to the institution's staff              designated person management; b) second tiers
                                                                    management; and c) other
                                                                    professional staff




                                                                    Check annual reports; web site
Annual results of the institution                                   of the institution, internal
                                                  Manager/other
are widely available to the                                         publications, PR materials and
                                                  designated person
public                                                              other sources provided by the
                                                                    contact person
                                  Comment for   relevance           assessment
comment                           revisions     (coefficient 0 - 1) score        total

                                                             0.5
                                                                    assessment
comment                                         relevance           score        total



Yes if at least a and b are
available. Maximum score is                                   0.1
c is also available;




 Yes and 10 pts if institution
produce annual work plan's).

                                                             0.05


Yes And 10 pts if work plans
are linked with strategic
goals and objectives

                                                             0.05



Yes if a+b; maximum score
if also c


                                                              0.1


Yes if the institution has
procedures for introducing
changes in strategic plan;
10pts. If institution has clear
procedures for strategy
review; 5pts. If institution
has other mechanisms; note
who can initiate strategy
review.

                                                              0.1
Yes= 10pts. if at least one
review was conducted and
documented; note if review
was conducted but not
documented but do not                             0.1
award points; note who
participated in the review
(e.g. management; broader
staff; other institutions;).
                                                                 10          1
                                                        assessment
comment                              relevance                      total
                                                        score
                                                 0.5
                                                        assessment
comment                              relevance                       total
                                                        score


Yes=10pts. If institution has
action plans for
                                                 0.12
implementation of strategic
objectives




Yes if multi-year budget
plans existed in 2007

                                                  0.1


Yes=10pts. If institution
produced a 2007                                  0.18
performance report




Yes and 10 points if a+b;
additional points if c); check                   0.05
data for 2007




Yes if the results are
available to the public;
Ways of availability: 1) web
site 2) institutional official
gazette 3) announcement
boards 4) internal                               0.05
publications 5) media; 10
pts if the results are
available in all 5 ways listed;
8 pts if 4 of 5; 6 if 3 of 5; 4 if
2 of 5; 2 if 1 of 5; 0 if 0 of 5.


                                                   1                         0
DRAFT
Dimension: Voice and participation

Category: Participation                   in policy formulation

                       The matrix should consider to what extent the institution invites, solicits, or otherwise permits the participation of outside
                       groups or individuals in drafting policies, laws, ordinances, by-laws and/or rules, and the weight given to the outside
GM Definition          participation

Sub-indicator: Public institution enables the public to voice concerns and provide
feedback

                                                                                                               verification methods
Checklist                                  Y                   N                   data source

                                                                                  Interview with
Existence of acts on enabling
                                                                                  representative of
public participation in the policy                                                                            Internal acts, laws
                                                                                  the institution (or
formulation and realization.                                                      the PR manager)



                                                                                                    check total number of laws,
                                                                                                    by-laws and policies passed
                                                                                                    in 2007 (disaggregate);
                                                                                                    check evidence of
The institution invites public                                                                      participation, e.g. minutes
participation during                                                              Manager/other     of meetings or memos
development of laws, by-laws                                                      designated person summarizing public
and policies                                                                                        concerns in 2007. 'Public'
                                                                                                    includes NGOs, CSOs and
                                                                                                    think tanks as well as
                                                                                                    academia and individual
                                                                                                    citizens




Public Relation
department/person (within the                                                     Manager/other     check evidence provided by
institution) has other duties in                                                  designated person the contact person
addition to PR activities.




The institution has a                                                             Manager/other
mechanism in place to deal                                                        designated
                                                                                                     Obtain a copy of annual
with suggestions, complaints                                                      person and officer
                                                                                                     work plan for ___ (year)
and grievances from the                                                           in charge of
                                                                                  complaints
public
                                                                      check web site or any other
The mechanism is widely                          Manager/Public       way in which the public can
                                                 Information          make suggestions and
and easily accessible by the                     Officer/other        comments about the
public                                           designated person    institution's strategy and
                                                                      operations




The institution responds to                      Manager/other        ask to see date in and date
non FOIA suggestions,                            designated           out for suggestions,
complaints and external                          person and officer   complaints and grievances
grievances within a statutory                    in charge of         in 2006; random check 3
                                                 complaints           decisions/responses;
or other specified timeframe


Sub indicator: Public institution is responsive to recommendations of expert public
and clients

Checklist                         Y    N         data source          verification method



                                                                    check complaints or public
                                                                    forum input and evidence
                                                 Manager/other
                                                                    that the institution
                                                 designated
The institution acts on citizen                                     responded to the
                                                 person and officer
recommendations                                                     recommendations; list
                                                 in charge of
                                                                    number of cases in 2006;
                                                 complaints
                                                                    list suggestion + response
                                                                    for each case




                                                                    check specific suggestions
                                                                    from NGOs/CSOs that the
                                                 Manager/other
                                                                    institution accepted; briefly
                                                 designated
The institution acts on                                             describe number and
                                                 person and officer
NGO/CSO recommendations                                             nature of proposals and
                                                 in charge of
                                                                    what changed; note names
                                                 complaints
                                                                    of NGOs whose proposals
                                                                    were accepted


                                                                   check suggestions from
                                                                   think tanks/expert groups
                                                                   that the institution
                                                                   accepted; briefly describe
The institution acts on
                                                 Manager/other     number and nature of
recommendations of think tanks
                                                 designated person proposals and what
and expert groups                                                  changed; note names of
                                                                   think tanks/expert groups
                                                                   whose proposals were
                                                                   accepted
The institution provides                           Check outgoing log and
                                 Manager/other
justification for declining                        random check 3 rejections
                                 designated person
suggestions of CSOs/NGOs                           in 2006



The institution provides
                                                   Check outgoing log and
justification for declining      Manager/other
                                                   random check 3 rejections
suggestions of think tanks and   designated person
                                                   in 2006
expert groups

total
                              Comment for   relevance              assessment
comment                       revisions     (coefficient 0 - 1)    score            total


                                                             0.4
                                                                   assessment
comment                                     relevance              score            total


Yes and 10 points for
existence of acts, No and 0
points for non existence

                                                            0.08




Yes and 10 points for
existence of procedures in
writing; 5 points for
                                                            0.08
practice that is not coded,
No and 0 points for non
existence




Yes and 10 points if
regular contacts exist;
obtain a copy or write
down key stakeholders as
perceived by the
institutional contact; note
how often contacts
occurred in 2006; No and 0
points for non existence




 Yes and 10 pts if
institution produce annual                                                                  0.45
work plan's).


                                                            0.09                5
Yes if available in 2006



                                          0.06


Yes and 10 points for
timely processing of
complaints or grievances;
No and 0 points for non
existence

                                          0.09
                                                 assessment
comment                       relevance                       total
                                                 score
                                          0.6
                                                 assessment
comment                       relevance                       total
                                                 score


Yes if there are any
acceptances. 10 if more
than 80% are accepted, 9
if percentage is from 80 to
                                           0.1
90, 8=70 to 80, 7=60-70,
6=50-60, 5=50-60, 4=40-
50, 3=30-40, 2=20-30,
1=less than 20, 0 for 0.




Yes if at least one was
accepted in 2006.




                                           0.1




Yes if institution accepted
any changes proposed by
professional groups in 2006




                                          0.15
Yes if institution provides
justification

                              0.15


Yes if institution provides
justification.

                               0.1
                                 1
DRAFT
Dimension: Voice and participation


Category:    Inter-agency interaction
                       The matrix should consider the nature, extent and quality of the institution’s work with other public agencies with
GM Definition          responsibilities that affect the work of the target institution.



Sub-indicator: Public institution capitalizes on work of other government institutions
Checklist                                 Y              N            data source                        verification method
Institution initiate joint project                                    Interview with
with other state                                                      representative of the              Check document(s) where this
institutions/agencies that deal                                       institution (or the PR             type of initiative can be proofed.
with similar issues.                                                  manager)



Institution is responsive on
                                                                      Manager/other                      Check document(s) where this
other institutions/agencies
                                                                      designated person                  type of initiative can be proofed.
initiatives for joint projects




Public Relation
                                                                                                         Ask for a list of other strategies
department/person (within the                                         Manager/other
                                                                                                         that the institution has aligned its
institution) has other duties in                                      designated person
                                                                                                         own strategy with (data for 2007)
addition to PR activities.




Institution's annual report
outlines leveraging of                                                                                   Obtain a copy of annual work plan
                                                                      N/A
resources and results with                                                                               for ___ (year)
other government institutions




Institution utilizes the
                                                                      Manager/other                      check evidence that budgets are
Ministry of Finance Joint                                             designated person                  planned with other institutions
project framework

Total
                                                    relevance
comment                     Comments for revision   (coefficient 0 - 1)         assessment score   total

                                                                           1

comment                                             relevance                   assessment score   total
Yes=10pts. If institution
initiate this type of                                                     0.2
projects



Yes=10 pts if there is at
least one positive
                                                                          0.1
answer on this type of
initiative in 2007




Yes=10pts. If at least
one strategy is named.
                                                                          0.3
More points for a
comprehensive list.




 Yes and 10 pts if
institution produce
annual work plan's).



                                                                          0.2

Yes=10pts. If institution
is active in consulting
and advising
                                                                          0.2
                                                                           1
DRAFT

Dimension: Voice/participation

Category: Public outreach The matrix should consider to what extent and how effectively the
                                 institution takes a pro-active approach to opening its operations to the
                                 public, e.g., through regular posting and publication of user-friendly
                                 guides to the institution’s operations (in addition to its published rates
GM Definition                    and public service procedures) and streamlining its operations



Sub-indicator: Public relation support

Checklist                                      Y       N        data source           verification method

                                                                                      Copies of internal
                                                                Interview with
                                                                                      documents that regulate
                                                                representative of
                                                                                      internal procedures and
                                                                the institution (or
Institution has internal procedures and                                               plans for informing the
                                                                the PR manager)
                                                                                      public
plans for informing the public about its
work (activities).

                                                                                      Check on the site; Copies
                                                                Interview with the    of internal documents that
Institution has Public Relation                                 representative of     regulate internal
department/person (within the institution).                     the institution (or   procedures and plans for
                                                                the PR manager)       informing public,
                                                                                      Systematization act




                                                                Interview with the
Public Relation department/person
                                                                representative of     Interview with the PR
(within the institution) has other duties in
                                                                the institution (or   manager
addition to PR activities.                                      the PR manager)




Public Relation department/person                               Interview with the
                                                                representative of     Obtain a copy of annual
(within institution) has necessary working
                                                                the institution (or   work plan for ___ (year)
conditions.                                                     the PR manager)
                                                                              Copies of internal
Institution interacts (informs) the public              Interview with the    documents that regulate
                                                        representative of     internal procedures and
on a regular basis according to
                                                        the institution (or   plans for informing the
predetermined plans.                                    the PR manager)       public; Copy of reports on
                                                                              PR activities




Sub indicator: Guides for informing target group's) and its effectiveness


Checklist                                     Y   N     data source           verification method

                                                        Interview with the
                                                        representative of
                                                        the institution (or   Web sites, notice boards,
                                                        the PR manager) or publications
                                                        the website or
Institution has a guide on its operations               internal publications
for customers/citizens.

                                                        Interview with
Guide/s are made available to the                       representative of     Web sites, notice boards,
targeted audience/s.                                    the institution (or   publications
                                                        the PR manager)




                                                        Interview with
Institution takes steps to                              representative of     Web site, copy of the
promote/distribute the guide/s.                         the institution (or   publications: On-site check
                                                        the PR manager)




Information's) presented in the guide's) is
                                                        Guide                 Guide
clear, coherent and understandable.


                                                        Interview with
Institution (or the PR department) has                                        Copy of documents that
                                                        representative of
mechanism for measuring the                                                   regulate monitoring of PR
                                                        the institution (or
effectiveness of its PR activities.                                           activities
                                                        the PR manager)

                                                        TOTAL
                                        relevance               Comment for assessment
comment                                 (coefficient 0 - 1)     revisions   score        total



                                                          0.5
                                                                            assessment
comment                                 relevance                           score        total

Yes if there are procedures AND
plans (10 points); half of the score
will be given if there are
                                                        0.15
procedures OR plans; No and 0
points if there are no procedures
and plans


10 points if the institution has a
department for PR activities, half
of the scoring if the institution has
                                                        0.15
only a PR person; No and 0 points
if the institution does not have
anything



10 points if the department/person
has no other duties; 7 if the PR
activities are the main scope of
his/her work, 5 if there are
multiple duties of equal weight, 3
if the department/person has
been assigned PR duties as
peripheral.
                                                        0.05




 Yes and 10 pts if institution
produce annual work plan's).




                                                        0.05
Yes if the institution informs the
public on a regular basis
according to predetermined plans
in 50% or more cases. Scoring
guidelines: 10 = 90% -100% of
cases of informing public to
predetermined plan, 9= 80%-90%,
8 = in 70% -80%; 7= in 60%-70%;
6 = in 50%-60 etc.
                                                    0.1
                                                          assessment
comment                                relevance                       total
                                                          score
                                                    0.5
                                                          assessment
comment                                relevance                       total
                                                          score



Yes and 10 points for existing
                                                   0.15
guides, No and 0 if none exist




Yes if they are available; Manner
of availability: 1) web site; 2)
publication; 3) boards 10 if
available in all 3 ways, 7= if
available in 2 out of 3; 4 = if
available in 1 out of 3, 0=0                        0.1

Yes if there are concrete steps to
promote or distribute the
guidelines;                       10
point if the institution promotes                   0.1
and distributes guides, 5 if it only
promote or only distributes
guides, 0 if it does not do anything



Scale from 1 to 10 for different
levels of mentioned qualities of
the guide.



Yes and 10 points if existing
mechanisms exist, No and 0 if                      0.15
there are no such mechanisms


                                                     1
DRAFT
Dimension:            Voice/participation

Category:             User friendly contact and follow up



                      The matrix should consider the extent and quality of systems the institution has in place for helping users solve problems
                      or make complaints, and the extent and quality of steps the institution takes to follow-up on requests for assistance or
GM Definition         complaints.



Sub-indicator: Public institution's staff maintain a customer focus
                                                                                                  verification method
Checklist                                Y              N              data source
Public Relation                                                        N/A                        On the spot check
department/person (within the
Phone operators can refer
                                                                                                  Obtain a copy of annual work plan
customers to appropriate                                               Phone operator
                                                                                                  for ___ (year)
offices

Institution has a training
program for initial contact                                            CAC staff or               check training program
personnel (staff of information                                        HR/training                description, materials and
desk, CAC, porters and phone                                           department                 attendance lists for 2006
operators)

                                                                       service providers
Institution's staff providing                                          (same as list of           check that position descriptions
                                                                       services in                emphasize customer service;
services are customer                                                  Procedural steps,          random check 3 individual staff to
focused                                                                rates and services         confirm service focus in practice
                                                                       matrix)

Institution conducts customer                                          Manager/other     check evidence of a) survey
satisfaction surveys                                                   designated person questionnaire; and b) analysis


Sub-indicator: Public institution addresses customer complaints


Checklist                                Y              N              data source                verification method
                                                                                         check internal statues;
Institution has staff                                                  Manager/other
                                                                                         systematization act; see actual
dedicated to complaints                                                designated person
                                                                                         staff
Institution trains staff on proper                                                                see training agenda obtained
                                                                       Staff handling
handling of customer                                                                              through HR and have staff list
                                                                       complaints
complaints                                                                                        training received in 2006
Institution has a complaint form                                       Staff handling
                                                                                                  See complaint form, if exist
that is clear, widely and easily                                       complaints
                                                      ask manager for a) policy
                                                      changes made based on
                                                      complaints and/or customer
                                   Manager/other
                                                      surveys; b) cases of staff
Institution analyzes and acts on   designated person
                                                      promotion/sanctions based on
customer feedback                  and staff handling
                                                      customer feedback; and confirm
                                   complaints
                                                      with staff working on complaints
                                                      whether anyone else reads
                                                      complaints and if so, how often




                                                     check evidence of any incentive:
Institution provides                                 personal contact of managers
                                   Manager/other     with customers; letters to
incentives to customers to         designated person customers; other ways in which
provide feedback                                     the institution shows appreciation
                                                     of feedback
                                     relevance              assessment
comment                              (coefficient 0 - 1)    score        total

                                                      0.5
                                                            assessment
comment                              relevance              score        total
Yes if it does and it's staffed                      0.12


 Yes and 10 pts if institution
produce annual work plan's).

                                                     0.08


Yes if staff have received at
least one training; more points if                   0.08
training updates are regular.



Yes if job descriptions
emphasize customer service;
more points if personal
experience of researcher
confirms that.
                                                     0.08

Yes if survey was conducted in
2007; more points if regular
                                                     0.12
                                                            assessment
comment                              relevance                           total
                                                            score
                                                      0.5
                                                            assessment
comment                              relevance                           total
                                                            score
Yes =10pts if institution has a
special service/appointed                             0.1
person.

Yes=10pts. if appointed person
                                                     0.05
has necessary qualification.

Yes if it is clear and widely and
                                                     0.04
easily available
Yes if institution performs
promotion and offers help to      0.07
clients.




Yes if institution solved more
than 50% of all requests in the   0.04
past year.




                                    1    0
DRAFT
Dimension:
Voice/participation

Category:   Internal information flow



                     The matrix should consider the quality and quantity of information available to staff within an institution about the
                     institution’s operations and policies and the institutions’ internal complaint procedures, e.g., what information is
                     available and how readily, whether there is a particular office dealing with internal communication, and what tools are
GGM Definition       used for internal communication?                                                                                          comment
Sub-indicator:

Checklist                               Y            N             data source                   verification method                           comment

                                                                                                                                               Yes=10pts if institution
Public Relation                                                                                  check location where                          has made all of these
department/person (within the                                                                    documents are stored (e.g.                    available; lesser score
                                                                   Manager/HR
institution) has other duties in                                                                 intranet or hard copies                       if some are widely and
addition to PR activities.                                                                       distributed and in archive)                   easily available; no
                                                                                                                                               points if not.




                                                                                                                                                Yes and 10 pts if
Institution has staff dedicated                                                                  Obtain a copy of annual work
                                                                   Manager/HR                                                                  institution produce
to internal communication                                                                        plan for ___ (year)
                                                                                                                                               annual work plan(s).



                                                                                                 check whether there are
Institution has regular form                                                                                                                   Yes=10pts if the
                                                                                                 regular all staff meetings,
                                                                                                                                               institution can
to exchange information                                            Manager/HR                    suggestion box, bulletins, chat
                                                                                                                                               document existence in
with staff                                                                                       rooms or interactive websites,
                                                                                                                                               2007
                                                                                                 list serves, etc.

                                                                                                 check with contact person for
                                                                                                                                               Yes=10pts. If any
                                                                                                 evidence of any link between
Institution responds to                                                                                                                        evidence is provided for
                                                                                                 an employee's
                                                                                                                                               2007; do not look at
employee recommendations                                           Manager/HR                    recommendation and a positive
                                                                                                                                               strategies; focus on
regarding internal operations                                                                    change; alternatively, establish
                                                                                                                                               internal day-to-day
                                                                                                 whether institution responds at
                                                                                                                                               operations.
                                                                                                 all.


                                                                                                 check evidence that the
                                                                                                 mechanism exists; this would
                                                                                                 not include individual employee
Institution has an employee                                                                                                       Yes=10pts ;if such a
                                                                   Manager/HR                    grievances covered under
complaint mechanism in place                                                                                                      mechanism exists.
                                                                                                 Grievance procedures; focus
                                                                                                 here is on work process related
                                                                                                 issues, i.e. more general issues
relevance                   assessment
(coefficient 0 - 1)         score            total
                       1                 0           0
                            assessment
relevance                   score            total



                      0.1




                      0.3




                      0.2




                      0.2




                      0.2
                       1
The Good Governance Matrix was developed by USAID/Serbia to track the performance
of selected government agencies as a tool to encourage better governance by Serbian
institutions. It currently includes 240 “checks,” selected to determine if the institutions
being examined (1) comply with specific provisions of Serbian laws, and/or (2) comply with
specific international standards of good governance.



The Good Governance Matrix has now been performed twice: once in 2008 to examine
data from 2006 (the “2006 edition”), and once in 2009 to examine data from 2007 (the
“2007 edition”). The detailed methodology for scoring the checks was developed by a
research team, led by the Center for Free Elections and Democracy (CeSID), a Serbian
non-governmental organization. Another Serbian NGO, Transparency Serbia, worked
closely with CeSID on both editions. The Serbia office of the American Bar Association’s
Central European and Eurasian Law Initiative (ABA-CEELI) also contributed to the first
edition. The CeSID team was chosen by the Mission to complete The Good Governance
Matrix methodology and gather and analyze data through a purchase order, following a full
and open competition for a local implementer.

Most of the elements of The Good Governance Matrix were drafted directly by
USAID/Serbia, although some have been modified based on advice and suggestions from
the teams performing the checks and reporting the results. The Good Governance Matrix
is an evidence-based tool since researchers collect and check agency records instead of
relying solely on the opinions of officials or other experts to determine if institutions are
meeting their obligations.


USAID considered the 2006 and 2007 to be field tests of The Good Governance Matrix.
An evaluation will be conducted before the next edition of The Good Governance Matrix,
to validate the methodology and system of data collection and analysis, make any needed
refinements and adjustments, and establish procedures for the methodology, data
collection and analysis to be adjusted as needed in the future.

								
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